From acaab70d82fb79d24ccff3d0adb50deae670fd11 Mon Sep 17 00:00:00 2001 From: Andrew Weiss Date: Wed, 29 Nov 2017 13:28:09 -0500 Subject: [PATCH 1/3] add json schema and examples Signed-off-by: Andrew Weiss --- examples/FedRAMP/FedRAMP-HIGH-crude.json | 10460 ++ examples/FedRAMP/FedRAMP-HIGH-edited.json | 10076 ++ examples/FedRAMP/FedRAMP-LOW-crude.json | 2751 + examples/FedRAMP/FedRAMP-MODERATE-crude.json | 5677 + .../roundtripped/FedRAMP-HIGH-crude.xml | 5830 + .../roundtripped/FedRAMP-HIGH-edited.xml | 5637 + .../roundtripped/FedRAMP-LOW-crude.xml | 1692 + .../roundtripped/FedRAMP-MODERATE-crude.xml | 3440 + examples/SP800-53/SP800-53-HIGH-baseline.json | 1042 + examples/SP800-53/SP800-53-LOW-baseline.json | 385 + .../SP800-53/SP800-53-MODERATE-baseline.json | 796 + .../SP800-53/SP800-53-oscal-declarations.json | 196 + examples/SP800-53/SP800-53-rev4-catalog.json | 137909 +++++++++++++++ .../roundtripped/SP800-53-HIGH-baseline.xml | 350 + .../roundtripped/SP800-53-LOW-baseline.xml | 131 + .../SP800-53-MODERATE-baseline.xml | 268 + .../SP800-53-oscal-declarations.xml | 105 + .../roundtripped/SP800-53-rev4-catalog.xml | 44097 +++++ .../mini-testing/01_identity-profile.json | 9 + .../mini-testing/01a_param-only-profile.json | 18 + examples/mini-testing/02_all-profile.json | 11 + .../mini-testing/03_all-with-enh-profile.json | 13 + .../mini-testing/04_exclude1-profile.json | 23 + .../mini-testing/05_exclude2-profile.json | 26 + .../mini-testing/10_some-params-profile.json | 25 + .../mini-testing/11_more-params-profile.json | 62 + .../mini-testing/20_compound-profile.json | 25 + examples/mini-testing/30_patched-profile.json | 54 + .../31_patched-messy-profile.json | 61 + examples/mini-testing/32_invalid-profile.json | 74 + .../mini-testing/41_exceptions-profile.json | 70 + .../42_invoke-exceptions-profile.json | 11 + .../mini-testing/99includeACx2-profile.json | 95 + .../mini-testing/99includeRAx3-profile.json | 33 + .../mini-testing/mini-testing-catalog.json | 719 + .../roundtripped/01_identity-profile.xml | 4 + .../roundtripped/01a_param-only-profile.xml | 12 + .../roundtripped/02_all-profile.xml | 8 + .../roundtripped/03_all-with-enh-profile.xml | 8 + .../roundtripped/04_exclude1-profile.xml | 12 + .../roundtripped/05_exclude2-profile.xml | 13 + .../roundtripped/10_some-params-profile.xml | 15 + .../roundtripped/11_more-params-profile.xml | 38 + .../roundtripped/20_compound-profile.xml | 13 + .../roundtripped/30_patched-profile.xml | 24 + .../roundtripped/31_patched-messy-profile.xml | 27 + .../roundtripped/32_invalid-profile.xml | 35 + .../roundtripped/41_exceptions-profile.xml | 30 + .../42_invoke-exceptions-profile.xml | 5 + .../roundtripped/99includeACx2-profile.xml | 55 + .../roundtripped/99includeRAx3-profile.xml | 18 + .../roundtripped/mini-testing-catalog.xml | 287 + schema/json/oscal-core.json | 1247 + schema/json/oscal-profile.json | 368 + working/COBIT5/cobit5-auto-declarations.json | 507 + working/COBIT5/cobit5-tuned-declarations.json | 326 + working/CSF/CSF-framework-enhanced.json | 3726 + working/CSF/csf-framework-oscal.json | 3594 + working/FedRAMP/FedRAMP-HIGH-working.json | 10460 ++ working/FedRAMP/FedRAMP-LOW-working.json | 2751 + working/FedRAMP/FedRAMP-MODERATE-working.json | 5677 + .../ISO-27002/ISO-27002-OSCAL-refined.json | 4883 + .../rev4/HIGH-baseline-profile-oscal.json | 1040 + .../rev4/LOW-baseline-profile-oscal.json | 383 + .../rev4/MODERATE-baseline-profile-oscal.json | 794 + .../SP800-53/rev4/SP800-53-OSCAL-demo.json | 3908 + .../SP800-53/rev4/SP800-53-OSCAL-refined.json | 137909 +++++++++++++++ .../SP800-53/rev4/SP800-53-declarations.json | 209 + .../SP800-53/rev4/SP800-53-selections.json | 9599 + .../SP800-53/rev5/SP800-53-declarations.json | 173 + working/SP800-53/rev5/SP800-53rev5-OSCAL.json | 59664 +++++++ 71 files changed, 479993 insertions(+) create mode 100644 examples/FedRAMP/FedRAMP-HIGH-crude.json create mode 100644 examples/FedRAMP/FedRAMP-HIGH-edited.json create mode 100644 examples/FedRAMP/FedRAMP-LOW-crude.json create mode 100644 examples/FedRAMP/FedRAMP-MODERATE-crude.json create mode 100644 examples/FedRAMP/roundtripped/FedRAMP-HIGH-crude.xml create mode 100644 examples/FedRAMP/roundtripped/FedRAMP-HIGH-edited.xml create mode 100644 examples/FedRAMP/roundtripped/FedRAMP-LOW-crude.xml create mode 100644 examples/FedRAMP/roundtripped/FedRAMP-MODERATE-crude.xml create mode 100644 examples/SP800-53/SP800-53-HIGH-baseline.json create mode 100644 examples/SP800-53/SP800-53-LOW-baseline.json create mode 100644 examples/SP800-53/SP800-53-MODERATE-baseline.json create mode 100644 examples/SP800-53/SP800-53-oscal-declarations.json create mode 100644 examples/SP800-53/SP800-53-rev4-catalog.json create mode 100644 examples/SP800-53/roundtripped/SP800-53-HIGH-baseline.xml create mode 100644 examples/SP800-53/roundtripped/SP800-53-LOW-baseline.xml create mode 100644 examples/SP800-53/roundtripped/SP800-53-MODERATE-baseline.xml create mode 100644 examples/SP800-53/roundtripped/SP800-53-oscal-declarations.xml create mode 100644 examples/SP800-53/roundtripped/SP800-53-rev4-catalog.xml create mode 100644 examples/mini-testing/01_identity-profile.json create mode 100644 examples/mini-testing/01a_param-only-profile.json create mode 100644 examples/mini-testing/02_all-profile.json create mode 100644 examples/mini-testing/03_all-with-enh-profile.json create mode 100644 examples/mini-testing/04_exclude1-profile.json create mode 100644 examples/mini-testing/05_exclude2-profile.json create mode 100644 examples/mini-testing/10_some-params-profile.json create mode 100644 examples/mini-testing/11_more-params-profile.json create mode 100644 examples/mini-testing/20_compound-profile.json create mode 100644 examples/mini-testing/30_patched-profile.json create mode 100644 examples/mini-testing/31_patched-messy-profile.json create mode 100644 examples/mini-testing/32_invalid-profile.json create mode 100644 examples/mini-testing/41_exceptions-profile.json create mode 100644 examples/mini-testing/42_invoke-exceptions-profile.json create mode 100644 examples/mini-testing/99includeACx2-profile.json create mode 100644 examples/mini-testing/99includeRAx3-profile.json create mode 100644 examples/mini-testing/mini-testing-catalog.json create mode 100644 examples/mini-testing/roundtripped/01_identity-profile.xml create mode 100644 examples/mini-testing/roundtripped/01a_param-only-profile.xml create mode 100644 examples/mini-testing/roundtripped/02_all-profile.xml create mode 100644 examples/mini-testing/roundtripped/03_all-with-enh-profile.xml create mode 100644 examples/mini-testing/roundtripped/04_exclude1-profile.xml create mode 100644 examples/mini-testing/roundtripped/05_exclude2-profile.xml create mode 100644 examples/mini-testing/roundtripped/10_some-params-profile.xml create mode 100644 examples/mini-testing/roundtripped/11_more-params-profile.xml create mode 100644 examples/mini-testing/roundtripped/20_compound-profile.xml create mode 100644 examples/mini-testing/roundtripped/30_patched-profile.xml create mode 100644 examples/mini-testing/roundtripped/31_patched-messy-profile.xml create mode 100644 examples/mini-testing/roundtripped/32_invalid-profile.xml create mode 100644 examples/mini-testing/roundtripped/41_exceptions-profile.xml create mode 100644 examples/mini-testing/roundtripped/42_invoke-exceptions-profile.xml create mode 100644 examples/mini-testing/roundtripped/99includeACx2-profile.xml create mode 100644 examples/mini-testing/roundtripped/99includeRAx3-profile.xml create mode 100644 examples/mini-testing/roundtripped/mini-testing-catalog.xml create mode 100644 schema/json/oscal-core.json create mode 100644 schema/json/oscal-profile.json create mode 100644 working/COBIT5/cobit5-auto-declarations.json create mode 100644 working/COBIT5/cobit5-tuned-declarations.json create mode 100644 working/CSF/CSF-framework-enhanced.json create mode 100644 working/CSF/csf-framework-oscal.json create mode 100644 working/FedRAMP/FedRAMP-HIGH-working.json create mode 100644 working/FedRAMP/FedRAMP-LOW-working.json create mode 100644 working/FedRAMP/FedRAMP-MODERATE-working.json create mode 100644 working/ISO-27002/ISO-27002-OSCAL-refined.json create mode 100644 working/SP800-53/rev4/HIGH-baseline-profile-oscal.json create mode 100644 working/SP800-53/rev4/LOW-baseline-profile-oscal.json create mode 100644 working/SP800-53/rev4/MODERATE-baseline-profile-oscal.json create mode 100644 working/SP800-53/rev4/SP800-53-OSCAL-demo.json create mode 100644 working/SP800-53/rev4/SP800-53-OSCAL-refined.json create mode 100644 working/SP800-53/rev4/SP800-53-declarations.json create mode 100644 working/SP800-53/rev4/SP800-53-selections.json create mode 100644 working/SP800-53/rev5/SP800-53-declarations.json create mode 100644 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"sc.13" + }, + { + "controlId": "sc.15" + }, + { + "controlId": "sc.17" + }, + { + "controlId": "sc.18" + }, + { + "controlId": "sc.19" + }, + { + "controlId": "sc.20" + }, + { + "controlId": "sc.21" + }, + { + "controlId": "sc.22" + }, + { + "controlId": "sc.23" + }, + { + "controlId": "sc.24" + }, + { + "controlId": "sc.28" + }, + { + "controlId": "sc.39" + }, + { + "controlId": "si.1" + }, + { + "controlId": "si.2" + }, + { + "subcontrolId": "si.2.1." + }, + { + "subcontrolId": "si.2.2." + }, + { + "controlId": "si.3" + }, + { + "subcontrolId": "si.3.1." + }, + { + "subcontrolId": "si.3.2." + }, + { + "controlId": "si.4" + }, + { + "subcontrolId": "si.4.2." + }, + { + "subcontrolId": "si.4.4." + }, + { + "subcontrolId": "si.4.5." + }, + { + "controlId": "si.5" + }, + { + "subcontrolId": "si.5.1." + }, + { + "controlId": "si.6" + }, + { + "controlId": "si.7" + }, + { + "subcontrolId": "si.7.1." + }, + { + "subcontrolId": "si.7.2." + }, + { + "subcontrolId": "si.7.5." + }, + { + "subcontrolId": "si.7.7." + }, + { + "subcontrolId": "si.7.14." + }, + { + "controlId": "si.8" + }, + { + "subcontrolId": "si.8.1." + }, + { + "subcontrolId": "si.8.2." + }, + { + "controlId": "si.10" + }, + { + "controlId": "si.11" + }, + { + "controlId": "si.12" + }, + { + "controlId": "si.16" + } + ] + }, + "paramSettings": [ + { + "paramId": "ac-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ac-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ac-2_a", + "desc": "organization-defined information system account types", + "value": "organization-defined information system account types" + }, + { + "paramId": "ac-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-2_c", + "desc": "organization-defined procedures or conditions", + "value": "organization-defined procedures or conditions" + }, + { + "paramId": "ac-2_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ac-2_e", + "desc": "organization-defined time period for each type of account", + "value": "organization-defined time period for each type of account" + }, + { + "paramId": "ac-2_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-2_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-2_h", + "desc": "organization-defined time-period of expected inactivity or description of when to log out", + "value": "organization-defined time-period of expected inactivity or description of when to log out" + }, + { + "paramId": "ac-2_m", + "desc": "organization-defined circumstances and/or usage conditions", + "value": "organization-defined circumstances and/or usage conditions" + }, + { + "paramId": "ac-2_n", + "desc": "organization-defined information system accounts", + "value": "organization-defined information system accounts" + }, + { + "paramId": "ac-2_o", + "desc": "organization-defined atypical usage", + "value": "organization-defined atypical usage" + }, + { + "paramId": "ac-2_p", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-2_q", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-4_a", + "desc": "organization-defined information flow control policies", + "value": "organization-defined information flow control policies" + }, + { + "paramId": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "organization-defined duties of individuals" + }, + { + "paramId": "ac-6_a", + "desc": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information", + "value": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information" + }, + { + "paramId": "ac-6_b", + "desc": "organization-defined security functions or security-relevant information", + "value": "organization-defined security functions or security-relevant information" + }, + { + "paramId": "ac-6_c", + "desc": "organization-defined privileged commands", + "value": "organization-defined privileged commands" + }, + { + "paramId": "ac-6_d", + "desc": "organization-defined compelling operational needs", + "value": "organization-defined compelling operational needs" + }, + { + "paramId": "ac-6_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-7_a", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ac-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-7_c", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-7_d", + "desc": "organization-defined delay algorithm", + "value": "organization-defined delay algorithm" + }, + { + "paramId": "ac-8_a", + "desc": "organization-defined system use notification message or banner", + "value": "organization-defined system use notification message or banner" + }, + { + "paramId": "ac-8_b", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + }, + { + "paramId": "ac-10_a", + "desc": "organization-defined account and/or account type", + "value": "organization-defined account and/or account type" + }, + { + "paramId": "ac-10_b", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ac-11_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-12_a", + "desc": "organization-defined conditions or trigger events requiring session disconnect", + "value": "organization-defined conditions or trigger events requiring session disconnect" + }, + { + "paramId": "ac-14_a", + "desc": "organization-defined user actions", + "value": "organization-defined user actions" + }, + { + "paramId": "ac-17_a", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ac-17_b", + "desc": "organization-defined needs", + "value": "organization-defined needs" + }, + { + "paramId": "ac-19_c", + "desc": "organization-defined mobile devices", + "value": "organization-defined mobile devices" + }, + { + "paramId": "ac-21_a", + "desc": "organization-defined information sharing circumstances where user discretion is required", + "value": "organization-defined information sharing circumstances where user discretion is required" + }, + { + "paramId": "ac-21_b", + "desc": "organization-defined automated mechanisms or manual processes", + "value": "organization-defined automated mechanisms or manual processes" + }, + { + "paramId": "ac-22_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "at-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "au-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-2_a", + "desc": "organization-defined auditable events", + "value": "organization-defined auditable events" + }, + { + "paramId": "au-2_b", + "desc": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event", + "value": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event" + }, + { + "paramId": "au-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-3_a", + "desc": "organization-defined additional, more detailed information", + "value": "organization-defined additional, more detailed information" + }, + { + "paramId": "au-3_b", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "au-4_a", + "desc": "organization-defined audit record storage requirements", + "value": "organization-defined audit record storage requirements" + }, + { + "paramId": "au-5_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-5_b", + "desc": "organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)", + "value": "organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)" + }, + { + "paramId": "au-5_c", + "desc": "organization-defined personnel, roles, and/or locations", + "value": "organization-defined personnel, roles, and/or locations" + }, + { + "paramId": "au-5_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "au-5_e", + "desc": "organization-defined percentage", + "value": "organization-defined percentage" + }, + { + "paramId": "au-5_f", + "desc": "organization-defined real-time period", + "value": "organization-defined real-time period" + }, + { + "paramId": "au-5_g", + "desc": "organization-defined personnel, roles, and/or locations", + "value": "organization-defined personnel, roles, and/or locations" + }, + { + "paramId": "au-5_h", + "desc": "organization-defined audit failure events requiring real-time alerts", + "value": "organization-defined audit failure events requiring real-time alerts" + }, + { + "paramId": "au-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-6_b", + "desc": "organization-defined inappropriate or unusual activity", + "value": "organization-defined inappropriate or unusual activity" + }, + { + "paramId": "au-6_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-6_d", + "desc": "organization-defined data/information collected from other sources", + "value": "organization-defined data/information collected from other sources" + }, + { + "paramId": "au-7_a", + "desc": "organization-defined audit fields within audit records", + "value": "organization-defined audit fields within audit records" + }, + { + "paramId": "au-8_a", + "desc": "organization-defined granularity of time measurement", + "value": "organization-defined granularity of time measurement" + }, + { + "paramId": "au-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-8_c", + "desc": "organization-defined authoritative time source", + "value": "organization-defined authoritative time source" + }, + { + "paramId": "au-8_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "au-9_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-9_b", + "desc": "organization-defined subset of privileged users", + "value": "organization-defined subset of privileged users" + }, + { + "paramId": "au-10_a", + "desc": "organization-defined actions to be covered by non-repudiation", + "value": "organization-defined actions to be covered by non-repudiation" + }, + { + "paramId": "au-11_a", + "desc": "organization-defined time period consistent with records retention policy", + "value": "organization-defined time period consistent with records retention policy" + }, + { + "paramId": "au-12_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "au-12_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-12_c", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "au-12_d", + "desc": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail", + "value": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail" + }, + { + "paramId": "au-12_e", + "desc": "organization-defined individuals or roles", + "value": "organization-defined individuals or roles" + }, + { + "paramId": "au-12_f", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "au-12_g", + "desc": "organization-defined selectable event criteria", + "value": "organization-defined selectable event criteria" + }, + { + "paramId": "au-12_h", + "desc": "organization-defined time thresholds", + "value": "organization-defined time thresholds" + }, + { + "paramId": "ca-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ca-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-2_b", + "desc": "organization-defined individuals or roles", + "value": "organization-defined individuals or roles" + }, + { + "paramId": "ca-2_c", + "desc": "organization-defined level of independence", + "value": "organization-defined level of independence" + }, + { + "paramId": "ca-2_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-2_e", + "desc": "organization-defined other forms of security assessment", + "value": "organization-defined other forms of security assessment" + }, + { + "paramId": "ca-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-3_h", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + }, + { + "paramId": "ca-5_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-7_a", + "desc": "organization-defined metrics", + "value": "organization-defined metrics" + }, + { + "paramId": "ca-7_b", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "paramId": "ca-7_c", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "paramId": "ca-7_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ca-7_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-7_f", + "desc": "organization-defined level of independence", + "value": "organization-defined level of independence" + }, + { + "paramId": "ca-8_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-8_b", + "desc": "organization-defined information systems or system components", + "value": "organization-defined information systems or system components" + }, + { + "paramId": "ca-9_a", + "desc": "organization-defined information system components or classes of components", + "value": "organization-defined information system components or classes of components" + }, + { + "paramId": "cm-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cm-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-2_b", + "desc": "Assignment organization-defined circumstances", + "value": "Assignment organization-defined circumstances" + }, + { + "paramId": "cm-2_c", + "desc": "organization-defined previous versions of baseline configurations of the information system", + "value": "organization-defined previous versions of baseline configurations of the information system" + }, + { + "paramId": "cm-2_d", + "desc": "organization-defined information systems, system components, or devices", + "value": "organization-defined information systems, system components, or devices" + }, + { + "paramId": "cm-2_e", + "desc": "organization-defined configurations", + "value": "organization-defined configurations" + }, + { + "paramId": "cm-2_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "cm-3_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cm-3_b", + "desc": "organization-defined configuration change control element (e.g., committee, board)", + "value": "organization-defined configuration change control element (e.g., committee, board)" + }, + { + "paramId": "cm-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-3_d", + "desc": "organization-defined configuration change conditions", + "value": "organization-defined configuration change conditions" + }, + { + "paramId": "cm-3_e", + "desc": "organized-defined approval authorities", + "value": "organized-defined approval authorities" + }, + { + "paramId": "cm-3_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cm-3_g", + "desc": "organization-defined personnel", + "value": "organization-defined personnel" + }, + { + "paramId": "cm-5_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-5_b", + "desc": "organization-defined circumstances", + "value": "organization-defined circumstances" + }, + { + "paramId": "cm-5_c", + "desc": "organization-defined software and firmware components", + "value": "organization-defined software and firmware components" + }, + { + "paramId": "cm-6_a", + "desc": "organization-defined security configuration checklists", + "value": "organization-defined security configuration checklists" + }, + { + "paramId": "cm-6_b", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "cm-6_c", + "desc": "organization-defined operational requirements", + "value": "organization-defined operational requirements" + }, + { + "paramId": "cm-6_d", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "cm-6_e", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "cm-6_f", + "desc": "organization-defined configuration settings", + "value": "organization-defined configuration settings" + }, + { + "paramId": "cm-7_a", + "desc": "organization-defined prohibited or restricted functions, ports, protocols, and/or services", + "value": "organization-defined prohibited or restricted functions, ports, protocols, and/or services" + }, + { + "paramId": "cm-7_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-7_c", + "desc": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure", + "value": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure" + }, + { + "paramId": "cm-7_d", + "desc": "organization-defined policies regarding software program usage and restrictions", + "value": "organization-defined policies regarding software program usage and restrictions" + }, + { + "paramId": "cm-7_h", + "desc": "organization-defined software programs authorized to execute on the information system", + "value": "organization-defined software programs authorized to execute on the information system" + }, + { + "paramId": "cm-7_i", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-8_a", + "desc": "organization-defined information deemed necessary to achieve effective information system component accountability", + "value": "organization-defined information deemed necessary to achieve effective information system component accountability" + }, + { + "paramId": "cm-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-8_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cm-11_a", + "desc": "organization-defined policies", + "value": "organization-defined policies" + }, + { + "paramId": "cm-11_b", + "desc": "organization-defined methods", + "value": "organization-defined methods" + }, + { + "paramId": "cm-11_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cp-2_b", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "cp-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-2_d", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "cp-2_e", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-2_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-3_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-4_b", + "desc": "organization-defined tests", + "value": "organization-defined tests" + }, + { + "paramId": "cp-7_a", + "desc": "organization-defined information system operations", + "value": "organization-defined information system operations" + }, + { + "paramId": "cp-7_b", + "desc": "organization-defined time period consistent with recovery time and recovery point objectives", + "value": "organization-defined time period consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-8_a", + "desc": "organization-defined information system operations", + "value": "organization-defined information system operations" + }, + { + "paramId": "cp-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-9_a", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_b", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_c", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-9_e", + "desc": "organization-defined critical information system software and other security-related information", + "value": "organization-defined critical information system software and other security-related information" + }, + { + "paramId": "cp-9_f", + "desc": "organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives", + "value": "organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives" + }, + { + "paramId": "cp-10_a", + "desc": "organization-defined restoration time-periods", + "value": "organization-defined restoration time-periods" + }, + { + "paramId": "ia-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ia-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ia-2_d", + "desc": "organization-defined strength of mechanism requirements", + "value": "organization-defined strength of mechanism requirements" + }, + { + "paramId": "ia-3_a", + "desc": "organization-defined specific and/or types of devices", + "value": "organization-defined specific and/or types of devices" + }, + { + "paramId": "ia-4_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-4_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ia-4_c", + "desc": "organization-defined time period of inactivity", + "value": "organization-defined time period of inactivity" + }, + { + "paramId": "ia-5_a", + "desc": "organization-defined time period by authenticator type", + "value": "organization-defined time period by authenticator type" + }, + { + "paramId": "ia-5_b", + "desc": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type", + "value": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type" + }, + { + "paramId": "ia-5_c", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ia-5_d", + "desc": "organization-defined numbers for lifetime minimum, lifetime maximum", + "value": "organization-defined numbers for lifetime minimum, lifetime maximum" + }, + { + "paramId": "ia-5_e", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ia-5_f", + "desc": "organization-defined types of and/or specific authenticators", + "value": "organization-defined types of and/or specific authenticators" + }, + { + "paramId": "ia-5_g", + "desc": "organization-defined registration authority", + "value": "organization-defined registration authority" + }, + { + "paramId": "ia-5_h", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-5_l", + "desc": "organization-defined token quality requirements", + "value": "organization-defined token quality requirements" + }, + { + "paramId": "ia-8_a", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + }, + { + "paramId": "ir-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ir-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ir-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-3_b", + "desc": "organization-defined tests", + "value": "organization-defined tests" + }, + { + "paramId": "ir-6_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ir-6_b", + "desc": "organization-defined authorities", + "value": "organization-defined authorities" + }, + { + "paramId": "ir-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ir-8_b", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "ir-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-8_d", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "ma-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ma-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ma-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-2_b", + "desc": "organization-defined maintenance-related information", + "value": "organization-defined maintenance-related information" + }, + { + "paramId": "ma-3_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-6_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "ma-6_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "mp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "mp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-2_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "paramId": "mp-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "mp-3_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-3_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + }, + { + "paramId": "mp-4_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "paramId": "mp-4_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + }, + { + "paramId": "mp-5_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "mp-6_a", + "desc": "organization-defined information system media", + "value": "organization-defined information system media" + }, + { + "paramId": "mp-6_b", + "desc": "organization-defined sanitization techniques and procedures", + "value": "organization-defined sanitization techniques and procedures" + }, + { + "paramId": "mp-6_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-6_d", + "desc": "organization-defined circumstances requiring sanitization of portable storage devices", + "value": "organization-defined circumstances requiring sanitization of portable storage devices" + }, + { + "paramId": "mp-7_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-7_b", + "desc": "organization-defined information systems or system components", + "value": "organization-defined information systems or system components" + }, + { + "paramId": "mp-7_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pe-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_a", + "desc": "organization-defined entry/exit points to the facility where the information system resides", + "value": "organization-defined entry/exit points to the facility where the information system resides" + }, + { + "paramId": "pe-3_b", + "desc": "organization-defined physical access control systems/devices", + "value": "organization-defined physical access control systems/devices" + }, + { + "paramId": "pe-3_c", + "desc": "organization-defined entry/exit points", + "value": "organization-defined entry/exit points" + }, + { + "paramId": "pe-3_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-3_e", + "desc": "organization-defined circumstances requiring visitor escorts and monitoring", + "value": "organization-defined circumstances requiring visitor escorts and monitoring" + }, + { + "paramId": "pe-3_f", + "desc": "organization-defined physical access devices", + "value": "organization-defined physical access devices" + }, + { + "paramId": "pe-3_g", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_h", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_i", + "desc": "organization-defined physical spaces containing one or more components of the information system", + "value": "organization-defined physical spaces containing one or more components of the information system" + }, + { + "paramId": "pe-4_a", + "desc": "organization-defined information system distribution and transmission lines", + "value": "organization-defined information system distribution and transmission lines" + }, + { + "paramId": "pe-4_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-6_b", + "desc": "organization-defined events or potential indications of events", + "value": "organization-defined events or potential indications of events" + }, + { + "paramId": "pe-6_g", + "desc": "organization-defined physical spaces containing one or more components of the information system", + "value": "organization-defined physical spaces containing one or more components of the information system" + }, + { + "paramId": "pe-8_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "pe-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-10_a", + "desc": "organization-defined location by information system or system component", + "value": "organization-defined location by information system or system component" + }, + { + "paramId": "pe-13_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pe-13_b", + "desc": "organization-defined emergency responders", + "value": "organization-defined emergency responders" + }, + { + "paramId": "pe-13_c", + "desc": "organization-defined emergency responders", + "value": "organization-defined emergency responders" + }, + { + "paramId": "pe-14_a", + "desc": "organization-defined acceptable levels", + "value": "organization-defined acceptable levels" + }, + { + "paramId": "pe-14_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-15_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pe-16_a", + "desc": "organization-defined types of information system components", + "value": "organization-defined types of information system components" + }, + { + "paramId": "pe-17_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + }, + { + "paramId": "pe-18_a", + "desc": "organization-defined physical and environmental hazards", + "value": "organization-defined physical and environmental hazards" + }, + { + "paramId": "pl-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pl-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pl-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-2_c", + "desc": "organization-defined individuals or groups", + "value": "organization-defined individuals or groups" + }, + { + "paramId": "pl-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-8_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-3_a", + "desc": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening", + "value": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening" + }, + { + "paramId": "ps-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-4_b", + "desc": "organization-defined information security topics", + "value": "organization-defined information security topics" + }, + { + "paramId": "ps-4_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-4_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-4_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-5_a", + "desc": "organization-defined transfer or reassignment actions", + "value": "organization-defined transfer or reassignment actions" + }, + { + "paramId": "ps-5_b", + "desc": "organization-defined time period following the formal transfer action", + "value": "organization-defined time period following the formal transfer action" + }, + { + "paramId": "ps-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-5_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-6_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-7_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ra-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-3_a", + "desc": "organization-defined document", + "value": "organization-defined document" + }, + { + "paramId": "ra-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-3_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-3_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-5_a", + "desc": "organization-defined frequency and/or randomly in accordance with organization-defined process", + "value": "organization-defined frequency and/or randomly in accordance with organization-defined process" + }, + { + "paramId": "ra-5_b", + "desc": "organization-defined response times", + "value": "organization-defined response times" + }, + { + "paramId": "ra-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-5_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-5_e", + "desc": "organization-defined corrective actions", + "value": "organization-defined corrective actions" + }, + { + "paramId": "ra-5_f", + "desc": "organization-identified information system components", + "value": "organization-identified information system components" + }, + { + "paramId": "ra-5_g", + "desc": "organization-defined vulnerability scanning activities", + "value": "organization-defined vulnerability scanning activities" + }, + { + "paramId": "sa-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-3_a", + "desc": "organization-defined system development life cycle", + "value": "organization-defined system development life cycle" + }, + { + "paramId": "sa-4_a", + "desc": "organization-defined design/implementation information", + "value": "organization-defined design/implementation information" + }, + { + "paramId": "sa-4_b", + "desc": "organization-defined level of detail", + "value": "organization-defined level of detail" + }, + { + "paramId": "sa-5_a", + "desc": "organization-defined actions", + "value": "organization-defined actions" + }, + { + "paramId": "sa-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-9_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + }, + { + "paramId": "sa-9_b", + "desc": "organization-defined processes, methods, and techniques", + "value": "organization-defined processes, methods, and techniques" + }, + { + "paramId": "sa-9_d", + "desc": "organization-defined external information system services", + "value": "organization-defined external information system services" + }, + { + "paramId": "sa-10_a", + "desc": "organization-defined configuration items under configuration management", + "value": "organization-defined configuration items under configuration management" + }, + { + "paramId": "sa-10_b", + "desc": "organization-defined personnel", + "value": "organization-defined personnel" + }, + { + "paramId": "sa-11_a", + "desc": "organization-defined depth and coverage", + "value": "organization-defined depth and coverage" + }, + { + "paramId": "sa-12_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "sa-15_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-15_b", + "desc": "organization-defined security requirements", + "value": "organization-defined security requirements" + }, + { + "paramId": "sa-16_a", + "desc": "organization-defined training", + "value": "organization-defined training" + }, + { + "paramId": "sc-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sc-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-5_a", + "desc": "organization-defined types of denial of service attacks or references to sources for such information", + "value": "organization-defined types of denial of service attacks or references to sources for such information" + }, + { + "paramId": "sc-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "sc-7_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-7_b", + "desc": "organization-defined internal communications traffic", + "value": "organization-defined internal communications traffic" + }, + { + "paramId": "sc-7_c", + "desc": "organization-defined external networks", + "value": "organization-defined external networks" + }, + { + "paramId": "sc-7_l", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "sc-7_m", + "desc": "organization-defined missions and/or business functions", + "value": "organization-defined missions and/or business functions" + }, + { + "paramId": "sc-8_a", + "desc": "organization-defined alternative physical safeguards", + "value": "organization-defined alternative physical safeguards" + }, + { + "paramId": "sc-10_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "sc-12_a", + "desc": "organization-defined requirements for key generation, distribution, storage, access, and destruction", + "value": "organization-defined requirements for key generation, distribution, storage, access, and destruction" + }, + { + "paramId": "sc-13_a", + "desc": "organization-defined cryptographic uses and type of cryptography required for each use", + "value": "organization-defined cryptographic uses and type of cryptography required for each use" + }, + { + "paramId": "sc-15_a", + "desc": "organization-defined exceptions where remote activation is to be allowed", + "value": "organization-defined exceptions where remote activation is to be allowed" + }, + { + "paramId": "sc-17_a", + "desc": "organization-defined certificate policy", + "value": "organization-defined certificate policy" + }, + { + "paramId": "sc-24_a", + "desc": "organization-defined known-state", + "value": "organization-defined known-state" + }, + { + "paramId": "sc-24_b", + "desc": "organization-defined types of failures", + "value": "organization-defined types of failures" + }, + { + "paramId": "sc-24_c", + "desc": "organization-defined system state information", + "value": "organization-defined system state information" + }, + { + "paramId": "sc-28_a", + "desc": "organization-defined information at rest", + "value": "organization-defined information at rest" + }, + { + "paramId": "si-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "si-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-3_b", + "desc": "organization-defined action", + "value": "organization-defined action" + }, + { + "paramId": "si-4_a", + "desc": "organization-defined monitoring objectives", + "value": "organization-defined monitoring objectives" + }, + { + "paramId": "si-4_b", + "desc": "organization-defined techniques and methods", + "value": "organization-defined techniques and methods" + }, + { + "paramId": "si-4_c", + "desc": "organization-defined information system monitoring information", + "value": "organization-defined information system monitoring information" + }, + { + "paramId": "si-4_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-4_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-4_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-4_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-4_h", + "desc": "organization-defined compromise indicators", + "value": "organization-defined compromise indicators" + }, + { + "paramId": "si-5_a", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "paramId": "si-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-5_c", + "desc": "organization-defined elements within the organization", + "value": "organization-defined elements within the organization" + }, + { + "paramId": "si-5_d", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "paramId": "si-6_a", + "desc": "organization-defined security functions", + "value": "organization-defined security functions" + }, + { + "paramId": "si-6_b", + "desc": "organization-defined system transitional states", + "value": "organization-defined system transitional states" + }, + { + "paramId": "si-6_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-6_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-6_e", + "desc": "organization-defined alternative action(s)", + "value": "organization-defined alternative action(s)" + }, + { + "paramId": "si-7_a", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + }, + { + "paramId": "si-7_b", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + }, + { + "paramId": "si-7_c", + "desc": "organization-defined transitional states or security-relevant events", + "value": "organization-defined transitional states or security-relevant events" + }, + { + "paramId": "si-7_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-7_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-7_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "si-7_g", + "desc": "organization-defined security-relevant changes to the information system", + "value": "organization-defined security-relevant changes to the information system" + }, + { + "paramId": "si-10_a", + "desc": "organization-defined information inputs", + "value": "organization-defined information inputs" + }, + { + "paramId": "si-11_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-16_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "alterations": [ + { + "controlId": "ac.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-1 (b) (1) [at least annually] AC-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (j) [monthly for privileged accessed, every six (6) months for non-privileged access]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (2) [Selection: disables] [Assignment: 24 hours from last use]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (3) [35 days for user accounts]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (3) Requirement: The service provider defines the time period for non-user accounts (e.g., accounts associated with devices). The time periods are approved and accepted by the JAB/AO. Where user management is a function of the service, reports of activity of consumer users shall be made available.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (4) [organization and/or service provider system owner]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (5) [inactivity is anticipated to exceed Fifteen (15) minutes]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (5) Guidance: Should use a shorter timeframe than AC-12.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.11.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNIST added this control to the NIST High Baseline during the 1/15/2015\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.12.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (12) (b)[at a minimum, the ISSO and/or similar role within the organization]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (12)(a) Guidance: Required for privileged accounts. AC-2 (12)(b) Guidance: Required for privileged accounts.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.13.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (13) [one (1) hour]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-5 Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-6 (1) [all functions not publicly accessible and all security-relevant information not publicly available]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-6 (2) [all security functions]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-6 (2) Guidance: Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-6 (3)-1 [all privileged commands]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.9.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-7(a)-1 [not more than three (3)]\u003c/p\u003e", + "\u003cp\u003eAC-7(a)-2 [fifteen (15) minutes] AC-7(b) [locks the account/node for a minimum of three (3) hours or until unlocked by an administrator]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-8 (a) [see additional Requirements and Guidance] AC-8 (c) (1) [see additional Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-8 Requirement: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO. Requirement: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. Guidance: If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. Requirement: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-10-2 [three (3) sessions for privileged access and two (2) sessions for non-privileged access]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.11", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-11(a) [fifteen (15) minutes]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.11.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.12", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.14", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.17", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.18", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.18.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.18.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.18.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.19", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.19.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.20", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.20.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.20.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.21", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.22", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-22 (d) [at least quarterly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.1", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "SECURITY AWARENESS AND TRAINING POLICY ANDPROCEDURES" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-1 (b) (1) [at least annually or whenever a significant change occurs] AT-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "at.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-3 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-4 (b) [five (5) years or 5 years after completion of a specific training program]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-1 (b) (1) [at least annually] AU-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-2 (a) [successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes] AU-2 (d) [organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event].\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-2 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-2 (3) [annually or whenever there is a change in the threat environment]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-2 (3) Guidance: Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.3.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-3 (1) [session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-3 (1) Guidance: For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.3.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-3 (2) [all network, data storage, and computing devices]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-5 (b). [organization-defined actions to be taken (overwrite oldest record)\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.5.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-5 (2)-1 [real-time] AU-5 (1)-2 [service provider personnel with authority to address failed audit events] AU-5 (1)-3 [audit failure events requiring real-time alerts, as defined by organization audit policy].\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-6 (a)-1 [at least weekly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-6 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-6 (5) [Selection (one or more): vulnerability scanning information; performance data; information system monitoring information; penetration test data; [Organization -defined data/information collected from other sources]]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-6 (6) Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-8 (b) [one second granularity of time measurement]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-8 (1) [http://tf.nist.gov/tf-cgi/servers.cgi] [At least hourly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-8 (1) Requirement: The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server. AU-8 (1) Requirement: The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server. AU-8 (1) Guidance: Synchronization of system clocks improves the accuracy of log analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.9.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-9 (2) [at least weekly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.9.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.9.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-10 [minimum actions including the addition, modification, deletion, approval, sending, or receiving of data]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.11", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-11 [at least one (1) year]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-11 Requirement: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.12", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-12 (a) [all information system and network components where audit capability is deployed/available]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.12.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNon-repudiation\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-12 (1) [all network, data storage, and computing devices]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.12.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNon-repudiation\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-12 (3) (1) [service provider-defined individuals or roles with audit configuration responsibilities] AU-12 (3) (2) [all network, data storage, and computing devices]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-1 (b) (1) [at least annually] CA-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-2 (b) [at least annually] CA-2 (d) [individuals or roles to include FedRAMP PMO]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-2 (1) Requirement: For JAB Authorization, must use an accredited 3PAO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-2 (2) [at least annually]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-2 (2) Requirement: To include 'announced', 'vulnerability scanning'\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-3 (c) [At least annually and on input from FedRAMP]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.3.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-3 (5) [deny-all, permit by exception]\u003c/p\u003e", + "\u003cp\u003e[any systems]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-3 (5) Guidance: For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-5 (b) [at least monthly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-5 Guidance: Requirement: POA\u0026amp;Ms must be provided at least monthly.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-6 (c) [at least every three (3) years or when a significant change occurs]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-6 (c) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-7 (g) [to meet Federal and FedRAMP requirements]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-7 Requirement: Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually CA-7 Guidance: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA\u0026amp;M updates. Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-8-1 [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-1 (b) (1) [at least annually] CM-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-2 (1) (a) [at least annually or when a significant change occurs] CM-2 (1) (b) [to include when directed by the JAB]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-2 (1) (a) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-2 (3) [organization-defined previous versions of baseline configurations of the previously approved baseline configuration of IS components]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.2.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-3 Requirement: The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO. CM-3 (e) Guidance: In accordance with record retention policies and procedures.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.3.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-3 (1) (c) [organization agreed upon time period] CM-3 (1) (f) [organization defined configuration management approval authorities]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.3.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.5.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-5 (2) [at least every thirty (30) days]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.5.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-5 (3) Guidance: If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-6 (a) [United States Government Configuration Baseline (USGCB)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-6 (a)-1 Requirement 1: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. CM-6 (a)-2 Requirement 2: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) validated or SCAP compatible (if validated checklists are not available). CM-6 (a) Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.6.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-7 (b) [United States Government Configuration Baseline (USGCB)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-7 (b) Requirement: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. CM-7 Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. (Partially derived from AC-17(8).\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-7 (1) (a) [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.7.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-7 (2) Guidance: This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.7.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-7(5) (c) [at least quarterly or when there is a change]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-8 (b) [at least monthly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-8 Requirement: must be provided at least monthly or when there is a change.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-8 (3) (a). [Continuously, using automated mechanisms with a maximum five-minute delay in detection.]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-8 (4) [position and role]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.11", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-11 (c) [Continuously (via CM-7 (5))]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-1 (b) (1) [at least annually] CP-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-2 (d) [at least annually]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-2 Requirement: For JAB authorizations the contingency lists include designated FedRAMP personnel.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-2 (4) [time period defined in service provider and organization SLA]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-3 (a) [ten (10) days] CP-3 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.3.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-4 (a)-1 [at least annually] CP-4 (a)-2 [functional exercises]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-4 (a) Requirement: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.6.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.6.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-7 (a) Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-7 (1) Guidance: The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-8 Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.8.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.8.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.8.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-8 (4) (c) [annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (a) [daily incremental; weekly full] CP-9 (b) [daily incremental; weekly full] CP-9 (c) [daily incremental; weekly full]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-9 Requirement: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. CP-9 (a) Requirement: The service provider maintains at least three backup copies of user-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (b) Requirement: The service provider maintains at least three backup copies of system-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (c) Requirement: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online) or provides an equivalent alternative.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.9.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (1). [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.9.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.9.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.9.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (5) [time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA].\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.10.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.10.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-10 (4) [time period consistent with the restoration time-periods defined in the service provider and organization SLA]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-1 (b) (1) [at least annually] IA-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.9.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.11.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-2 (11) [FIPS 140-2, NIAP Certification, or NSA approval]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-2 (11) Guidance: PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.12.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-2 (12) Guidance: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-4(a) [at a minimum, the ISSO (or similar role within the organization)] IA-4 (d) [at least two (2) years] IA-4 (e) [thirty-five (35) days] (See additional requirements and guidance.)\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-4 (e) Requirement: The service provider defines the time period of inactivity for device identifiers. Guidance: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (g) [to include sixty (60) days for passwords]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-5 Requirement: Authenticators must be compliant with NIST SP 800-63-2 Electronic Authentication Guideline assurance Level 4 (Link http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-63-2.pdf)\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (1) (a) [case sensitive, minimum of fourteen (14) characters, and at least one (1) each of upper-case letters, lower-case letters, numbers, and special characters] IA-5 (1) (b) [at least fifty percent (50%)] IA-5 (1) (d) [one (1) day minimum, sixty (60) day maximum] IA-5 (1) (e) [twenty four (24)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (3)-1 [All hardware/biometric (multifactor authenticators] IA-5 (3)-2 [in person]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.11.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.8", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "IDENTIFICATION AND AUTHENTICATION (NON- ORGANIZATIONAL USERS)" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.8.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.8.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.8.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High 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For JAB authorization, the service provider provides test plans to the JAB/AO annually. Test plans are approved and accepted by the JAB/AO prior to test commencing.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.3.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-4 Requirement: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-6 (a) [US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-6 Requirement: Reports security incident information according to FedRAMP Incident Communications Procedure.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-8 (b) [see additional FedRAMP Requirements and Guidance] IR-8 (c) [at least annually] IR-8 (e) [see additional FedRAMP Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-8 (b) Requirement: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. IR-8 (e) Requirement: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMA-1 (b) (1) [at least annually] MA-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.3.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.3.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.3.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMA-3 (3) (d). [the information owner explicitly authorizing removal of the equipment from the facility]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.4.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-1 (b) (1) [at least annually] MP-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-2-1 [any digital and non-digital media deemed sensitive]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-3 (b)-1 [no removable media types] MP-3 (b)-2 [organization-defined security safeguards not applicable]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-3 (b) Guidance: Second parameter not-applicable\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-4 (a)-1 [all types of digital and non-digital media with sensitive information] MP-4 (a)-2 [see additional FedRAMP requirements and guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-4 (a) Requirement: The service provider defines controlled areas within facilities where the information and information system reside.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-5 (a) [all media with sensitive information] [prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-5 (a) Requirement: The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.5.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-6(a)-2 [techniques and procedures IAW NIST SP 800-88 and Section 5.9: Reuse and Disposal of Storage Media and Hardware]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.6.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-6 (2) [at least every six (6) months]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-6 (2) Guidance: Equipment and procedures may be tested or validated for effectiveness\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.6.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.7.1.", + "augment": { + "parts": [ + { + "class": 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"justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-3 (a) (2) [CSP defined physical access control systems/devices AND guards] PE-3 (d) [in all circumstances within restricted access area where the information system resides] PE-3 (f) [at least annually] PE-3 (g) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.3.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + 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"\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-8 (a) [for a minimum of one (1) year] PE-8 (b) [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.11", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.11.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.12", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.13", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.13.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-13 (1) -1 [service provider building maintenance/physical security personnel] PE-13 (1) -2 [service provider emergency responders with incident response responsibilities]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.13.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.13.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.14", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-14 (a) [consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments] PE-14 (b) [continuously]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003ePE-14 (a) Requirements: The service provider measures temperature at server inlets and humidity levels by dew point.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.15", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.15.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-15 (1) [service provider building maintenance/physical security personnel]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.16", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-16 [all information system components]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.17", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.18", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-18 [physical and environmental hazards identified during threat assessment]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-1 (b) (1) [at least annually] PL-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pl.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-4 (c) [annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pl.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-8 (b) [at least annually or when a significant change occurs]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003ePL-8 (b) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-1 (b) (1) [at least annually] PS-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-3 (b) [for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-4 (a) [eight (8) hours]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ps.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-4 (2) [access control personnel responsible for disabling access to the system]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-5 (b)-2 [twenty-four (24) hours] PS-5 (d)-2 [twenty-four (24) hours]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-6 (b) [at least annually] PS-6 (c) (2) [at least annually and any time there is a change to the user's level of access]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-7 (d)-2 [terminations: immediately; transfers: within twenty-four (24) hours]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-8(b)-1 [at a minimum, the ISSO and/or similar role within the organization]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-1 (b) (1) [at least annually] RA-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-3 (b) [security assessment report]\u003c/p\u003e", + "\u003cp\u003eRA-3 (c) [at least annually or whenever a significant change occurs]\u003c/p\u003e", + "\u003cp\u003eRA-3 (e) [annually]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-3 Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. RA-3 (d) Requirement: Include all Authoring Officials and FedRAMP ISSOs.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (a) [monthly operating system/infrastructure; monthly web applications and databases] RA-5 (d) [high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (a) Requirement: an accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually. RA-5 (e) Requirement: to include the Risk Executive; for JAB authorizations to include FedRAMP\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (2) [prior to a new scan]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (4) [notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (5)-1 [operating systems / web applications / databases] RA-5 (5)-2 [all scans]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-1 (b) (1) [at least annually] SA-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-4 Guidance: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See http://www.niap-ccevs.org/vpl or http://www.commoncriteriaportal.org/products.html.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-4 (2)-1 [at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information]]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.9.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-5E [at a minimum, the ISSO (or similar role within the organization)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (a) [FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system] SA-9 (c) [Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.9.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (2) [all external systems where Federal information is processed or stored]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.10", + "augment": { + "parts": [ + 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"justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (7) (c) [disables/revokes access within a organization-specified timeframe]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.9.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "RESTRICTIONS ON USE OF SHARED GROUPS / ACCOUNTS" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (9) [organization-defined need with justification statement that explains why such accounts are necessary]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (9) Required if shared/group accounts are deployed\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (10) Required if shared/group accounts are deployed\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.4.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. If there is a significant high-impact risk of inadvertent or intentional data leakage with a system deployed in a shared-service environment, this control is justified to mitigate that risk. Similar justification applies when an organization needs to ensure data isolation between different types of information enclaves within the organization. ANALYSIS. Although this control is usually employed to control flows between different classified enclaves, it can also apply to non-classified scenarios (e.g., the need to isolate legal, personnel, health-related, financial, or other information or files deemed sensitive. SAMPLE THREAT VECTORS. Sensitive free-text information passes from the personnel department to the rest of the organization. Law-enforcement sensitive information is inadvertently pulled from the organization's general counsel case management system and passed outside the department to users without authorization to view that information. HIPAA-protected health information flows freely from the HR department to all employees. Privacy-Act information flows from an HR system into a publicly released report. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Adaptive, Manageable, Assessed, Auditable, Regulated, Controlled, Monitored, Providing Good Data Stewardship, Assured, Competent, Confidential, Data Controllable, Access-Controlled.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.4.21.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eCSP Insider Threat mitigation; Good housekeeping and a best business practice for the protection of the CSP and customer alike. In a cloud environment, the power (and potentially harm) of the privileged users is greatly magnified because of the scale. For that reason periodic review of privileges is important.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: HIGH\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-6 (7)(a)-1 at a minimum, annually AC-6 (7)(a)-2 all users with privileges\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eThis control is not part of the NIST high baseline and was added for FedRAMP at the recommendation of DoD and NIST. This is a CNSSI 1253 control.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-6 (8) [any software except software explicitly documented]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.7.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. If an organization’s mobile devices carry information whose loss would have a high impact, this control is warranted in order to mitigate the risk of such loss. ANALYSIS. The technologies associated with this control are well established COTS hardware and software. SAMPLE THREAT VECTORS. Mobile device is lost, falls into the hands of people without authorization to view the information contained on the device. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Usable, Adaptive, Manageable, Agile, Supported, Assessed, Auditable, Regulated, Controlled, Monitored, Providing Good Data Stewardship, Assured, Confidential, Data Controllable, Access-Controlled, Mission Assured.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-7 (2)-1 [mobile devices as defined by organization policy] AC-7 (2)-3 [three (3)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.12.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRecommended by High Baseline Tiger Team. vulnerabilities associated with not having a logout button are well-documented.\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-12 (1) Guidance: https://www.owasp.org/index.php/Testing_for_logout_functionality_%28OTG-SESS-006%29\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.9.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-17 (9) [fifteen (15) minutes]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.18.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Best business practice for the protection of the CSP and customer alike \" when not intended for use\". This is an unanticipated vector for attack if present and active. While probably not an issue with data center servers and networking devices, wireless is becoming embedded in many components and devices such as printers, fax devices, copiers, scanners, communications devices, etc. There is the additional potential that wireless capabilities may become available in air conditioners, power centers, power controllers, lighting, alarm systems, etc. There is a potential that these capabilities could exist without organizational awareness. Selection drivedsawareness. It's better to perform the check than to make assumptions about what devices are in the IS.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs The application of this control enchancement should include all systems and devices in the CSP facility such as printers, fax devices, copiers, scanners, communications devices, air conditioners, power centers, power controllers, lighting, alarm systems, etc. Wireless networking capabilities should be disabled when they are near or networked with systems supporting customer's services.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: Moderate (Low L1/2)\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "at.3.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems warrant significantly elevated protection; one of these elevated protections is provided through simulated no-notice attacks that exercise users’ ability to detect and respond correctly to attempts to steal internal information in their possession. ANALYSIS. These controls are well understood and widely installed; COTS components keep implementation time and cost low. SAMPLE THREAT VECTORS. Cybersecurity staff do not know how to monitor, respond, and manage complex enforcement systems and subsystems. Cybersecurity staff is not properly trained to understand how the controls are to operate. Staff does not understand the event alarms/logs. Staff is not able to protect from unauthorized disclosure. Staff is careless with handling data, or unwilling to follow the established security protocols, or willing to cut corners to save time. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Assessed, Auditable, Controlled, Monitored, Providing Good Data Stewardship, Assured, Competent, Confidential.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "at.3.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems warrant significantly elevated protection.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. These controls are well understood and widely installed.\u003c/p\u003e", + "\u003cp\u003eTHREAT VECTORS ADDRESSED. Staff does not know how to monitor or manage complex systems in a way that supports effective management decision or control. Malicious actors manipulate the system to appear as if functioning normally when in reality, it is not. People fail to review event logs. People make unauthorized changes to event logger.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Assessed, Auditable, Controlled, Monitored, Providing Good Data Stewardship, Assured, Competent, Confidential.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-3 (4) [malicious code indicators as defined by organization incident policy/capability]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Due to the complexity of independent systems exchanging security-related monitoring data, and high-impact systems implemented in shared-service environments, the responsible organization needs a centralized capability that integrates these various data sources into a unified whole permitting central review and analysis of diverse log data relevant to security audits. ANALYSIS. This control permits analysts and auditors to focus on their primary duty of analyzing log data, and relieves them of the usual burden of discovery, collection, validation, aggregation, and indexing of large log datasets relevant to system security. Since these latter collection tasks have been automated under this control, less time and funding will be required to execute this core audit/analysis activity. SAMPLE THREAT VECTORS. Staff does not know how to monitor or manage complex systems in a way that supports effective management decision or control. Malicious actors manipulate the system to appear as if functioning normally, when it is not. People fail to review event logs. People make unauthorized changes to event logger.\" RELEVANT SECURITY CONTROL ATTRIBUTES. Monitored.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eThis control is not part of the NIST high baseline and was added for FedRAMP.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-6 (7) [information system process; role; user]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection L3-6: In support of cyber security threat / incident response activities. Supports flexibility in auditing levels based on threat level. Supports CSP integration with DoD security architecture. The sensitivity of the information at levels 3-6 warrents the adjustment of auditing levels based on threat level.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: This CE supports cyber security threat / incident response activities and flexibility in auditing levels based on threat level. This CE also supports CSP integration with DoD security architecture and the ability to respond to USCYBERCOM and DoD CNDSP alerts and directives. NOTE L1/2: The handling of alerts from US-CERT and other credible sources is sufficient to change auditing activities if this CE is tailored in via an SLA. NOTE: L3-6: The handling of alerts and directives from USCYBERCOM and DoD CNDSPs is required at these levels in addition to handling of alerts from US-CERTand other credible sources.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-2 (3)-1 [any FedRAMP Accredited 3PAO] CA-2 (3)-1-2 [any FedRAMP Accredited 3PAO] CA-2 (3)-1-3 [the conditions of the JAB/AO in the FedRAMP Repository]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.3.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-3 (3) [boundary protections which meet the Trusted Internet Connection (TIC) requirements]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-3 (3) Guidance: Refer to Appendix H – Cloud Considerations of the TIC 2.0 Reference Architecture document.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.7.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Organization requires independent data to validate that current security monitoring continues to target the right data, and that no gaps have opened between what is currently measured and what needs to be measured given the constantly evolving threat environment. In particular, the organization determines that security management will need trend analytics tuned to the current security climate to ensure the organization’s security officials maintain general situational awareness of larger security trends that may pose a threat to the organization’s high-impact systems fielded in shared-service environments.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. Implementation of this control should provide security management with a technical advantage by forcing them to maintain continual current awareness of the larger security threat-scape, rather than become lost in the lower-level details of specific security metrics.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS ADDRESSED. Stakeholders do not have the information they need to make sound decisions due to technology capability. System fails to send alarms, logs, and other pertinent data to the event manager. Control processes involve too many layers of review, concurrence, and revision to support effective and timely conveyance of relevant information to decision-makers. Monitoring not effectively linked to control processes.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Monitored, Controlled\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.3.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for De-Selection L1/2: The sensitivity of the information at these levels may not require a information security representative to be a member of the organization-defined configuration change control element. Rationale for Selection L3-6: This is a best business practice for the protection of the CSP and customer alike in that the security representative will be more aware of IA issues that configuration changes can introduce and he/she can more easily provide IA guidance for issues spotted.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-3 (4) Configuration control board (CCB) or similar (as defined in CM-3)\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.3.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for SA L1: Cryptographic mechanisms are only required at this level for priviledged user (system administrator / SA) access control and the transport of privileged commands or configuration files. Not the publicly released information served at this level. Rationale for Selection L2-6: Best practice. Supplemental guidance for this CE refers primarily to the processes surrounding the management of the cryptographic mechanisms used. These processes need to be under change management that addresses security concerns to ensure they remain secure.\u003c/p\u003e", + "\u003cp\u003eCE supplemental guidance. Regardless of the cryptographic means employed (e.g., public key, private key, shared secrets), organizations ensure that there are processes and procedures in place to effectively manage those means. For example, if devices use certificates as a basis for identification and authentication, there needs to be a process in place to address the expiration of those certificates.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-3 (6) All security safeguards that rely on cryptography\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.5.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-5 (5) (b) [at least quarterly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.10.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.11.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems will require special measures to ensure users cannot place the overall system at risk by installing unauthorized software. This control supports that need. ANALYSIS. Implementation of these controls is well understood, and relies on capabilities provided in COTS operating systems. SAMPLE THREAT VECTORS. The system executes malicious and harmful software. Software updates could render the system unstable or cause it to function incorrectly. Software is not designed with adequate safeguards to protect PII and other sensitive information. Users could make mistakes in following policy. Users could intentionally install unapproved/unvetted software. RELEVANT SECURITY CONTROL ATTRIBUTES. Quality Assured, Substantiated Integrity, Maintainable, Testable, Configuration Managed, Change Managed, Supported, Assessed, Auditable, Authorized, Regulated, Enforcement, Controlled, Reliable, Providing Good Data Stewardship, Assured, Confidential, Access-Controlled\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.5.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |\nGROUP AUTHENTICATION" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.4.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-4 (4) [contractors; foreign nationals]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (4) [complexity as identified in IA-5 (1) Control Enhancement Part (a)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-5 (4) Guidance: If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. In those cases where an organization’s user accounts authenticate to more than one system, and at least one of those systems is a high-impact system implemented in a shared-service environment, then this control is warranted as a baseline capability to guard against loss of high-impact, sensitive information. ANALYSIS. Organizations can use COTS tools and techniques to implement this control in many ways. Agencies should be prepared to document their plan and approach to this control technique. THREAT VECTORS ADDRESSED. A user’s account password is cracked, permitting attackers to identify all systems to which the user has access, and to gain access to the information in those systems. RELEVANT SECURITY CONTROL ATTRIBUTES. Monitored, Assessed\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (8) [different authenticators on different systems]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.13.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Best practice for authenticated web services and best business practice for the protection of the CSP and customer alike. ECSB sees this as a significant value add toward the protection of customer accounts on SaaS or customer service / managent interfaces/portals. L1 Rationale for SA: No authenticators are required for user access to public informationl. Info sensitivity does not warrant. However this CE would be required priviledged user access to manage the system server(s) containing public information.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: CSP must minimally implement this control enhancement on all SaaS offerings and customer service / managent interfaces. The time period can be negotiated in the SLA. NOTE: while the browser or other client cashes the authenticator, the server must enforce its expiration if the client does not.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: Low\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Organization requires near real-time subsystem reconfiguration for high-impact systems, especially those deployed wholly or partially into shared-service environments. This dynamic reconfiguration is required for core infrastructure components such as routers, firewalls, messaging gateways, or access control/authentication servers, especially when these core components are under cyber-attack.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. These critical cyber controls are well understood, and to some extent their automated capability has been established. Other aspects still require human decisions. Since this technology area is rapidly changing to meet new cyber-threat scenarios, it is expected that implementation of this control will be subject to significant change for the foreseeable future. Even so, its technology advantages are clear, especially for high-impact systems infrastructure.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. System does not have error-correcting or self-recovery capabilities. The system is not designed to allow for quick remediation of threats that will impact the system.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Survivable, Absorptive, Adaptive, Restorable\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-4 (2) [all network, data storage, and computing devices]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Due to the direct connection between system function and critical mission/business capability, the system requires Continuity-of-Operations (COOP) controls.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. These critical cyber controls are well understood, and to some extent their automated capability has been established. Other aspects still require human decisions. Since this technology area is rapidly changing to meet new cyber-threat scenarios and also changes in subsystem technology, it is expected that implementation of this control will be subject to significant change for the foreseeable future. Even so, its technology advantages are fundamental, especially for high-impact systems infrastructure.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. The system does not have error-correcting or self-recovery capabilities. The system is not designed to allow for quick remediation of threats that will impact the system. Time does not allow for the design in error handling, self-recovery, or to capitalize on system diversity to restore a system. Also, the organization lacks the expertise to develop or implement a plan for restoring system. A malicious change may be implemented to counter the ability to restore the system.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Survivable, Absorptive, Adaptable, Restorable\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems will require special measures to ensure security incidents are correctly and effectively handled in a timely manner. This high-level control supports that need, and is therefore warranted as a baseline for high-impact systems in shared-service environments. ANALYSIS. Implementation of this general control is well understood among Departments and Agencies. However, it may require special funding and time to implement in a shared service environment, where response roles and responsibilities demand vigilant analysis and definition. SAMPLE THREAT VECTORS. Insiders gain access to information for which they have no authorization. Insiders push sensitive information to outside networks not authorized to receive it. Insiders violate agency information-security policies. Insider actions are not monitored. RELEVANT SECURITY CONTROL ATTRIBUTES. Agile, Owned, Enforcement\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eThis control was recommended ecommended by the High Baseline Tiger Team.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-4 (8) [external organizations including consumer incident responders and network defenders and the appropriate CIRT/CERT (such as US-CERT, DOD CERT, IC CERT)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.7.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.9.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.9.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-9 (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.9.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.9.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.4.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Best practice business practice for the protection of the CSP and customer alike. Protects against unauthorized access and compromise of the CSP infrastructure. See Supplemental Guidance\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: While AC-17(2) is similar to this CE and implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions, System configuration, maintenance and diagnostic communications can be considered sensitive information and it is in DoD. Maintaining the confidrntiality and integrity of nonlocal maintenance and diagnostic communications helps maintain the health of the system, prevents unauthorized access from sniffing and MITM atacks, etc. While beneficial this selection may not be required for nonlocal maintenance and diagnostic communications over the CSP's private network and particularly if that network is out of band. Encryption is required if such communications are over a network external to the CSP (e.g., the Internet).\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.14.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ps.3.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-3 (3) (b) [personnel screening criteria – as required by specific information]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (6) Guidance: include in Continuous Monitoring ISSO digest/report to JAB/AO\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (8) Requirements: This enhancement is required for all high vulnerability scan findings. Guidance: While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Organizations commonly run vulnerability scanning tools against diverse enterprise systems and subsystems. These tools are often attuned to the specific subsystems, and often provided by different manufacturers. Because there is no single-vendor consolidation of all scanning tools, organizations need to correlate the outputs of these tools in order to triangulate on potential threats that may be related, or identical at their source. When the security impact is high a shared-service environment may increase the number of independent scanning tools, implementation of this control is warranted.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. Although this control is well understood by vendors, its implementation takes many forms, depending on the scanning tools adopted by a particular organization.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Different scanning tools discover low-impact vulnerabilities in multiple subsystems of a system. Considered individually, none of them warrants immediate action,; yet when considered together, they constitute a significant attack pattern.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Interoperable, Change Managed, Agile, Supported, Assessed, Monitored\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (10) Guidance: If multiple tools are not used, this control is not applicable.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-4 (8) [at least the minimum requirement as defined in control CA-7]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-4 (8) Guidance: CSP must use the same security standards regardless of where the system component or information system service is acquired.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.9.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.9.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (4)-2 [all external systems where Federal information is processed or stored]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.9.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (5)-1 [information processing, information data, AND information services]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.10.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.11.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-11 (1) Requirement: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.11.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.11.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-11 (8) Requirement: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems warrant careful attention to scenarios associated with exfiltration of sensitive organizational information. Different systems and implementation will trigger different scenarios, but regardless of the specific system context, organizations are warranted in establishing this control for high-impact systems with subsystems deployed into shared-service environments.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. Organizations should devote careful attention to design considerations relative to this control.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Authorized processes push very large volumes of data to external networks. Internal devices send address/status/security information to external networks.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES: Integrity-Assured, Absorptive, Survivable, Adaptive, Agile, Auditable, Monitored, Controlled, Data Controllable, Access-Controlled\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.12.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-7(12)-1 [Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.13.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSC-7 (13) Requirement: The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets. Guidance: Examples include: information security tools, mechanisms, and support components such as, but not limited to PKI, patching infrastructure, cyber defense tools, special purpose gateway, vulnerability tracking systems, internet access points (IAPs); network element and data center administrative/management traffic; Demilitarized Zones (DMZs), Server farms/computing centers, centralized audit log servers etc.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.20.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems warrant careful attention to situations where specific sources or methods become suspect. Such situations can involve specific user accounts, messages, message payloads, data, applications, or even entire subsystems. Under these circumstances, a capability for dynamic segregation is highly justified.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. Isolation techniques are well understood in the cyber market, and constantly evolving. Example techniques include honey pots and honey nets. Both techniques can isolate a user, an autonomous application, or an entire subsystem.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Anomalous user behavior is detected Messages arrive from suspect domains. Messages arrive with suspect attachments. Applications begin to behave anomalously. Subsystems begin moving data anomalously.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Absorptive, Survivable, Adaptive, Agile, Auditable, Monitored, Controlled, Data Controllable, Access-Controlled\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.12.2.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT |\nSYMMETRIC KEYS" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-12 (2) [NIST FIPS-compliant]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.12.3.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT |\nASYMMETRIC KEYS" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.23.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Rationale for Selection for SA L1: At L1 this CE is only applicable to privileged user sessions.\u003c/p\u003e", + "\u003cp\u003eRationale for Selection L1-6: Best Practice; APT. This CE mitigates the threat/vulnerability inherant in authenticated sessions whereby If an adversary captures a session identifier that remains valid after the session is terminated, the adversary could use it to reinitiate the session thus gaining unauthorized access to CSP and CSP customer resources and information/data.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: If an adversary captures a session identifier that remains valid after the session is terminated, the adversary could use it to reinitiate the session thus gaining unauthorized access to CSP and/or CSP customer resources and information/data. While unnessary for user sessions at L1, this enhancement is selected for System Administrator sessions.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.28.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-28 (1)-2 [all information system components storing customer data deemed sensitive]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.3.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.11.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. When a high-impact system is implemented in a shared-service environment, organizations should ensure their sensitive data is properly protected against classic threats to the confidentiality of its sensitive information. This control partially meets that need.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. The tools and techniques for implementing this monitoring control are now well understood and embedded in COTS operating systems and software.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Large outbound file transfers execute without being detected. External malware network sites are accessed from within the organization without detection. Network sessions remain connected for long periods of time without detection. Esoteric protocols are active and undetected on ports not defined by the organization.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Monitored\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.14.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.16.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.18.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. When a high-impact system is implemented in a shared-service environment, organizations should ensure their sensitive data is properly protected against classic threats to the confidentiality of sensitive information. This control partially meets that need.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. The tools and techniques for implementing this monitoring control are now well understood, and embedded in COTS operating systems and software.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Large outbound files are disguised to transfer without being detected. Communications with external malware network sites are embedded to avoid detection.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Substantiated Integrity, Monitored, Assessed\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.19.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for De-Selection L1-3: The information sensitivity at these levels does not seem to warrant implementation of this CE. The costs for instituting fine-grained monitoring per individual far may outweigh the risks\u003c/p\u003e", + "\u003cp\u003eRationale for selection L4-6: SP Insider Threat mitigation; The information sensitivity at these levels warrants implementation of this CE.Best business practice for the protection of the CSP and customer alike. This enhancement works in conjunction with AC-2 (13) account disablement for such individuals and IR-4 (6).\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: This enhancement works in conjunction with or opposite of AC-2 (13) which requires acount disablement within a specific time frame of discovering or identifying an individual posing a significant insider threat. In some instances the best action is not to terminate the individual's account, but rather to monitor their actions. This allows for the ability to collect evidence (for prosecution) and obtain insight into the TTPs that they may be using and others they may working with. Termination of the account is often best left as a final act.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: Moderate\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.20.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "PRIVILEGED USER" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Best business practice for the protection of the CSP and customer alike. Given the scale of a cloud, the possible harm by an malicious insider is greatly magnified over normal systems.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: his CE is on a par with SI-4 (9), IR-4 (6) and the various other insider threat Cs/CEs. Supports the mitigation of insider threat from those that can do the most damage. While CSPs typically claim they only have privileged users in their infrastructure (other than customers), this CEadds value for privilege users that have higher privilege than others. These higher privileged users should be subject to additional monitoring.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.22.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. When a high-impact system is implemented across networks in a shared-service environment, organizations should monitor network services to protect against unauthorized services capable of exfiltrating sensitive information. This control meets that monitoring need.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. The tools and techniques for implementing this monitoring control are well understood, and embedded in COTS operating systems and software.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Systems daemons and application services running in the background, exfiltrating sensitive information to external networks.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Monitored, Assessed\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.23.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.24.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. When a high-impact system is implemented across networks in a shared-service environment, organizations should aggressively monitor for symptoms that system integrity has been compromised. This control addresses that monitoring need.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. The tools and techniques for implementing this monitoring control are no longer unusual, but their implementation still requires careful initial analysis of tools, standards, and sources for indicators of compromise (IOC) data. This capability is not a simple matter of installing COTS software and watching for alerts. Rather, it requires staff to maintain a keen understanding of the threat-scape in order to properly understand the alerts coming from the IOC subsystem.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Temporary files appear but are not associated with any known system processes; independent security services warn of new surveillance techniques appearing globally; evidence of those new techniques appears in an organization’s event logs. Reports on the payload of a new botnet indicate that the system has been touched by the botnet.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Monitored, Assessed\u003c/p\u003e" + ] + } + ] + } + } + ] + } + ] +} \ No newline at end of file diff --git a/examples/FedRAMP/FedRAMP-HIGH-edited.json b/examples/FedRAMP/FedRAMP-HIGH-edited.json new file mode 100644 index 0000000000..bd1d48b269 --- /dev/null +++ b/examples/FedRAMP/FedRAMP-HIGH-edited.json @@ -0,0 +1,10076 @@ +{ + "id": "uuid-fe680beb-e833-4287-bf0f-985eeaea1e70", + "title": "FedRAMP HIGH Baseline PROFILE (extracted and aligned, no edits)", + "invocations": [ + { + "href": "../SP800-53/SP800-53-HIGH-baseline.json", + "include": { + "calls": [ + { + "controlId": "ac.1" + }, + { + "controlId": "ac.2" + }, + { + "subcontrolId": "ac.2.1." + }, + { + "subcontrolId": "ac.2.2." + }, + { + "subcontrolId": "ac.2.3." + }, + { + "subcontrolId": "ac.2.4." + }, + { + "subcontrolId": "ac.2.5." + }, + { + "subcontrolId": "ac.2.11." + }, + { + "subcontrolId": "ac.2.12." + }, + { + "subcontrolId": "ac.2.13." + }, + { + "controlId": "ac.3" + }, + { + "controlId": "ac.4" + }, + { + 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"controlId": "cm.5" + }, + { + "subcontrolId": "cm.5.1." + }, + { + "subcontrolId": "cm.5.2." + }, + { + "subcontrolId": "cm.5.3." + }, + { + "controlId": "cm.6" + }, + { + "subcontrolId": "cm.6.1." + }, + { + "subcontrolId": "cm.6.2." + }, + { + "controlId": "cm.7" + }, + { + "subcontrolId": "cm.7.1." + }, + { + "subcontrolId": "cm.7.2." + }, + { + "subcontrolId": "cm.7.5." + }, + { + "controlId": "cm.8" + }, + { + "subcontrolId": "cm.8.1." + }, + { + "subcontrolId": "cm.8.2." + }, + { + "subcontrolId": "cm.8.3." + }, + { + "subcontrolId": "cm.8.4." + }, + { + "subcontrolId": "cm.8.5." + }, + { + "controlId": "cm.9" + }, + { + "controlId": "cm.10" + }, + { + "controlId": "cm.11" + }, + { + "controlId": "cp.1" + }, + { + "controlId": "cp.2" + }, + { + "subcontrolId": "cp.2.1." + }, + { + "subcontrolId": "cp.2.2." + }, + { + "subcontrolId": "cp.2.3." + }, + { + "subcontrolId": "cp.2.4." + }, + { + "subcontrolId": "cp.2.5." + }, + { + "subcontrolId": "cp.2.8." + }, + { + "controlId": 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}, + { + "subcontrolId": "ia.2.1." + }, + { + "subcontrolId": "ia.2.2." + }, + { + "subcontrolId": "ia.2.3." + }, + { + "subcontrolId": "ia.2.4." + }, + { + "subcontrolId": "ia.2.8." + }, + { + "subcontrolId": "ia.2.9." + }, + { + "subcontrolId": "ia.2.11." + }, + { + "subcontrolId": "ia.2.12." + }, + { + "controlId": "ia.3" + }, + { + "controlId": "ia.4" + }, + { + "controlId": "ia.5" + }, + { + "subcontrolId": "ia.5.1." + }, + { + "subcontrolId": "ia.5.2." + }, + { + "subcontrolId": "ia.5.3." + }, + { + "subcontrolId": "ia.5.11." + }, + { + "controlId": "ia.6" + }, + { + "controlId": "ia.7" + }, + { + "controlId": "ia.8" + }, + { + "subcontrolId": "ia.8.1." + }, + { + "subcontrolId": "ia.8.2." + }, + { + "subcontrolId": "ia.8.3." + }, + { + "subcontrolId": "ia.8.4." + }, + { + "controlId": "ir.1" + }, + { + "controlId": "ir.2" + }, + { + "subcontrolId": "ir.2.1." + }, + { + "subcontrolId": "ir.2.2." + }, + { + "controlId": "ir.3" + }, + { + "subcontrolId": "ir.3.2." + }, + { + "controlId": "ir.4" + }, + { + "subcontrolId": "ir.4.1." + }, + { + "subcontrolId": "ir.4.4." + }, + { + "controlId": "ir.5" + }, + { + "subcontrolId": "ir.5.1." + }, + { + "controlId": "ir.6" + }, + { + "subcontrolId": "ir.6.1." + }, + { + "controlId": "ir.7" + }, + { + "subcontrolId": "ir.7.1." + }, + { + "controlId": "ir.8" + }, + { + "controlId": "ma.1" + }, + { + "controlId": "ma.2" + }, + { + "subcontrolId": "ma.2.2." + }, + { + "controlId": "ma.3" + }, + { + "subcontrolId": "ma.3.1." + }, + { + "subcontrolId": "ma.3.2." + }, + { + "subcontrolId": "ma.3.3." + }, + { + "controlId": "ma.4" + }, + { + "subcontrolId": "ma.4.2." + }, + { + "subcontrolId": "ma.4.3." + }, + { + "controlId": "ma.5" + }, + { + "subcontrolId": "ma.5.1." + }, + { + "controlId": "ma.6" + }, + { + "controlId": "mp.1" + }, + { + "controlId": "mp.2" + }, + { + "controlId": "mp.3" + }, + { + "controlId": "mp.4" + }, + { + "controlId": "mp.5" + }, + { + "subcontrolId": "mp.5.4." + }, + { + "controlId": "mp.6" + }, + { + "subcontrolId": "mp.6.1." + }, + { + "subcontrolId": "mp.6.2." + }, + { + "subcontrolId": "mp.6.3." + }, + { + "controlId": "mp.7" + }, + { + "subcontrolId": "mp.7.1." + }, + { + "controlId": "pe.1" + }, + { + "controlId": "pe.2" + }, + { + "controlId": "pe.3" + }, + { + "subcontrolId": "pe.3.1." + }, + { + "controlId": "pe.4" + }, + { + "controlId": "pe.5" + }, + { + "controlId": "pe.6" + }, + { + "subcontrolId": "pe.6.1." + }, + { + "subcontrolId": "pe.6.4." + }, + { + "controlId": "pe.8" + }, + { + "subcontrolId": "pe.8.1." + }, + { + "controlId": "pe.9" + }, + { + "controlId": "pe.10" + }, + { + "controlId": "pe.11" + }, + { + "subcontrolId": "pe.11.1." + }, + { + "controlId": "pe.12" + }, + { + "controlId": "pe.13" + }, + { + "subcontrolId": "pe.13.1." + }, + { + "subcontrolId": "pe.13.2." + }, + { + "subcontrolId": "pe.13.3." + }, + { + "controlId": "pe.14" + }, + { + "controlId": "pe.15" + }, + { + "subcontrolId": "pe.15.1." + }, + { + "controlId": "pe.16" + }, + { + "controlId": "pe.17" + }, + { + "controlId": "pe.18" + }, + { + "controlId": "pl.1" + }, + { + "controlId": "pl.2" + }, + { + "subcontrolId": "pl.2.3." + }, + { + "controlId": "pl.4" + }, + { + "subcontrolId": "pl.4.1." + }, + { + "controlId": "pl.8" + }, + { + "controlId": "ps.1" + }, + { + "controlId": "ps.2" + }, + { + "controlId": "ps.3" + }, + { + "controlId": "ps.4" + }, + { + "subcontrolId": "ps.4.2." + }, + { + "controlId": "ps.5" + }, + { + "controlId": "ps.6" + }, + { + "controlId": "ps.7" + }, + { + "controlId": "ps.8" + }, + { + "controlId": "ra.1" + }, + { + "controlId": "ra.2" + }, + { + "controlId": "ra.3" + }, + { + "controlId": "ra.5" + }, + { + "subcontrolId": "ra.5.1." + }, + { + "subcontrolId": "ra.5.2." + }, + { + "subcontrolId": "ra.5.4." + }, + { + "subcontrolId": "ra.5.5." + }, + { + "controlId": "sa.1" + }, + { + "controlId": "sa.2" + }, + { + "controlId": "sa.3" + }, + { + "controlId": "sa.4" + }, + { + "subcontrolId": "sa.4.1." + }, + { + "subcontrolId": "sa.4.2." + }, + { + "subcontrolId": "sa.4.9." + }, + { + "subcontrolId": "sa.4.10." + }, + { + "controlId": "sa.5" + }, + { + "controlId": "sa.8" + }, + { + "controlId": "sa.9" + }, + { + "subcontrolId": "sa.9.2." + }, + { + "controlId": "sa.10" + }, + { + "controlId": "sa.11" + }, + { + "controlId": "sa.12" + }, + { + "controlId": "sa.15" + }, + { + "controlId": "sa.16" + }, + { + "controlId": "sa.17" + }, + { + "controlId": "sc.1" + }, + { + "controlId": "sc.2" + }, + { + "controlId": "sc.3" + }, + { + "controlId": "sc.4" + }, + { + "controlId": "sc.5" + }, + { + "controlId": "sc.7" + }, + { + "subcontrolId": "sc.7.3." + }, + { + "subcontrolId": "sc.7.4." + }, + { + "subcontrolId": "sc.7.5." + }, + { + "subcontrolId": "sc.7.7." + }, + { + "subcontrolId": "sc.7.8." + }, + { + "subcontrolId": "sc.7.18." + }, + { + "subcontrolId": "sc.7.21." + }, + { + "controlId": "sc.8" + }, + { + "subcontrolId": "sc.8.1." + }, + { + "controlId": "sc.10" + }, + { + "controlId": "sc.12" + }, + { + "subcontrolId": "sc.12.1." + }, + { + "controlId": "sc.13" + }, + { + "controlId": "sc.15" + }, + { + "controlId": "sc.17" + }, + { + "controlId": "sc.18" + }, + { + "controlId": "sc.19" + }, + { + "controlId": "sc.20" + }, + { + "controlId": "sc.21" + }, + { + "controlId": "sc.22" + }, + { + "controlId": "sc.23" + }, + { + "controlId": "sc.24" + }, + { + "controlId": "sc.28" + }, + { + "controlId": "sc.39" + }, + { + "controlId": "si.1" + }, + { + "controlId": "si.2" + }, + { + "subcontrolId": "si.2.1." + }, + { + "subcontrolId": "si.2.2." + }, + { + "controlId": "si.3" + }, + { + "subcontrolId": "si.3.1." + }, + { + "subcontrolId": "si.3.2." + }, + { + "controlId": "si.4" + }, + { + "subcontrolId": "si.4.2." + }, + { + "subcontrolId": "si.4.4." + }, + { + "subcontrolId": "si.4.5." + }, + { + "controlId": "si.5" + }, + { + "subcontrolId": "si.5.1." + }, + { + "controlId": "si.6" + }, + { + "controlId": "si.7" + }, + { + "subcontrolId": "si.7.1." + }, + { + "subcontrolId": "si.7.2." + }, + { + "subcontrolId": "si.7.5." + }, + { + "subcontrolId": "si.7.7." + }, + { + "subcontrolId": "si.7.14." + }, + { + "controlId": "si.8" + }, + { + "subcontrolId": "si.8.1." + }, + { + "subcontrolId": "si.8.2." + }, + { + "controlId": "si.10" + }, + { + "controlId": "si.11" + }, + { + "controlId": "si.12" + }, + { + "controlId": "si.16" + } + ] + }, + "paramSettings": [ + { + "paramId": "ac-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-1_b", + "desc": "organization-defined frequency", + "value": "at least annually" + }, + { + "paramId": "ac-1_c", + "desc": "organization-defined frequency", + "value": "at least annually or whenever a significant change occurs" + }, + { + "paramId": "ac-2_a", + "desc": "organization-defined information system account types", + "value": "organization-defined information system account types" + }, + { + "paramId": "ac-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-2_c", + "desc": "organization-defined procedures or conditions", + "value": "organization-defined procedures or conditions" + }, + { + "paramId": "ac-2_d", + "desc": "organization-defined frequency", + "value": "monthly for privileged accessed, every six (6) months for non-privileged access" + }, + { + "paramId": "ac-2_e", + "desc": "organization-defined time period for each type of account", + "value": "24 hours from last use" + }, + { + "paramId": "ac-2_f", + "desc": "organization-defined time period", + "value": "35 days for user accounts" + }, + { + "paramId": "ac-2_g", + "desc": "organization-defined personnel or roles", + "value": "organization and/or service provider system owner" + }, + { + "paramId": "ac-2_h", + "desc": "organization-defined time-period of expected inactivity or description of when to log out", + "value": "inactivity is anticipated to exceed Fifteen (15) minutes" + }, + { + "paramId": "ac-2_m", + "desc": "organization-defined circumstances and/or usage conditions", + "value": "organization-defined circumstances and/or usage conditions" + }, + { + "paramId": "ac-2_n", + "desc": "organization-defined information system accounts", + "value": "organization-defined information system accounts" + }, + { + "paramId": "ac-2_o", + "desc": "organization-defined atypical usage", + "value": "organization-defined atypical usage" + }, + { + "paramId": "ac-2_p", + "desc": "organization-defined personnel or roles", + "value": "at a minimum, the ISSO and/or similar role within the organization" + }, + { + "paramId": "ac-2_q", + "desc": "organization-defined time period", + "value": "one (1) hour" + }, + { + "paramId": "ac-4_a", + "desc": "organization-defined information flow control policies", + "value": "organization-defined information flow control policies" + }, + { + "paramId": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "organization-defined duties of individuals" + }, + { + "paramId": "ac-6_a", + "desc": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information", + "value": "all functions not publicly accessible and all security-relevant information not publicly available" + }, + { + "paramId": "ac-6_b", + "desc": "organization-defined security functions or security-relevant information", + "value": "all security functions" + }, + { + "paramId": "ac-6_c", + "desc": "organization-defined privileged commands", + "value": "all privileged commands" + }, + { + "paramId": "ac-6_d", + "desc": "organization-defined compelling operational needs", + "value": "organization-defined compelling operational needs" + }, + { + "paramId": "ac-6_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-7_a", + "desc": "organization-defined number", + "value": "not more than three (3)" + }, + { + "paramId": "ac-7_b", + "desc": "organization-defined time period", + "value": "fifteen (15) minutes" + }, + { + "paramId": "ac-7_c", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-7_d", + "desc": "organization-defined delay algorithm", + "value": "locks the account/node for a minimum of three (3) hours or until unlocked by an administrator" + }, + { + "paramId": "ac-8_a", + "desc": "organization-defined system use notification message or banner", + "value": "[see additional Requirements and Guidance]" + }, + { + "paramId": "ac-8_b", + "desc": "organization-defined conditions", + "value": "[see additional Requirements and Guidance]" + }, + { + "paramId": "ac-10_a", + "desc": "organization-defined account and/or account type", + "value": "organization-defined account and/or account type" + }, + { + "paramId": "ac-10_b", + "desc": "organization-defined number", + "value": "three (3) sessions for privileged access and two (2) sessions for non-privileged access" + }, + { + "paramId": "ac-11_a", + "desc": "organization-defined time period", + "value": "fifteen (15) minutes" + }, + { + "paramId": "ac-12_a", + "desc": "organization-defined conditions or trigger events requiring session disconnect", + "value": "organization-defined conditions or trigger events requiring session disconnect" + }, + { + "paramId": "ac-14_a", + "desc": "organization-defined user actions", + "value": "organization-defined user actions" + }, + { + "paramId": "ac-17_a", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ac-17_b", + "desc": "organization-defined needs", + "value": "organization-defined needs" + }, + { + "paramId": "ac-19_c", + "desc": "organization-defined mobile devices", + "value": "organization-defined mobile devices" + }, + { + "paramId": "ac-21_a", + "desc": "organization-defined information sharing circumstances where user discretion is required", + "value": "organization-defined information sharing circumstances where user discretion is required" + }, + { + "paramId": "ac-21_b", + "desc": "organization-defined automated mechanisms or manual processes", + "value": "organization-defined automated mechanisms or manual processes" + }, + { + "paramId": "ac-22_a", + "desc": "organization-defined frequency", + "value": "at least quarterly" + }, + { + "paramId": "at-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "at-1_b", + "desc": "organization-defined frequency", + "value": "at least annually or whenever a significant change occurs" + }, + { + "paramId": "at-1_c", + "desc": "organization-defined frequency", + "value": "at least annually or whenever a significant change occurs" + }, + { + "paramId": "at-2_a", + "desc": "organization-defined frequency", + "value": "at least annually" + }, + { + "paramId": "at-3_a", + "desc": "organization-defined frequency", + "value": "at least annually" + }, + { + "paramId": "at-4_a", + "desc": "organization-defined time period", + "value": "five (5) years or 5 years after completion of a specific training program" + }, + { + "paramId": "au-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-1_b", + "desc": "organization-defined frequency", + "value": "at least annually" + }, + { + "paramId": "au-1_c", + "desc": "organization-defined frequency", + "value": "at least annually or whenever a significant change occurs" + }, + { + "paramId": "au-2_a", + "desc": "organization-defined auditable events", + "value": "successful and unsuccessful account logon events, account management events, object\n access, policy change, privilege functions, process tracking, and system events. For Web\n applications: all administrator activity, authentication checks, authorization checks,\n data deletions, data access, data changes, and permission changes" + }, + { + "paramId": "au-2_b", + "desc": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event", + "value": "organization-defined subset of the auditable events defined in AU-2a to be audited\n continually for each identified event" + }, + { + "paramId": "au-2_c", + "desc": "organization-defined frequency", + "value": "annually or whenever there is a change in the threat environment" + }, + { + "paramId": "au-3_a", + "desc": "organization-defined additional, more detailed information", + "value": "session, connection, transaction, or activity duration; for client-server\n transactions, the number of bytes received and bytes sent; additional informational\n messages to diagnose or identify the event; characteristics that describe or identify\n the object or resource being acted upon; individual identities of group account users;\n full-text of privileged commands" + }, + { + "paramId": "au-3_b", + "desc": "organization-defined information system components", + "value": "all network, data storage, and computing devices" + }, + { + "paramId": "au-4_a", + "desc": "organization-defined audit record storage requirements", + "value": "organization-defined audit record storage requirements" + }, + { + "paramId": "au-5_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-5_b", + "desc": "organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)", + "value": "organization-defined actions to be taken (overwrite oldest record)" + }, + { + "paramId": "au-5_c", + "desc": "organization-defined personnel, roles, and/or locations", + "value": "organization-defined personnel, roles, and/or locations" + }, + { + "paramId": "au-5_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "au-5_e", + "desc": "organization-defined percentage", + "value": "organization-defined percentage" + }, + { + "paramId": "au-5_f", + "desc": "organization-defined real-time period", + "value": "real-time" + }, + { + "paramId": "au-5_g", + "desc": "organization-defined personnel, roles, and/or locations", + "value": "service provider personnel with authority to address failed audit events" + }, + { + "paramId": "au-5_h", + "desc": "organization-defined audit failure events requiring real-time alerts", + "value": "audit failure events requiring real-time alerts, as defined by organization audit\n policy" + }, + { + "paramId": "au-6_a", + "desc": "organization-defined frequency", + "value": "at least weekly" + }, + { + "paramId": "au-6_b", + "desc": "organization-defined inappropriate or unusual activity", + "value": "organization-defined inappropriate or unusual activity" + }, + { + "paramId": "au-6_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-6_d", + "desc": "organization-defined data/information collected from other sources", + "value": "Selection (one or more): vulnerability scanning information; performance data;\n information system monitoring information; penetration test data" + }, + { + "paramId": "au-7_a", + "desc": "organization-defined audit fields within audit records", + "value": "organization-defined audit fields within audit records" + }, + { + "paramId": "au-8_a", + "desc": "organization-defined granularity of time measurement", + "value": "one second granularity of time measurement" + }, + { + "paramId": "au-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-8_c", + "desc": "organization-defined authoritative time source", + "value": "http://tf.nist.gov/tf-cgi/servers.cgi" + }, + { + "paramId": "au-8_d", + "desc": "organization-defined time period", + "value": "At least hourly" + }, + { + "paramId": "au-9_a", + "desc": "organization-defined frequency", + "value": "at least weekly" + }, + { + "paramId": "au-9_b", + "desc": "organization-defined subset of privileged users", + "value": "organization-defined subset of privileged users" + }, + { + "paramId": "au-10_a", + "desc": "organization-defined actions to be covered by non-repudiation", + "value": "minimum actions including the addition, modification, deletion, approval, sending,\n or receiving of data" + }, + { + "paramId": "au-11_a", + "desc": "organization-defined time period consistent with records retention policy", + "value": "at least one (1) year" + }, + { + "paramId": "au-12_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "au-12_b", + "desc": "organization-defined personnel or roles", + "value": "all information system and network components where audit capability is\n deployed/available" + }, + { + "paramId": "au-12_c", + "desc": "organization-defined information system components", + "value": "all network, data storage, and computing devices" + }, + { + "paramId": "au-12_d", + "desc": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail", + "value": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail" + }, + { + "paramId": "au-12_e", + "desc": "organization-defined individuals or roles", + "value": "service provider-defined individuals or roles with audit configuration\n responsibilities" + }, + { + "paramId": "au-12_f", + "desc": "organization-defined information system components", + "value": "all network, data storage, and computing devices" + }, + { + "paramId": "au-12_g", + "desc": "organization-defined selectable event criteria", + "value": "organization-defined selectable event criteria" + }, + { + "paramId": "au-12_h", + "desc": "organization-defined time thresholds", + "value": "organization-defined time thresholds" + }, + { + "paramId": "ca-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ca-1_b", + "desc": "organization-defined frequency", + "value": "at least annually" + }, + { + "paramId": "ca-1_c", + "desc": "organization-defined frequency", + "value": "at least annually or whenever a significant change occurs" + }, + { + "paramId": "ca-2_a", + "desc": "organization-defined frequency", + "value": "at least annually" + }, + { + "paramId": "ca-2_b", + "desc": "organization-defined individuals or roles", + "value": "individuals or roles to include FedRAMP PMO" + }, + { + "paramId": "ca-2_c", + "desc": "organization-defined level of independence", + "value": "organization-defined level of independence" + }, + { + "paramId": "ca-2_d", + "desc": "organization-defined frequency", + "value": "at least annually" + }, + { + "paramId": "ca-2_e", + "desc": "organization-defined other forms of security assessment", + "value": "organization-defined other forms of security assessment" + }, + { + "paramId": "ca-3_a", + "desc": "organization-defined frequency", + "value": "At least annually and on input from FedRAMP" + }, + { + "paramId": "ca-3_h", + "desc": "organization-defined information systems", + "value": "any systems" + }, + { + "paramId": "ca-5_a", + "desc": "organization-defined frequency", + "value": "at least monthly" + }, + { + "paramId": "ca-6_a", + "desc": "organization-defined frequency", + "value": "at least every three (3) years or when a significant change occurs" + }, + { + "paramId": "ca-7_a", + "desc": "organization-defined metrics", + "value": "organization-defined metrics" + }, + { + "paramId": "ca-7_b", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "paramId": "ca-7_c", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "paramId": "ca-7_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ca-7_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-7_f", + "desc": "organization-defined level of independence", + "value": "organization-defined level of independence" + }, + { + "paramId": "ca-8_a", + "desc": "organization-defined frequency", + "value": "at least annually" + }, + { + "paramId": "ca-8_b", + "desc": "organization-defined information systems or system components", + "value": "organization-defined information systems or system components" + }, + { + "paramId": "ca-9_a", + "desc": "organization-defined information system components or classes of components", + "value": "organization-defined information system components or classes of components" + }, + { + "paramId": "cm-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cm-1_b", + "desc": "organization-defined frequency", + "value": "at least annually" + }, + { + "paramId": "cm-1_c", + "desc": "organization-defined frequency", + "value": "at least annually or whenever a significant change occurs" + }, + { + "paramId": "cm-2_a", + "desc": "organization-defined frequency", + "value": "at least annually or when a significant change occurs" + }, + { + "paramId": "cm-2_b", + "desc": "Assignment organization-defined circumstances", + "value": "to include when directed by the JAB" + }, + { + "paramId": "cm-2_c", + "desc": "organization-defined previous versions of baseline configurations of the information system", + "value": "organization-defined previous versions of baseline configurations of the previously\n approved baseline configuration of IS components" + }, + { + "paramId": "cm-2_d", + "desc": "organization-defined information systems, system components, or devices", + "value": "organization-defined information systems, system components, or devices" + }, + { + "paramId": "cm-2_e", + "desc": "organization-defined configurations", + "value": "organization-defined configurations" + }, + { + "paramId": "cm-2_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "cm-3_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cm-3_b", + "desc": "organization-defined configuration change control element (e.g., committee, board)", + "value": "organization-defined configuration change control element (e.g., committee, board)" + }, + { + "paramId": "cm-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-3_d", + "desc": "organization-defined configuration change conditions", + "value": "organization-defined configuration change conditions" + }, + { + "paramId": "cm-3_e", + "desc": "organized-defined approval authorities", + "value": "organized-defined approval authorities" + }, + { + "paramId": "cm-3_f", + "desc": "organization-defined time period", + "value": "organization agreed upon time period" + }, + { + "paramId": "cm-3_g", + "desc": "organization-defined personnel", + "value": "organization defined configuration management approval authorities" + }, + { + "paramId": "cm-5_a", + "desc": "organization-defined frequency", + "value": "at least every thirty (30) days" + }, + { + "paramId": "cm-5_b", + "desc": "organization-defined circumstances", + "value": "organization-defined circumstances" + }, + { + "paramId": "cm-5_c", + "desc": "organization-defined software and firmware components", + "value": "organization-defined software and firmware components" + }, + { + "paramId": "cm-6_a", + "desc": "organization-defined security configuration checklists", + "value": "United States Government Configuration Baseline (USGCB)" + }, + { + "paramId": "cm-6_b", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "cm-6_c", + "desc": "organization-defined operational requirements", + "value": "organization-defined operational requirements" + }, + { + "paramId": "cm-6_d", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "cm-6_e", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "cm-6_f", + "desc": "organization-defined configuration settings", + "value": "organization-defined configuration settings" + }, + { + "paramId": "cm-7_a", + "desc": "organization-defined prohibited or restricted functions, ports, protocols, and/or services", + "value": "[United States Government Configuration Baseline (USGCB)]" + }, + { + "paramId": "cm-7_b", + "desc": "organization-defined frequency", + "value": "at least monthly" + }, + { + "paramId": "cm-7_c", + "desc": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure", + "value": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure" + }, + { + "paramId": "cm-7_d", + "desc": "organization-defined policies regarding software program usage and restrictions", + "value": "organization-defined policies regarding software program usage and restrictions" + }, + { + "paramId": "cm-7_h", + "desc": "organization-defined software programs authorized to execute on the information system", + "value": "organization-defined software programs authorized to execute on the information system" + }, + { + "paramId": "cm-7_i", + "desc": "organization-defined frequency", + "value": "at least quarterly or when there is a change" + }, + { + "paramId": "cm-8_a", + "desc": "organization-defined information deemed necessary to achieve effective information system component accountability", + "value": "organization-defined information deemed necessary to achieve effective information system component accountability" + }, + { + "paramId": "cm-8_b", + "desc": "organization-defined frequency", + "value": "at least monthly" + }, + { + "paramId": "cm-8_c", + "desc": "organization-defined frequency", + "value": "Continuously, using automated mechanisms with a maximum five-minute delay in\n detection." + }, + { + "paramId": "cm-8_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cm-11_a", + "desc": "organization-defined policies", + "value": "organization-defined policies" + }, + { + "paramId": "cm-11_b", + "desc": "organization-defined methods", + "value": "organization-defined methods" + }, + { + "paramId": "cm-11_c", + "desc": "organization-defined frequency", + "value": "Continuously (via CM-7 (5))" + }, + { + "paramId": "cp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cp-1_b", + "desc": "organization-defined frequency", + "value": "at least annually" + }, + { + "paramId": "cp-1_c", + "desc": "organization-defined frequency", + "value": "at least annually or whenever a significant change occurs" + }, + { + "paramId": "cp-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cp-2_b", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "cp-2_c", + "desc": "organization-defined frequency", + "value": "at least annually" + }, + { + "paramId": "cp-2_d", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "cp-2_e", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-2_f", + "desc": "organization-defined time period", + "value": "time period defined in service provider and organization SLA" + }, + { + "paramId": "cp-3_a", + "desc": "organization-defined time period", + "value": "ten (10) days" + }, + { + "paramId": "cp-3_b", + "desc": "organization-defined frequency", + "value": "at least annually" + }, + { + "paramId": "cp-4_a", + "desc": "organization-defined frequency", + "value": "at least annually" + }, + { + "paramId": "cp-4_b", + "desc": "organization-defined tests", + "value": "functional exercises" + }, + { + "paramId": "cp-7_a", + "desc": "organization-defined information system operations", + "value": "organization-defined information system operations" + }, + { + "paramId": "cp-7_b", + "desc": "organization-defined time period consistent with recovery time and recovery point objectives", + "value": "organization-defined time period consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-8_a", + "desc": "organization-defined information system operations", + "value": "organization-defined information system operations" + }, + { + "paramId": "cp-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-9_a", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_b", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_c", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-9_e", + "desc": "organization-defined critical information system software and other security-related information", + "value": "organization-defined critical information system software and other security-related information" + }, + { + "paramId": "cp-9_f", + "desc": "organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives", + "value": "organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives" + }, + { + "paramId": "cp-10_a", + "desc": "organization-defined restoration time-periods", + "value": "organization-defined restoration time-periods" + }, + { + "paramId": "ia-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ia-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ia-2_d", + "desc": "organization-defined strength of mechanism requirements", + "value": "organization-defined strength of mechanism requirements" + }, + { + "paramId": "ia-3_a", + "desc": "organization-defined specific and/or types of devices", + "value": "organization-defined specific and/or types of devices" + }, + { + "paramId": "ia-4_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-4_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ia-4_c", + "desc": "organization-defined time period of inactivity", + "value": "organization-defined time period of inactivity" + }, + { + "paramId": "ia-5_a", + "desc": "organization-defined time period by authenticator type", + "value": "organization-defined time period by authenticator type" + }, + { + "paramId": "ia-5_b", + "desc": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type", + "value": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type" + }, + { + "paramId": "ia-5_c", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ia-5_d", + "desc": "organization-defined numbers for lifetime minimum, lifetime maximum", + "value": "organization-defined numbers for lifetime minimum, lifetime maximum" + }, + { + "paramId": "ia-5_e", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ia-5_f", + "desc": "organization-defined types of and/or specific authenticators", + "value": "organization-defined types of and/or specific authenticators" + }, + { + "paramId": "ia-5_g", + "desc": "organization-defined registration authority", + "value": "organization-defined registration authority" + }, + { + "paramId": "ia-5_h", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-5_l", + "desc": "organization-defined token quality requirements", + "value": "organization-defined token quality requirements" + }, + { + "paramId": "ia-8_a", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + }, + { + "paramId": "ir-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ir-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ir-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-3_b", + "desc": "organization-defined tests", + "value": "organization-defined tests" + }, + { + "paramId": "ir-6_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ir-6_b", + "desc": "organization-defined authorities", + "value": "organization-defined authorities" + }, + { + "paramId": "ir-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ir-8_b", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "ir-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-8_d", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "ma-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ma-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ma-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-2_b", + "desc": "organization-defined maintenance-related information", + "value": "organization-defined maintenance-related information" + }, + { + "paramId": "ma-3_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-6_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "ma-6_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "mp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "mp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-2_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "paramId": "mp-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "mp-3_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-3_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + }, + { + "paramId": "mp-4_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "paramId": "mp-4_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + }, + { + "paramId": "mp-5_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "mp-6_a", + "desc": "organization-defined information system media", + "value": "organization-defined information system media" + }, + { + "paramId": "mp-6_b", + "desc": "organization-defined sanitization techniques and procedures", + "value": "organization-defined sanitization techniques and procedures" + }, + { + "paramId": "mp-6_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-6_d", + "desc": "organization-defined circumstances requiring sanitization of portable storage devices", + "value": "organization-defined circumstances requiring sanitization of portable storage devices" + }, + { + "paramId": "mp-7_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-7_b", + "desc": "organization-defined information systems or system components", + "value": "organization-defined information systems or system components" + }, + { + "paramId": "mp-7_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pe-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_a", + "desc": "organization-defined entry/exit points to the facility where the information system resides", + "value": "organization-defined entry/exit points to the facility where the information system resides" + }, + { + "paramId": "pe-3_b", + "desc": "organization-defined physical access control systems/devices", + "value": "organization-defined physical access control systems/devices" + }, + { + "paramId": "pe-3_c", + "desc": "organization-defined entry/exit points", + "value": "organization-defined entry/exit points" + }, + { + "paramId": "pe-3_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-3_e", + "desc": "organization-defined circumstances requiring visitor escorts and monitoring", + "value": "organization-defined circumstances requiring visitor escorts and monitoring" + }, + { + "paramId": "pe-3_f", + "desc": "organization-defined physical access devices", + "value": "organization-defined physical access devices" + }, + { + "paramId": "pe-3_g", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_h", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_i", + "desc": "organization-defined physical spaces containing one or more components of the information system", + "value": "organization-defined physical spaces containing one or more components of the information system" + }, + { + "paramId": "pe-4_a", + "desc": "organization-defined information system distribution and transmission lines", + "value": "organization-defined information system distribution and transmission lines" + }, + { + "paramId": "pe-4_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-6_b", + "desc": "organization-defined events or potential indications of events", + "value": "organization-defined events or potential indications of events" + }, + { + "paramId": "pe-6_g", + "desc": "organization-defined physical spaces containing one or more components of the information system", + "value": "organization-defined physical spaces containing one or more components of the information system" + }, + { + "paramId": "pe-8_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "pe-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-10_a", + "desc": "organization-defined location by information system or system component", + "value": "organization-defined location by information system or system component" + }, + { + "paramId": "pe-13_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pe-13_b", + "desc": "organization-defined emergency responders", + "value": "organization-defined emergency responders" + }, + { + "paramId": "pe-13_c", + "desc": "organization-defined emergency responders", + "value": "organization-defined emergency responders" + }, + { + "paramId": "pe-14_a", + "desc": "organization-defined acceptable levels", + "value": "organization-defined acceptable levels" + }, + { + "paramId": "pe-14_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-15_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pe-16_a", + "desc": "organization-defined types of information system components", + "value": "organization-defined types of information system components" + }, + { + "paramId": "pe-17_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + }, + { + "paramId": "pe-18_a", + "desc": "organization-defined physical and environmental hazards", + "value": "organization-defined physical and environmental hazards" + }, + { + "paramId": "pl-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pl-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pl-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-2_c", + "desc": "organization-defined individuals or groups", + "value": "organization-defined individuals or groups" + }, + { + "paramId": "pl-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-8_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-3_a", + "desc": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening", + "value": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening" + }, + { + "paramId": "ps-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-4_b", + "desc": "organization-defined information security topics", + "value": "organization-defined information security topics" + }, + { + "paramId": "ps-4_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-4_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-4_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-5_a", + "desc": "organization-defined transfer or reassignment actions", + "value": "organization-defined transfer or reassignment actions" + }, + { + "paramId": "ps-5_b", + "desc": "organization-defined time period following the formal transfer action", + "value": "organization-defined time period following the formal transfer action" + }, + { + "paramId": "ps-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-5_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-6_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-7_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ra-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-3_a", + "desc": "organization-defined document", + "value": "organization-defined document" + }, + { + "paramId": "ra-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-3_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-3_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-5_a", + "desc": "organization-defined frequency and/or randomly in accordance with organization-defined process", + "value": "organization-defined frequency and/or randomly in accordance with organization-defined process" + }, + { + "paramId": "ra-5_b", + "desc": "organization-defined response times", + "value": "organization-defined response times" + }, + { + "paramId": "ra-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-5_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-5_e", + "desc": "organization-defined corrective actions", + "value": "organization-defined corrective actions" + }, + { + "paramId": "ra-5_f", + "desc": "organization-identified information system components", + "value": "organization-identified information system components" + }, + { + "paramId": "ra-5_g", + "desc": "organization-defined vulnerability scanning activities", + "value": "organization-defined vulnerability scanning activities" + }, + { + "paramId": "sa-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-3_a", + "desc": "organization-defined system development life cycle", + "value": "organization-defined system development life cycle" + }, + { + "paramId": "sa-4_a", + "desc": "organization-defined design/implementation information", + "value": "organization-defined design/implementation information" + }, + { + "paramId": "sa-4_b", + "desc": "organization-defined level of detail", + "value": "organization-defined level of detail" + }, + { + "paramId": "sa-5_a", + "desc": "organization-defined actions", + "value": "organization-defined actions" + }, + { + "paramId": "sa-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-9_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + }, + { + "paramId": "sa-9_b", + "desc": "organization-defined processes, methods, and techniques", + "value": "organization-defined processes, methods, and techniques" + }, + { + "paramId": "sa-9_d", + "desc": "organization-defined external information system services", + "value": "organization-defined external information system services" + }, + { + "paramId": "sa-10_a", + "desc": "organization-defined configuration items under configuration management", + "value": "organization-defined configuration items under configuration management" + }, + { + "paramId": "sa-10_b", + "desc": "organization-defined personnel", + "value": "organization-defined personnel" + }, + { + "paramId": "sa-11_a", + "desc": "organization-defined depth and coverage", + "value": "organization-defined depth and coverage" + }, + { + "paramId": "sa-12_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "sa-15_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-15_b", + "desc": "organization-defined security requirements", + "value": "organization-defined security requirements" + }, + { + "paramId": "sa-16_a", + "desc": "organization-defined training", + "value": "organization-defined training" + }, + { + "paramId": "sc-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sc-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-5_a", + "desc": "organization-defined types of denial of service attacks or references to sources for such information", + "value": "organization-defined types of denial of service attacks or references to sources for such information" + }, + { + "paramId": "sc-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "sc-7_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-7_b", + "desc": "organization-defined internal communications traffic", + "value": "organization-defined internal communications traffic" + }, + { + "paramId": "sc-7_c", + "desc": "organization-defined external networks", + "value": "organization-defined external networks" + }, + { + "paramId": "sc-7_l", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "sc-7_m", + "desc": "organization-defined missions and/or business functions", + "value": "organization-defined missions and/or business functions" + }, + { + "paramId": "sc-8_a", + "desc": "organization-defined alternative physical safeguards", + "value": "organization-defined alternative physical safeguards" + }, + { + "paramId": "sc-10_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "sc-12_a", + "desc": "organization-defined requirements for key generation, distribution, storage, access, and destruction", + "value": "organization-defined requirements for key generation, distribution, storage, access, and destruction" + }, + { + "paramId": "sc-13_a", + "desc": "organization-defined cryptographic uses and type of cryptography required for each use", + "value": "organization-defined cryptographic uses and type of cryptography required for each use" + }, + { + "paramId": "sc-15_a", + "desc": "organization-defined exceptions where remote activation is to be allowed", + "value": "organization-defined exceptions where remote activation is to be allowed" + }, + { + "paramId": "sc-17_a", + "desc": "organization-defined certificate policy", + "value": "organization-defined certificate policy" + }, + { + "paramId": "sc-24_a", + "desc": "organization-defined known-state", + "value": "organization-defined known-state" + }, + { + "paramId": "sc-24_b", + "desc": "organization-defined types of failures", + "value": "organization-defined types of failures" + }, + { + "paramId": "sc-24_c", + "desc": "organization-defined system state information", + "value": "organization-defined system state information" + }, + { + "paramId": "sc-28_a", + "desc": "organization-defined information at rest", + "value": "organization-defined information at rest" + }, + { + "paramId": "si-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "si-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-3_b", + "desc": "organization-defined action", + "value": "organization-defined action" + }, + { + "paramId": "si-4_a", + "desc": "organization-defined monitoring objectives", + "value": "organization-defined monitoring objectives" + }, + { + "paramId": "si-4_b", + "desc": "organization-defined techniques and methods", + "value": "organization-defined techniques and methods" + }, + { + "paramId": "si-4_c", + "desc": "organization-defined information system monitoring information", + "value": "organization-defined information system monitoring information" + }, + { + "paramId": "si-4_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-4_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-4_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-4_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-4_h", + "desc": "organization-defined compromise indicators", + "value": "organization-defined compromise indicators" + }, + { + "paramId": "si-5_a", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "paramId": "si-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-5_c", + "desc": "organization-defined elements within the organization", + "value": "organization-defined elements within the organization" + }, + { + "paramId": "si-5_d", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "paramId": "si-6_a", + "desc": "organization-defined security functions", + "value": "organization-defined security functions" + }, + { + "paramId": "si-6_b", + "desc": "organization-defined system transitional states", + "value": "organization-defined system transitional states" + }, + { + "paramId": "si-6_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-6_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-6_e", + "desc": "organization-defined alternative action(s)", + "value": "organization-defined alternative action(s)" + }, + { + "paramId": "si-7_a", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + }, + { + "paramId": "si-7_b", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + }, + { + "paramId": "si-7_c", + "desc": "organization-defined transitional states or security-relevant events", + "value": "organization-defined transitional states or security-relevant events" + }, + { + "paramId": "si-7_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-7_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-7_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "si-7_g", + "desc": "organization-defined security-relevant changes to the information system", + "value": "organization-defined security-relevant changes to the information system" + }, + { + "paramId": "si-10_a", + "desc": "organization-defined information inputs", + "value": "organization-defined information inputs" + }, + { + "paramId": "si-11_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-16_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "alterations": [ + { + "controlId": "ac.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (3) Requirement: The service provider defines the time period for non-user accounts (e.g., accounts associated with devices). The time periods are approved and accepted by the JAB/AO. Where user management is a function of the service, reports of activity of consumer users shall be made available.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (5) Guidance: Should use a shorter timeframe than AC-12.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.11.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNIST added this control to the NIST High Baseline during the 1/15/2015 \u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.12.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (12)(a) Guidance: Required for privileged accounts. AC-2 (12)(b) Guidance: Required for privileged accounts. \u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.13.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-5 Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-6 (2) Guidance: Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.9.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-8 Requirement: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO. Requirement: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. Guidance: If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. Requirement: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.11", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.11.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.12", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.14", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.17", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.18", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.18.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.18.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.18.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.19", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.19.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.20", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.20.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.20.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.21", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.22", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "at.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-2 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-2 (3) Guidance: Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.3.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-3 (1) Guidance: For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.3.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.5.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-6 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-6 (6) Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-8 (1) Requirement: The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server. AU-8 (1) Requirement: The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server. AU-8 (1) Guidance: Synchronization of system clocks improves the accuracy of log analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.9.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.9.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.9.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.11", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-11 Requirement: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.12", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.12.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNon-repudiation\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.12.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNon-repudiation\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-2 (1) Requirement: For JAB Authorization, must use an accredited 3PAO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-2 (2) Requirement: To include 'announced', 'vulnerability scanning'\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.3.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-3 (5) Guidance: For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-5 Guidance: Requirement: POA\u0026amp;Ms must be provided at least monthly.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-6 (c) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-7 Requirement: Operating System Scans: at least monthly\u003c/p\u003e", + "\u003cp\u003eDatabase and Web Application Scans: at least monthly\u003c/p\u003e", + "\u003cp\u003eAll scans performed by Independent Assessor: at least annually\u003c/p\u003e", + "\u003cp\u003eCA-7 Guidance: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA\u0026amp;M updates.\u003c/p\u003e", + "\u003cp\u003eOperating System Scans: at least monthly\u003c/p\u003e", + "\u003cp\u003eDatabase and Web Application Scans: at least monthly\u003c/p\u003e", + "\u003cp\u003eAll scans performed by Independent Assessor: at least annually\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-2 (1) (a) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.2.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-3 Requirement: The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO.\u003c/p\u003e", + "\u003cp\u003eCM-3 (e) Guidance: In accordance with record retention policies and procedures.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.3.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.3.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.5.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.5.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-5 (3) Guidance: If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-6 (a)-1 Requirement 1: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. CM-6 (a)-2 Requirement 2: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) validated or SCAP compatible (if validated checklists are not available). CM-6 (a) Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.6.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-7 (b) Requirement: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available.\u003c/p\u003e", + "\u003cp\u003eCM-7 Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. (Partially derived from AC-17(8).\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.7.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-7 (2) Guidance: This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.7.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-8 Requirement: must be provided at least monthly or when there is a change.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.11", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-2 Requirement: For JAB authorizations the contingency lists include designated FedRAMP personnel.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.3.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-4 (a) Requirement: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.6.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.6.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-7 (a) Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-7 (1) Guidance: The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-8 Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.8.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.8.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.8.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-8 (4) (c) [annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (a) [daily incremental; weekly full] CP-9 (b) [daily incremental; weekly full] CP-9 (c) [daily incremental; weekly full]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-9 Requirement: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. CP-9 (a) Requirement: The service provider maintains at least three backup copies of user-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (b) Requirement: The service provider maintains at least three backup copies of system-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (c) Requirement: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online) or provides an equivalent alternative.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.9.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (1). [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.9.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.9.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.9.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (5) [time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA].\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.10.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.10.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-10 (4) [time period consistent with the restoration time-periods defined in the service provider and organization SLA]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-1 (b) (1) [at least annually] IA-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.9.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.11.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-2 (11) [FIPS 140-2, NIAP Certification, or NSA approval]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-2 (11) Guidance: PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.12.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-2 (12) Guidance: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-4(a) [at a minimum, the ISSO (or similar role within the organization)] IA-4 (d) [at least two (2) years] IA-4 (e) [thirty-five (35) days] (See additional requirements and guidance.)\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-4 (e) Requirement: The service provider defines the time period of inactivity for device identifiers. Guidance: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (g) [to include sixty (60) days for passwords]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-5 Requirement: Authenticators must be compliant with NIST SP 800-63-2 Electronic Authentication Guideline assurance Level 4 (Link http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-63-2.pdf)\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (1) (a) [case sensitive, minimum of fourteen (14) characters, and at least one (1) each of upper-case letters, lower-case letters, numbers, and special characters] IA-5 (1) (b) [at least fifty percent (50%)] IA-5 (1) (d) [one (1) day minimum, sixty (60) day maximum] IA-5 (1) (e) [twenty four (24)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (3)-1 [All hardware/biometric (multifactor authenticators] IA-5 (3)-2 [in person]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.11.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.8", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "IDENTIFICATION AND AUTHENTICATION (NON- ORGANIZATIONAL USERS)" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.8.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.8.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.8.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-1 (b) (1) [at least annually] IR-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-2 (a) [within ten (10) days] IR-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-3-1 [at least every six (6) months]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-3-2 Requirement: The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). For JAB authorization, the service provider provides test plans to the JAB/AO annually. Test plans are approved and accepted by the JAB/AO prior to test commencing.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.3.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-4 Requirement: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-6 (a) [US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-6 Requirement: Reports security incident information according to FedRAMP Incident Communications Procedure.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-8 (b) [see additional FedRAMP Requirements and Guidance] IR-8 (c) [at least annually] IR-8 (e) [see additional FedRAMP Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-8 (b) Requirement: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. IR-8 (e) Requirement: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMA-1 (b) (1) [at least annually] MA-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.3.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.3.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.3.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMA-3 (3) (d). [the information owner explicitly authorizing removal of the equipment from the facility]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.4.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-1 (b) (1) [at least annually] MP-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-2-1 [any digital and non-digital media deemed sensitive]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-3 (b)-1 [no removable media types] MP-3 (b)-2 [organization-defined security safeguards not applicable]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-3 (b) Guidance: Second parameter not-applicable\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-4 (a)-1 [all types of digital and non-digital media with sensitive information] MP-4 (a)-2 [see additional FedRAMP requirements and guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-4 (a) Requirement: The service provider defines controlled areas within facilities where the information and information system reside.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-5 (a) [all media with sensitive information] [prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-5 (a) Requirement: The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.5.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-6(a)-2 [techniques and procedures IAW NIST SP 800-88 and Section 5.9: Reuse and Disposal of Storage Media and Hardware]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.6.2.", + 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"justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.11.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.12", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.13", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.13.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-13 (1) -1 [service provider building maintenance/physical security personnel] PE-13 (1) -2 [service provider emergency responders with incident response responsibilities]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.13.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.13.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.14", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-14 (a) [consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments] PE-14 (b) [continuously]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003ePE-14 (a) Requirements: The service provider measures temperature at server inlets and humidity levels by dew point.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.15", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.15.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-15 (1) [service provider building maintenance/physical security personnel]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.16", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-16 [all information system components]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.17", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.18", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-18 [physical and environmental hazards identified during threat assessment]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-1 (b) (1) [at least annually] PL-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pl.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-4 (c) [annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pl.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-8 (b) [at least annually or when a significant change occurs]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003ePL-8 (b) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-1 (b) (1) [at least annually] PS-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-3 (b) [for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-4 (a) [eight (8) hours]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ps.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-4 (2) [access control personnel responsible for disabling access to the system]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-5 (b)-2 [twenty-four (24) hours] PS-5 (d)-2 [twenty-four (24) hours]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-6 (b) [at least annually] PS-6 (c) (2) [at least annually and any time there is a change to the user's level of access]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-7 (d)-2 [terminations: immediately; transfers: within twenty-four (24) hours]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-8(b)-1 [at a minimum, the ISSO and/or similar role within the organization]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-1 (b) (1) [at least annually] RA-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-3 (b) [security assessment report]\u003c/p\u003e", + "\u003cp\u003eRA-3 (c) [at least annually or whenever a significant change occurs]\u003c/p\u003e", + "\u003cp\u003eRA-3 (e) [annually]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-3 Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. RA-3 (d) Requirement: Include all Authoring Officials and FedRAMP ISSOs.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (a) [monthly operating system/infrastructure; monthly web applications and databases] RA-5 (d) [high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (a) Requirement: an accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually. RA-5 (e) Requirement: to include the Risk Executive; for JAB authorizations to include FedRAMP\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (2) [prior to a new scan]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (4) [notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (5)-1 [operating systems / web applications / databases] RA-5 (5)-2 [all scans]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-1 (b) (1) [at least annually] SA-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-4 Guidance: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See http://www.niap-ccevs.org/vpl or http://www.commoncriteriaportal.org/products.html.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-4 (2)-1 [at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information]]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.9.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-5E [at a minimum, the ISSO (or similar role within the organization)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (a) [FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system] SA-9 (c) [Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.9.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (2) [all external systems where Federal information is processed or stored]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-10 (a) [development, implementation, AND operation]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-10 (e) Requirement: for JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.11", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.12", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-12 [organization and service provider-defined personnel security requirements, approved HW/SW vendor list/process, and secure SDLC procedures]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.15", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-15 (b)-1 [as needed and as dictated by the current threat posture] SA-15 (b)-2 [organization and service provider- defined security requirements]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.16", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.17", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-1 (b) (1) [at least annually] SC-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-7 (4) (e) [at least every ninety (90) days or whenever there is a change in the threat environment that warrants a review of the exceptions]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.18.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.21.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-8 [confidentiality AND integrity]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-8 (1)-1 [prevent unauthorized disclosure of information AND detect changes to information] SC-8 (1)-1 [a hardened or alarmed carrier Protective Distribution System (PDS)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-10 [no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.12", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSC-12 Guidance: Federally approved cryptography\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.12.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.13", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-13 [FIPS-validated or NSA-approved cryptography]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.15", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-15 (a) [no exceptions]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSC-15 Requirement: The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.17", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.18", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.19", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.20", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "SECURE NAME /ADDRESS RESOLUTION SERVICE\n(AUTHORITATIVE SOURCE)" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.21", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "SECURE NAME /ADDRESS RESOLUTION SERVICE\n(RECURSIVE OR CACHING RESOLVER)" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.22", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "ARCHITECTURE AND PROVISIONING FOR\nNAME/ADDRESS RESOLUTION SERVICE" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": 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"paramId": "sc-6_a", + "desc": "organization-defined resources", + "value": "organization-defined resources" + }, + { + "paramId": "sc-6_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "sc-7_f", + "desc": "organization-defined host-based boundary protection mechanisms", + "value": "organization-defined host-based boundary protection mechanisms" + }, + { + "paramId": "sc-7_g", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "sc-7_h", + "desc": "organization-defined information security tools, mechanisms, and support components", + "value": "organization-defined information security tools, mechanisms, and support components" + }, + { + "paramId": "sc-7_k", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "sc-28_b", + "desc": "organization-defined information", + "value": "organization-defined information" + }, + { + "paramId": "sc-28_c", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "si-2_c", + "desc": "organization-defined benchmarks", + "value": "organization-defined benchmarks" + }, + { + "paramId": "si-4_n", + "desc": "organization-defined interior points within the system (e.g., subnetworks, subsystems)", + "value": "organization-defined interior points within the system (e.g., subnetworks, subsystems)" + }, + { + "paramId": "si-4_p", + "desc": "organization-defined interior points within the system (e.g., subsystems, subnetworks)", + "value": "organization-defined interior points within the system (e.g., subsystems, subnetworks)" + }, + { + "paramId": "si-4_q", + "desc": "organization-defined additional monitoring", + "value": "organization-defined additional monitoring" + }, + { + "paramId": "si-4_r", + "desc": "organization-defined sources", + "value": "organization-defined sources" + }, + { + "paramId": "si-4_s", + "desc": "organization-defined additional monitoring", + "value": "organization-defined additional monitoring" + }, + { + "paramId": "si-4_v", + "desc": "organization-defined authorization or approval processes", + "value": "organization-defined authorization or approval processes" + }, + { + "paramId": "si-4_w", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-4_x", + "desc": "organization-defined host-based monitoring mechanisms", + "value": "organization-defined host-based monitoring mechanisms" + }, + { + "paramId": "si-4_y", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ], + "alterations": [ + { + "subcontrolId": "ac.2.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (7) (c) [disables/revokes access within a organization-specified timeframe]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.9.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "RESTRICTIONS ON USE OF SHARED GROUPS / ACCOUNTS" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (9) [organization-defined need with justification statement that explains why such accounts are necessary]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (9) Required if shared/group accounts are deployed\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (10) Required if shared/group accounts are deployed\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.4.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. If there is a significant high-impact risk of inadvertent or intentional data leakage with a system deployed in a shared-service environment, this control is justified to mitigate that risk. Similar justification applies when an organization needs to ensure data isolation between different types of information enclaves within the organization. ANALYSIS. Although this control is usually employed to control flows between different classified enclaves, it can also apply to non-classified scenarios (e.g., the need to isolate legal, personnel, health-related, financial, or other information or files deemed sensitive. SAMPLE THREAT VECTORS. Sensitive free-text information passes from the personnel department to the rest of the organization. Law-enforcement sensitive information is inadvertently pulled from the organization's general counsel case management system and passed outside the department to users without authorization to view that information. HIPAA-protected health information flows freely from the HR department to all employees. Privacy-Act information flows from an HR system into a publicly released report. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Adaptive, Manageable, Assessed, Auditable, Regulated, Controlled, Monitored, Providing Good Data Stewardship, Assured, Competent, Confidential, Data Controllable, Access-Controlled.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.4.21.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eCSP Insider Threat mitigation; Good housekeeping and a best business practice for the protection of the CSP and customer alike. In a cloud environment, the power (and potentially harm) of the privileged users is greatly magnified because of the scale. For that reason periodic review of privileges is important.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: HIGH\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-6 (7)(a)-1 at a minimum, annually AC-6 (7)(a)-2 all users with privileges\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eThis control is not part of the NIST high baseline and was added for FedRAMP at the recommendation of DoD and NIST. This is a CNSSI 1253 control.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-6 (8) [any software except software explicitly documented]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.7.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. If an organization’s mobile devices carry information whose loss would have a high impact, this control is warranted in order to mitigate the risk of such loss. ANALYSIS. The technologies associated with this control are well established COTS hardware and software. SAMPLE THREAT VECTORS. Mobile device is lost, falls into the hands of people without authorization to view the information contained on the device. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Usable, Adaptive, Manageable, Agile, Supported, Assessed, Auditable, Regulated, Controlled, Monitored, Providing Good Data Stewardship, Assured, Confidential, Data Controllable, Access-Controlled, Mission Assured.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-7 (2)-1 [mobile devices as defined by organization policy] AC-7 (2)-3 [three (3)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.12.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRecommended by High Baseline Tiger Team. vulnerabilities associated with not having a logout button are well-documented.\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-12 (1) Guidance: https://www.owasp.org/index.php/Testing_for_logout_functionality_%28OTG-SESS-006%29\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.9.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-17 (9) [fifteen (15) minutes]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.18.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Best business practice for the protection of the CSP and customer alike \" when not intended for use\". This is an unanticipated vector for attack if present and active. While probably not an issue with data center servers and networking devices, wireless is becoming embedded in many components and devices such as printers, fax devices, copiers, scanners, communications devices, etc. There is the additional potential that wireless capabilities may become available in air conditioners, power centers, power controllers, lighting, alarm systems, etc. There is a potential that these capabilities could exist without organizational awareness. Selection drivedsawareness. It's better to perform the check than to make assumptions about what devices are in the IS.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs The application of this control enchancement should include all systems and devices in the CSP facility such as printers, fax devices, copiers, scanners, communications devices, air conditioners, power centers, power controllers, lighting, alarm systems, etc. Wireless networking capabilities should be disabled when they are near or networked with systems supporting customer's services.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: Moderate (Low L1/2)\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "at.3.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems warrant significantly elevated protection; one of these elevated protections is provided through simulated no-notice attacks that exercise users’ ability to detect and respond correctly to attempts to steal internal information in their possession. ANALYSIS. These controls are well understood and widely installed; COTS components keep implementation time and cost low. SAMPLE THREAT VECTORS. Cybersecurity staff do not know how to monitor, respond, and manage complex enforcement systems and subsystems. Cybersecurity staff is not properly trained to understand how the controls are to operate. Staff does not understand the event alarms/logs. Staff is not able to protect from unauthorized disclosure. Staff is careless with handling data, or unwilling to follow the established security protocols, or willing to cut corners to save time. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Assessed, Auditable, Controlled, Monitored, Providing Good Data Stewardship, Assured, Competent, Confidential.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "at.3.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems warrant significantly elevated protection.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. These controls are well understood and widely installed.\u003c/p\u003e", + "\u003cp\u003eTHREAT VECTORS ADDRESSED. Staff does not know how to monitor or manage complex systems in a way that supports effective management decision or control. Malicious actors manipulate the system to appear as if functioning normally when in reality, it is not. People fail to review event logs. People make unauthorized changes to event logger.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Assessed, Auditable, Controlled, Monitored, Providing Good Data Stewardship, Assured, Competent, Confidential.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-3 (4) [malicious code indicators as defined by organization incident policy/capability]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Due to the complexity of independent systems exchanging security-related monitoring data, and high-impact systems implemented in shared-service environments, the responsible organization needs a centralized capability that integrates these various data sources into a unified whole permitting central review and analysis of diverse log data relevant to security audits. ANALYSIS. This control permits analysts and auditors to focus on their primary duty of analyzing log data, and relieves them of the usual burden of discovery, collection, validation, aggregation, and indexing of large log datasets relevant to system security. Since these latter collection tasks have been automated under this control, less time and funding will be required to execute this core audit/analysis activity. SAMPLE THREAT VECTORS. Staff does not know how to monitor or manage complex systems in a way that supports effective management decision or control. Malicious actors manipulate the system to appear as if functioning normally, when it is not. People fail to review event logs. People make unauthorized changes to event logger.\" RELEVANT SECURITY CONTROL ATTRIBUTES. Monitored.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eThis control is not part of the NIST high baseline and was added for FedRAMP.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-6 (7) [information system process; role; user]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection L3-6: In support of cyber security threat / incident response activities. Supports flexibility in auditing levels based on threat level. Supports CSP integration with DoD security architecture. The sensitivity of the information at levels 3-6 warrents the adjustment of auditing levels based on threat level.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: This CE supports cyber security threat / incident response activities and flexibility in auditing levels based on threat level. This CE also supports CSP integration with DoD security architecture and the ability to respond to USCYBERCOM and DoD CNDSP alerts and directives. NOTE L1/2: The handling of alerts from US-CERT and other credible sources is sufficient to change auditing activities if this CE is tailored in via an SLA. NOTE: L3-6: The handling of alerts and directives from USCYBERCOM and DoD CNDSPs is required at these levels in addition to handling of alerts from US-CERTand other credible sources.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-2 (3)-1 [any FedRAMP Accredited 3PAO] CA-2 (3)-1-2 [any FedRAMP Accredited 3PAO] CA-2 (3)-1-3 [the conditions of the JAB/AO in the FedRAMP Repository]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.3.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-3 (3) [boundary protections which meet the Trusted Internet Connection (TIC) requirements]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-3 (3) Guidance: Refer to Appendix H – Cloud Considerations of the TIC 2.0 Reference Architecture document.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.7.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Organization requires independent data to validate that current security monitoring continues to target the right data, and that no gaps have opened between what is currently measured and what needs to be measured given the constantly evolving threat environment. In particular, the organization determines that security management will need trend analytics tuned to the current security climate to ensure the organization’s security officials maintain general situational awareness of larger security trends that may pose a threat to the organization’s high-impact systems fielded in shared-service environments.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. Implementation of this control should provide security management with a technical advantage by forcing them to maintain continual current awareness of the larger security threat-scape, rather than become lost in the lower-level details of specific security metrics.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS ADDRESSED. Stakeholders do not have the information they need to make sound decisions due to technology capability. System fails to send alarms, logs, and other pertinent data to the event manager. Control processes involve too many layers of review, concurrence, and revision to support effective and timely conveyance of relevant information to decision-makers. Monitoring not effectively linked to control processes.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Monitored, Controlled\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.3.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for De-Selection L1/2: The sensitivity of the information at these levels may not require a information security representative to be a member of the organization-defined configuration change control element. Rationale for Selection L3-6: This is a best business practice for the protection of the CSP and customer alike in that the security representative will be more aware of IA issues that configuration changes can introduce and he/she can more easily provide IA guidance for issues spotted.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-3 (4) Configuration control board (CCB) or similar (as defined in CM-3)\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.3.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for SA L1: Cryptographic mechanisms are only required at this level for priviledged user (system administrator / SA) access control and the transport of privileged commands or configuration files. Not the publicly released information served at this level. Rationale for Selection L2-6: Best practice. Supplemental guidance for this CE refers primarily to the processes surrounding the management of the cryptographic mechanisms used. These processes need to be under change management that addresses security concerns to ensure they remain secure.\u003c/p\u003e", + "\u003cp\u003eCE supplemental guidance. Regardless of the cryptographic means employed (e.g., public key, private key, shared secrets), organizations ensure that there are processes and procedures in place to effectively manage those means. For example, if devices use certificates as a basis for identification and authentication, there needs to be a process in place to address the expiration of those certificates.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-3 (6) All security safeguards that rely on cryptography\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.5.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-5 (5) (b) [at least quarterly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.10.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.11.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems will require special measures to ensure users cannot place the overall system at risk by installing unauthorized software. This control supports that need. ANALYSIS. Implementation of these controls is well understood, and relies on capabilities provided in COTS operating systems. SAMPLE THREAT VECTORS. The system executes malicious and harmful software. Software updates could render the system unstable or cause it to function incorrectly. Software is not designed with adequate safeguards to protect PII and other sensitive information. Users could make mistakes in following policy. Users could intentionally install unapproved/unvetted software. RELEVANT SECURITY CONTROL ATTRIBUTES. Quality Assured, Substantiated Integrity, Maintainable, Testable, Configuration Managed, Change Managed, Supported, Assessed, Auditable, Authorized, Regulated, Enforcement, Controlled, Reliable, Providing Good Data Stewardship, Assured, Confidential, Access-Controlled\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.5.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |\nGROUP AUTHENTICATION" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.4.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-4 (4) [contractors; foreign nationals]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (4) [complexity as identified in IA-5 (1) Control Enhancement Part (a)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-5 (4) Guidance: If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. In those cases where an organization’s user accounts authenticate to more than one system, and at least one of those systems is a high-impact system implemented in a shared-service environment, then this control is warranted as a baseline capability to guard against loss of high-impact, sensitive information. ANALYSIS. Organizations can use COTS tools and techniques to implement this control in many ways. Agencies should be prepared to document their plan and approach to this control technique. THREAT VECTORS ADDRESSED. A user’s account password is cracked, permitting attackers to identify all systems to which the user has access, and to gain access to the information in those systems. RELEVANT SECURITY CONTROL ATTRIBUTES. Monitored, Assessed\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (8) [different authenticators on different systems]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.13.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Best practice for authenticated web services and best business practice for the protection of the CSP and customer alike. ECSB sees this as a significant value add toward the protection of customer accounts on SaaS or customer service / managent interfaces/portals. L1 Rationale for SA: No authenticators are required for user access to public informationl. Info sensitivity does not warrant. However this CE would be required priviledged user access to manage the system server(s) containing public information.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: CSP must minimally implement this control enhancement on all SaaS offerings and customer service / managent interfaces. The time period can be negotiated in the SLA. NOTE: while the browser or other client cashes the authenticator, the server must enforce its expiration if the client does not.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: Low\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Organization requires near real-time subsystem reconfiguration for high-impact systems, especially those deployed wholly or partially into shared-service environments. This dynamic reconfiguration is required for core infrastructure components such as routers, firewalls, messaging gateways, or access control/authentication servers, especially when these core components are under cyber-attack.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. These critical cyber controls are well understood, and to some extent their automated capability has been established. Other aspects still require human decisions. Since this technology area is rapidly changing to meet new cyber-threat scenarios, it is expected that implementation of this control will be subject to significant change for the foreseeable future. Even so, its technology advantages are clear, especially for high-impact systems infrastructure.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. System does not have error-correcting or self-recovery capabilities. The system is not designed to allow for quick remediation of threats that will impact the system.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Survivable, Absorptive, Adaptive, Restorable\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-4 (2) [all network, data storage, and computing devices]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Due to the direct connection between system function and critical mission/business capability, the system requires Continuity-of-Operations (COOP) controls.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. These critical cyber controls are well understood, and to some extent their automated capability has been established. Other aspects still require human decisions. Since this technology area is rapidly changing to meet new cyber-threat scenarios and also changes in subsystem technology, it is expected that implementation of this control will be subject to significant change for the foreseeable future. Even so, its technology advantages are fundamental, especially for high-impact systems infrastructure.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. The system does not have error-correcting or self-recovery capabilities. The system is not designed to allow for quick remediation of threats that will impact the system. Time does not allow for the design in error handling, self-recovery, or to capitalize on system diversity to restore a system. Also, the organization lacks the expertise to develop or implement a plan for restoring system. A malicious change may be implemented to counter the ability to restore the system.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Survivable, Absorptive, Adaptable, Restorable\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems will require special measures to ensure security incidents are correctly and effectively handled in a timely manner. This high-level control supports that need, and is therefore warranted as a baseline for high-impact systems in shared-service environments. ANALYSIS. Implementation of this general control is well understood among Departments and Agencies. However, it may require special funding and time to implement in a shared service environment, where response roles and responsibilities demand vigilant analysis and definition. SAMPLE THREAT VECTORS. Insiders gain access to information for which they have no authorization. Insiders push sensitive information to outside networks not authorized to receive it. Insiders violate agency information-security policies. Insider actions are not monitored. RELEVANT SECURITY CONTROL ATTRIBUTES. Agile, Owned, Enforcement\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eThis control was recommended ecommended by the High Baseline Tiger Team.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-4 (8) [external organizations including consumer incident responders and network defenders and the appropriate CIRT/CERT (such as US-CERT, DOD CERT, IC CERT)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.7.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.9.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.9.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-9 (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.9.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.9.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.4.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Best practice business practice for the protection of the CSP and customer alike. Protects against unauthorized access and compromise of the CSP infrastructure. See Supplemental Guidance\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: While AC-17(2) is similar to this CE and implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions, System configuration, maintenance and diagnostic communications can be considered sensitive information and it is in DoD. Maintaining the confidrntiality and integrity of nonlocal maintenance and diagnostic communications helps maintain the health of the system, prevents unauthorized access from sniffing and MITM atacks, etc. While beneficial this selection may not be required for nonlocal maintenance and diagnostic communications over the CSP's private network and particularly if that network is out of band. Encryption is required if such communications are over a network external to the CSP (e.g., the Internet).\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.14.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ps.3.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-3 (3) (b) [personnel screening criteria – as required by specific information]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (6) Guidance: include in Continuous Monitoring ISSO digest/report to JAB/AO\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (8) Requirements: This enhancement is required for all high vulnerability scan findings. Guidance: While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Organizations commonly run vulnerability scanning tools against diverse enterprise systems and subsystems. These tools are often attuned to the specific subsystems, and often provided by different manufacturers. Because there is no single-vendor consolidation of all scanning tools, organizations need to correlate the outputs of these tools in order to triangulate on potential threats that may be related, or identical at their source. When the security impact is high a shared-service environment may increase the number of independent scanning tools, implementation of this control is warranted.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. Although this control is well understood by vendors, its implementation takes many forms, depending on the scanning tools adopted by a particular organization.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Different scanning tools discover low-impact vulnerabilities in multiple subsystems of a system. Considered individually, none of them warrants immediate action,; yet when considered together, they constitute a significant attack pattern.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Interoperable, Change Managed, Agile, Supported, Assessed, Monitored\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (10) Guidance: If multiple tools are not used, this control is not applicable.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-4 (8) [at least the minimum requirement as defined in control CA-7]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-4 (8) Guidance: CSP must use the same security standards regardless of where the system component or information system service is acquired.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.9.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.9.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (4)-2 [all external systems where Federal information is processed or stored]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.9.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (5)-1 [information processing, information data, AND information services]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.10.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.11.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-11 (1) Requirement: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.11.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.11.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-11 (8) Requirement: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems warrant careful attention to scenarios associated with exfiltration of sensitive organizational information. Different systems and implementation will trigger different scenarios, but regardless of the specific system context, organizations are warranted in establishing this control for high-impact systems with subsystems deployed into shared-service environments.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. Organizations should devote careful attention to design considerations relative to this control.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Authorized processes push very large volumes of data to external networks. Internal devices send address/status/security information to external networks.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES: Integrity-Assured, Absorptive, Survivable, Adaptive, Agile, Auditable, Monitored, Controlled, Data Controllable, Access-Controlled\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.12.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-7(12)-1 [Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.13.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSC-7 (13) Requirement: The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets. Guidance: Examples include: information security tools, mechanisms, and support components such as, but not limited to PKI, patching infrastructure, cyber defense tools, special purpose gateway, vulnerability tracking systems, internet access points (IAPs); network element and data center administrative/management traffic; Demilitarized Zones (DMZs), Server farms/computing centers, centralized audit log servers etc.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.20.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems warrant careful attention to situations where specific sources or methods become suspect. Such situations can involve specific user accounts, messages, message payloads, data, applications, or even entire subsystems. Under these circumstances, a capability for dynamic segregation is highly justified.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. Isolation techniques are well understood in the cyber market, and constantly evolving. Example techniques include honey pots and honey nets. Both techniques can isolate a user, an autonomous application, or an entire subsystem.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Anomalous user behavior is detected Messages arrive from suspect domains. Messages arrive with suspect attachments. Applications begin to behave anomalously. Subsystems begin moving data anomalously.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Absorptive, Survivable, Adaptive, Agile, Auditable, Monitored, Controlled, Data Controllable, Access-Controlled\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.12.2.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT |\nSYMMETRIC KEYS" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-12 (2) [NIST FIPS-compliant]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.12.3.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT |\nASYMMETRIC KEYS" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.23.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Rationale for Selection for SA L1: At L1 this CE is only applicable to privileged user sessions.\u003c/p\u003e", + "\u003cp\u003eRationale for Selection L1-6: Best Practice; APT. This CE mitigates the threat/vulnerability inherant in authenticated sessions whereby If an adversary captures a session identifier that remains valid after the session is terminated, the adversary could use it to reinitiate the session thus gaining unauthorized access to CSP and CSP customer resources and information/data.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: If an adversary captures a session identifier that remains valid after the session is terminated, the adversary could use it to reinitiate the session thus gaining unauthorized access to CSP and/or CSP customer resources and information/data. While unnessary for user sessions at L1, this enhancement is selected for System Administrator sessions.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.28.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-28 (1)-2 [all information system components storing customer data deemed sensitive]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.3.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.11.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. When a high-impact system is implemented in a shared-service environment, organizations should ensure their sensitive data is properly protected against classic threats to the confidentiality of its sensitive information. This control partially meets that need.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. The tools and techniques for implementing this monitoring control are now well understood and embedded in COTS operating systems and software.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Large outbound file transfers execute without being detected. External malware network sites are accessed from within the organization without detection. Network sessions remain connected for long periods of time without detection. Esoteric protocols are active and undetected on ports not defined by the organization.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Monitored\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.14.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.16.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.18.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. When a high-impact system is implemented in a shared-service environment, organizations should ensure their sensitive data is properly protected against classic threats to the confidentiality of sensitive information. This control partially meets that need.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. The tools and techniques for implementing this monitoring control are now well understood, and embedded in COTS operating systems and software.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Large outbound files are disguised to transfer without being detected. Communications with external malware network sites are embedded to avoid detection.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Substantiated Integrity, Monitored, Assessed\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.19.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for De-Selection L1-3: The information sensitivity at these levels does not seem to warrant implementation of this CE. The costs for instituting fine-grained monitoring per individual far may outweigh the risks\u003c/p\u003e", + "\u003cp\u003eRationale for selection L4-6: SP Insider Threat mitigation; The information sensitivity at these levels warrants implementation of this CE.Best business practice for the protection of the CSP and customer alike. This enhancement works in conjunction with AC-2 (13) account disablement for such individuals and IR-4 (6).\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: This enhancement works in conjunction with or opposite of AC-2 (13) which requires acount disablement within a specific time frame of discovering or identifying an individual posing a significant insider threat. In some instances the best action is not to terminate the individual's account, but rather to monitor their actions. This allows for the ability to collect evidence (for prosecution) and obtain insight into the TTPs that they may be using and others they may working with. Termination of the account is often best left as a final act.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: Moderate\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.20.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "PRIVILEGED USER" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Best business practice for the protection of the CSP and customer alike. Given the scale of a cloud, the possible harm by an malicious insider is greatly magnified over normal systems.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: his CE is on a par with SI-4 (9), IR-4 (6) and the various other insider threat Cs/CEs. Supports the mitigation of insider threat from those that can do the most damage. While CSPs typically claim they only have privileged users in their infrastructure (other than customers), this CEadds value for privilege users that have higher privilege than others. These higher privileged users should be subject to additional monitoring.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.22.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. When a high-impact system is implemented across networks in a shared-service environment, organizations should monitor network services to protect against unauthorized services capable of exfiltrating sensitive information. This control meets that monitoring need.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. The tools and techniques for implementing this monitoring control are well understood, and embedded in COTS operating systems and software.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Systems daemons and application services running in the background, exfiltrating sensitive information to external networks.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Monitored, Assessed\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.23.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.24.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. When a high-impact system is implemented across networks in a shared-service environment, organizations should aggressively monitor for symptoms that system integrity has been compromised. This control addresses that monitoring need.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. The tools and techniques for implementing this monitoring control are no longer unusual, but their implementation still requires careful initial analysis of tools, standards, and sources for indicators of compromise (IOC) data. This capability is not a simple matter of installing COTS software and watching for alerts. Rather, it requires staff to maintain a keen understanding of the threat-scape in order to properly understand the alerts coming from the IOC subsystem.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Temporary files appear but are not associated with any known system processes; independent security services warn of new surveillance techniques appearing globally; evidence of those new techniques appears in an organization’s event logs. Reports on the payload of a new botnet indicate that the system has been touched by the botnet.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Monitored, Assessed\u003c/p\u003e" + ] + } + ] + } + } + ] + } + ] +} \ No newline at end of file diff --git a/examples/FedRAMP/FedRAMP-LOW-crude.json b/examples/FedRAMP/FedRAMP-LOW-crude.json new file mode 100644 index 0000000000..e4217fc40e --- /dev/null +++ b/examples/FedRAMP/FedRAMP-LOW-crude.json @@ -0,0 +1,2751 @@ +{ + "id": "uuid-84130014-44f3-49c0-85d2-088596a9f496", + "title": "FedRAMP LOW Baseline PROFILE (extracted and aligned, no edits)", + "invocations": [ + { + "href": "../SP800-53/SP800-53-LOW-baseline.json", + "include": { + "calls": [ + { + "controlId": "ac.1" + }, + { + "controlId": "ac.2" + }, + { + "controlId": "ac.3" + }, + { + "controlId": "ac.7" + }, + { + "controlId": "ac.8" + }, + { + "controlId": "ac.14" + }, + { + "controlId": "ac.17" + }, + { + "controlId": "ac.18" + }, + { + "controlId": "ac.19" + }, + { + "controlId": "ac.20" + }, + { + "controlId": "ac.22" + }, + { + "controlId": "at.1" + }, + { + "controlId": "at.2" + }, + { + "controlId": "at.3" + }, + { + "controlId": "at.4" + }, + { + "controlId": "au.1" + }, + { + "controlId": "au.2" + }, + { + "controlId": "au.3" + }, + { + "controlId": "au.4" + }, + { + "controlId": "au.5" + }, + { + "controlId": "au.6" + }, + { + "controlId": "au.8" + }, + { + "controlId": "au.9" + }, + { + "controlId": "au.11" + }, + { + "controlId": "au.12" + }, + { + "controlId": "ca.1" + }, + { + "controlId": "ca.2" + }, + { + "controlId": "ca.3" + }, + { + "controlId": "ca.5" + }, + { + "controlId": "ca.6" + }, + { + "controlId": "ca.7" + }, + { + "controlId": "ca.9" + }, + { + "controlId": "cm.1" + }, + { + "controlId": "cm.2" + }, + { + "controlId": "cm.4" + }, + { + "controlId": "cm.6" + }, + { + "controlId": "cm.7" + }, + { + "controlId": "cm.8" + }, + { + "controlId": "cm.10" + }, + { + "controlId": "cm.11" + }, + { + "controlId": "cp.1" + }, + { + "controlId": "cp.2" + }, + { + "controlId": "cp.3" + }, + { + "controlId": "cp.4" + }, + { + "controlId": "cp.9" + }, + { + "controlId": "cp.10" + }, + { + "controlId": "ia.1" + }, + { + "controlId": "ia.2" + }, + { + "subcontrolId": "ia.2.1." + }, + { + "subcontrolId": "ia.2.12." + }, + { + "controlId": "ia.4" + }, + { + "controlId": "ia.5" + }, + { + "subcontrolId": "ia.5.1." + }, + { + "subcontrolId": "ia.5.11." + }, + { + "controlId": "ia.6" + }, + { + "controlId": "ia.7" + }, + { + "controlId": "ia.8" + }, + { + "subcontrolId": "ia.8.1." + }, + { + "subcontrolId": "ia.8.2." + }, + { + "subcontrolId": "ia.8.3." + }, + { + "subcontrolId": "ia.8.4." + }, + { + "controlId": "ir.1" + }, + { + "controlId": "ir.2" + }, + { + "controlId": "ir.4" + }, + { + "controlId": "ir.5" + }, + { + "controlId": "ir.6" + }, + { + "controlId": "ir.7" + }, + { + "controlId": "ir.8" + }, + { + "controlId": "ma.1" + }, + { + "controlId": "ma.2" + }, + { + "controlId": "ma.4" + }, + { + "controlId": "ma.5" + }, + { + "controlId": "mp.1" + }, + { + "controlId": "mp.2" + }, + { + "controlId": "mp.6" + }, + { + "controlId": "mp.7" + }, + { + "controlId": "pe.1" 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accountability", + "value": "organization-defined information deemed necessary to achieve effective information system component accountability" + }, + { + "paramId": "cm-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-11_a", + "desc": "organization-defined policies", + "value": "organization-defined policies" + }, + { + "paramId": "cm-11_b", + "desc": "organization-defined methods", + "value": "organization-defined methods" + }, + { + "paramId": "cm-11_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" 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"organization-defined personnel or roles" + }, + { + "paramId": "ma-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ma-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ma-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-2_b", + "desc": "organization-defined maintenance-related information", + "value": "organization-defined maintenance-related information" + }, + { + "paramId": "mp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "mp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-2_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "paramId": "mp-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "mp-6_a", + "desc": "organization-defined information system media", + "value": "organization-defined information system media" + }, + { + "paramId": "mp-6_b", + "desc": "organization-defined sanitization techniques and procedures", + "value": "organization-defined sanitization techniques and procedures" + }, + { + "paramId": "mp-7_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-7_b", + "desc": "organization-defined information systems or system components", + "value": "organization-defined information systems or system components" + }, + { + "paramId": "mp-7_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pe-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_a", + "desc": "organization-defined entry/exit points to the facility where the information system resides", + "value": "organization-defined entry/exit points to the facility where the information system resides" + }, + { + "paramId": "pe-3_b", + "desc": "organization-defined physical access control systems/devices", + "value": "organization-defined physical access control systems/devices" + }, + { + "paramId": "pe-3_c", + "desc": "organization-defined entry/exit points", + "value": "organization-defined entry/exit points" + }, + { + "paramId": "pe-3_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-3_e", + "desc": "organization-defined circumstances requiring visitor escorts and monitoring", + "value": "organization-defined circumstances requiring visitor escorts and monitoring" + }, + { + "paramId": "pe-3_f", + "desc": "organization-defined physical access devices", + "value": "organization-defined physical access devices" + }, + { + "paramId": "pe-3_g", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_h", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-6_b", + "desc": "organization-defined events or potential indications of events", + "value": "organization-defined events or potential indications of events" + }, + { + "paramId": "pe-8_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "pe-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-14_a", + "desc": "organization-defined acceptable levels", + "value": "organization-defined acceptable levels" + }, + { + "paramId": "pe-14_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-16_a", + "desc": "organization-defined types of information system components", + "value": "organization-defined types of information system components" + }, + { + "paramId": "pl-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pl-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pl-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-3_a", + "desc": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening", + "value": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening" + }, + { + "paramId": "ps-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-4_b", + "desc": "organization-defined information security topics", + "value": "organization-defined information security topics" + }, + { + "paramId": "ps-4_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-4_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-5_a", + "desc": "organization-defined transfer or reassignment actions", + "value": "organization-defined transfer or reassignment actions" + }, + { + "paramId": "ps-5_b", + "desc": "organization-defined time period following the formal transfer action", + "value": "organization-defined time period following the formal transfer action" + }, + { + "paramId": "ps-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-5_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-6_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-7_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ra-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-3_a", + "desc": "organization-defined document", + "value": "organization-defined document" + }, + { + "paramId": "ra-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-3_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-3_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-5_a", + "desc": "organization-defined frequency and/or randomly in accordance with organization-defined process", + "value": "organization-defined frequency and/or randomly in accordance with organization-defined process" + }, + { + "paramId": "ra-5_b", + "desc": "organization-defined response times", + "value": "organization-defined response times" + }, + { + "paramId": "ra-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-3_a", + "desc": "organization-defined system development life cycle", + "value": "organization-defined system development life cycle" + }, + { + "paramId": "sa-5_a", + "desc": "organization-defined actions", + "value": "organization-defined actions" + }, + { + "paramId": "sa-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-9_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + }, + { + "paramId": "sa-9_b", + "desc": "organization-defined processes, methods, and techniques", + "value": "organization-defined processes, methods, and techniques" + }, + { + "paramId": "sc-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sc-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-5_a", + "desc": "organization-defined types of denial of service attacks or references to sources for such information", + "value": "organization-defined types of denial of service attacks or references to sources for such information" + }, + { + "paramId": "sc-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "sc-12_a", + "desc": "organization-defined requirements for key generation, distribution, storage, access, and destruction", + "value": "organization-defined requirements for key generation, distribution, storage, access, and destruction" + }, + { + "paramId": "sc-13_a", + "desc": "organization-defined cryptographic uses and type of cryptography required for each use", + "value": "organization-defined cryptographic uses and type of cryptography required for each use" + }, + { + "paramId": "sc-15_a", + "desc": "organization-defined exceptions where remote activation is to be allowed", + "value": "organization-defined exceptions where remote activation is to be allowed" + }, + { + "paramId": "si-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "si-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-3_b", + "desc": "organization-defined action", + "value": "organization-defined action" + }, + { + "paramId": "si-4_a", + "desc": "organization-defined monitoring objectives", + "value": "organization-defined monitoring objectives" + }, + { + "paramId": "si-4_b", + "desc": "organization-defined techniques and methods", + "value": "organization-defined techniques and methods" + }, + { + "paramId": "si-4_c", + "desc": "organization-defined information system monitoring information", + "value": "organization-defined information system monitoring information" + }, + { + "paramId": "si-4_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-4_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-5_a", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "paramId": "si-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-5_c", + "desc": "organization-defined elements within the organization", + "value": "organization-defined elements within the organization" + }, + { + "paramId": "si-5_d", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + } + ], + "alterations": [ + { + "controlId": "ac.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-1 (b) (1) [at least every 3 years] AC-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (j) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.3", + "augment": {} + }, + { + "controlId": "ac.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-7(a) [not more than three] [fifteen minutes] AC-7(b) [locks the account/node for thirty minutes]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-8 (a) [see additional Requirements and Guidance] AC-8 (c) [see additional Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-8 Requirement: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB. AC-08 Requirement: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB. AC-8 Guidance: If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. AC-8 Requirement: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.14", + "augment": {} + }, + { + "controlId": "ac.17", + "augment": {} + }, + { + "controlId": "ac.18", + "augment": {} + }, + { + "controlId": "ac.19", + "augment": {} + }, + { + "controlId": "ac.20", + "augment": {} + }, + { + "controlId": "ac.22", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-22 (d) [at least quarterly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.1", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "SECURITY AWARENESS AND TRAINING POLICY ANDPROCEDURES" + } + ], + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-1 (b) (1) [at least every 3 years] AT-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-2(c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-3 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-4 (b) [At least one year]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-1 (b) (1) [at least every 3 years] AU-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-2 (a) [Successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes] AU-2 (d) [organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-2 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.3", + "augment": {} + }, + { + "controlId": "au.4", + "augment": {} + }, + { + "controlId": "au.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-5 (b) [organization-defined actions to be taken (overwrite oldest record)\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-6 (a)-1 [at least weekly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-6 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.8", + "augment": {} + }, + { + "controlId": "au.9", + "augment": {} + }, + { + "controlId": "au.11", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-11 [at least ninety days]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-11. Requirement: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.12", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-12 (a) [all information system and network components where audit capability is deployed/available]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-1 (b) (1) [at least every 3 years] CA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-2 (b) [at least annually] CA-2 (d) [individuals or roles to include FedRAMP PMO]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-3 (c) [at least annually and on input from FedRAMP]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-5 (b) [at least monthly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-5 Guidance: Requirement: POA\u0026amp;Ms must be provided at least monthly.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-6 (c) [at least every three years or when a significant change occurs]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-6c. Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-7 (g) [To meet Federal and FedRAMP requirements]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-7 Requirement: Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually CA-7 Guidance: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA\u0026amp;M updates. Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.9", + "augment": {} + }, + { + "controlId": "cm.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-1 (b) (1) [at least every 3 years] CM-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.2", + "augment": {} + }, + { + "controlId": "cm.4", + "augment": {} + }, + { + "controlId": "cm.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-6 (a) [United States Government Configuration Baseline (USGCB)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-6 (a) Requirement 1: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. CM-6 (a) Requirement 2: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) validated or SCAP compatible (if validated checklists are not available). CM-6 (a) Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-7 (b) [United States Government Configuration Baseline (USGCB)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-7 (b) Requirement: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. CM-7. Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. (Partially derived from AC-17(8).)\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-8 (b) [at least monthly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-8 Requirement: must be provided at least monthly or when there is a change.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.10", + "augment": {} + }, + { + "controlId": "cm.11", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-11 (c) [Continuously (via CM-7 (5))]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-1 (b)(1) [at least every 3 years] CP-1 (b)(2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-2 (d) [at least annually]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-2 Requirement: For JAB authorizations the contingency lists include designated FedRAMP personnel.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-3 (a) [10 days] CP-3 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-4 (a)-1 [at least annually for moderate impact systems; at least every three years for low impact systems] CP-4 (a)-2 [functional exercises for moderate impact systems; classroom exercises/table top written tests for low impact systems]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-4 (a). Requirement: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.9", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (a) [daily incremental; weekly full] CP-9 (b) [daily incremental; weekly full] CP-9 (c) [daily incremental; weekly full]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-9 Requirement: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. CP-9 (a) Requirement: The service provider maintains at least three backup copies of user-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (b) Requirement: The service provider maintains at least three backup copies of system-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (c) Requirement: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online) or provides an equivalent alternative.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.10", + "augment": {} + }, + { + "controlId": "ia.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-1 (b) (1) [at least every 3 years] IA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.2", + "augment": {} + }, + { + "subcontrolId": "ia.2.1.", + "augment": {} + }, + { + "subcontrolId": "ia.2.12.", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-2 (12) Guidance: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-4 (d) [at least two years] IA-4 (e) [ninety days for user identifiers] (See additional requirements and guidance)\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-4 (e) Requirement: The service provider defines time period of inactivity for device identifiers. Guidance: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (g) [to include sixty days for passwords]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (1) (a) [case sensitive, minimum of twelve characters, and at least one each of upper-case letters, lower-case letters, numbers, and special characters] IA-5 (1) (b) [at least one] IA-5 (1) (d) [one day minimum, sixty day maximum] IA-5 (1) (e) [twenty four]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.11.", + "augment": {} + }, + { + "controlId": "ia.6", + "augment": {} + }, + { + "controlId": "ia.7", + "augment": {} + }, + { + "controlId": "ia.8", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "IDENTIFICATION AND AUTHENTICATION (NON- ORGANIZATIONAL USERS)" + } + ] + } + }, + { + "subcontrolId": "ia.8.1.", + "augment": {} + }, + { + "subcontrolId": "ia.8.2.", + "augment": {} + }, + { + "subcontrolId": "ia.8.3.", + "augment": {} + }, + { + "subcontrolId": "ia.8.4.", + "augment": {} + }, + { + "controlId": "ir.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-1 (b) (1) [at least every 3 years] IR-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.4", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-4 Requirement: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.5", + "augment": {} + }, + { + "controlId": "ir.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-6 (a) [US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-6 Requirement: Reports security incident information according to FedRAMP Incident Communications Procedure.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.7", + "augment": {} + }, + { + "controlId": "ir.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-8 (b) [see additional FedRAMP Requirements and Guidance] IR-8 (c) [at least annually] IR-8 (e) [see additional FedRAMP Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-8 (b) Additional FedRAMP Requirements and Guidance: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. IR-8 (e) Additional FedRAMP Requirements and Guidance: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMA-1 (b) (1) [at least every 3 years] MA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.2", + "augment": {} + }, + { + "controlId": "ma.4", + "augment": {} + }, + { + "controlId": "ma.5", + "augment": {} + }, + { + "controlId": "mp.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-1 (b) (1) [at least every 3 years] MP-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.2", + "augment": {} + }, + { + "controlId": "mp.6", + "augment": {} + }, + { + "controlId": "mp.7", + "augment": {} + }, + { + "controlId": "pe.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-1 (b) (1) [at least every 3 years] PE-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-3 (a) (2) [CSP defined physical access control systems/devices AND guards] PE-3 (d) [in all circumstances within restricted access area where the information system resides] PE-3 (f) [at least annually] PE-3 (g) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-6 (b) [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-8 (a) [for a minimum of one year] PE-8 (b) [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.12", + "augment": {} + }, + { + "controlId": "pe.13", + "augment": {} + }, + { + "controlId": "pe.14", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-14 (a) [consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments] PE-14 (b) [continuously]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003ePE-14 (a). Requirements: The service provider measures temperature at server inlets and humidity levels by dew point.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.15", + "augment": {} + }, + { + "controlId": "pe.16", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-16 [all information system components]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-1 (b) (1) [at least every 3 years] PL-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-4 (c) [At least every 3 years]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-1 (b) (1) [at least every 3 years] PS-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-2 (c) [at least every three years]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-3 (b) [for national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year There is no reinvestigation for other moderate risk positions or any low risk positions]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-4 (a) [same day]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-5 (d)-2 [five days of the time period following the formal transfer action (DoD 24 hours)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-6 (b) [at least annually] PS-6 (c) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-7 (d)-2 [organization-defined time period – same day]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.8", + "augment": {} + }, + { + "controlId": "ra.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-1 (b) (1) [at least every 3 years] RA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.2", + "augment": {} + }, + { + "controlId": "ra.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-3 (b) [security assessment report] RA-3 (c) [at least every three (3) years or when a significant change occurs] RA-3 (d) [to include all Authoring Officials and FedRAMP ISSOs] RA-3 (e) [at least every three (3) years or when a significant change occurs]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-3 Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (a) [monthly operating system/infrastructure; monthly web applications and databases] RA-5 (d) [high-risk vulnerabilities mitigated within thirty days from date of discovery; moderate-risk vulnerabilities mitigated within ninety days from date of discovery]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (a) Requirement: an accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually. RA-5 (e) Requirement: to include the Risk Executive; for JAB authorizations to include FedRAMP\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-1 (b) (1) [at least every 3 years] SA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.2", + "augment": {} + }, + { + "controlId": "sa.3", + "augment": {} + }, + { + "controlId": "sa.4", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-4 Guidance: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See http://www.niap-ccevs.org/vpl or http://www.commoncriteriaportal.org/products.html.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.5", + "augment": {} + }, + { + "controlId": "sa.9", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (a) [FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system] SA-9 (c) [Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-1 (b) (1) [at least every 3 years] SC-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.5", + "augment": {} + }, + { + "controlId": "sc.7", + "augment": {} + }, + { + "controlId": "sc.12", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eSC-12 Guidance: Federally approved cryptography\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.13", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-13 [FIPS-validated or NSA-approved cryptography]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.15", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-15 (a) [no exceptions]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSC-15 Additional FedRAMP Requirements and Guidance: Requirement: The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.20", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "SECURE NAME /ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)" + } + ] + } + }, + { + "controlId": "sc.21", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "SECURE NAME /ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING\n RESOLVER)" + } + ] + } + }, + { + "controlId": "sc.22", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "ARCHITECTURE AND PROVISIONING FOR NAME/ADDRESS RESOLUTION\n SERVICE" + } + ] + } + }, + { + "controlId": "sc.39", + "augment": {} + }, + { + "controlId": "si.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSI-1 (b) (1) [at least every 3 years] SI-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "si.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSI-2 (c) [within 30 days of release of updates]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "si.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSI-3 (c) (1)-1 [at least weekly] SI-3 (c) (1)-2 [to include endpoints] SI-3 (c) (2) [to include alerting administrator or defined security personnel]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "si.4", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eSI-4 Guidance: See US-CERT Incident Response Reporting Guidelines.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "si.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSI-5 (a) [to include US-CERT] SI-5 (c) [to include system security personnel and administrators with configuration/patch-management responsibilities]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "si.12", + "augment": {} + } + ] + }, + { + "href": "../SP800-53/SP800-53-MODERATE-baseline.json", + "include": { + "calls": [ + { + "subcontrolId": "ca.2.1." + }, + { + "controlId": "si.16" + } + ] + }, + "paramSettings": [ + { + "paramId": "ca-2_c", + "desc": "organization-defined level of independence", + "value": "organization-defined level of independence" + }, + { + "paramId": "si-16_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "alterations": [ + { + "subcontrolId": "ca.2.1.", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-2(1) Requirement: Must use an accredited 3PAO for JAB authorization\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "si.16", + "augment": {} + } + ] + } + ] +} \ No newline at end of file diff --git a/examples/FedRAMP/FedRAMP-MODERATE-crude.json b/examples/FedRAMP/FedRAMP-MODERATE-crude.json new file mode 100644 index 0000000000..62848377cc --- /dev/null +++ b/examples/FedRAMP/FedRAMP-MODERATE-crude.json @@ -0,0 +1,5677 @@ +{ + "id": "uuid-4a36cdf2-d112-49c3-bde0-7bdec2864842", + "title": "FedRAMP MODERATE Baseline PROFILE (extracted and aligned, no edits)", + "invocations": [ + { + "href": "../SP800-53/SP800-53-MODERATE-baseline.json", + "include": { + "calls": [ + { + "controlId": "ac.1" + 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"organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cm-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-2_b", + "desc": "Assignment organization-defined circumstances", + "value": "Assignment organization-defined circumstances" + }, + { + "paramId": "cm-2_c", + "desc": "organization-defined previous versions of baseline configurations of the information system", + "value": "organization-defined previous versions of baseline configurations of the information system" + }, + { + "paramId": "cm-2_d", + "desc": "organization-defined information systems, system components, or devices", + "value": "organization-defined information systems, system components, or devices" + }, + { + "paramId": "cm-2_e", + "desc": "organization-defined configurations", + "value": "organization-defined configurations" + }, + { + "paramId": "cm-2_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "cm-3_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cm-3_b", + "desc": "organization-defined configuration change control element (e.g., committee, board)", + "value": "organization-defined configuration change control element (e.g., committee, board)" + }, + { + "paramId": "cm-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-3_d", + "desc": "organization-defined configuration change conditions", + "value": "organization-defined configuration change conditions" + }, + { + "paramId": "cm-6_a", + "desc": "organization-defined security configuration checklists", + "value": "organization-defined security configuration checklists" + }, + { + "paramId": "cm-6_b", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "cm-6_c", + "desc": "organization-defined operational requirements", + "value": "organization-defined operational requirements" + }, + { + "paramId": "cm-7_a", + "desc": "organization-defined prohibited or restricted functions, ports, protocols, and/or services", + "value": "organization-defined prohibited or restricted functions, ports, protocols, and/or services" + }, + { + "paramId": "cm-7_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-7_c", + "desc": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure", + "value": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure" + }, + { + "paramId": "cm-7_d", + "desc": "organization-defined policies regarding software program usage and restrictions", + "value": "organization-defined policies regarding software program usage and restrictions" + }, + { + "paramId": "cm-8_a", + "desc": "organization-defined information deemed necessary to achieve effective information system component accountability", + "value": "organization-defined information deemed necessary to achieve effective information system component accountability" + }, + { + "paramId": "cm-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-8_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cm-11_a", + "desc": "organization-defined policies", + "value": "organization-defined policies" + }, + { + "paramId": "cm-11_b", + "desc": "organization-defined methods", + "value": "organization-defined methods" + }, + { + "paramId": "cm-11_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cp-2_b", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "cp-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-2_d", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "cp-2_e", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-3_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-4_b", + "desc": "organization-defined tests", + "value": "organization-defined tests" + }, + { + "paramId": "cp-7_a", + "desc": "organization-defined information system operations", + "value": "organization-defined information system operations" + }, + { + "paramId": "cp-7_b", + "desc": "organization-defined time period consistent with recovery time and recovery point objectives", + "value": "organization-defined time period consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-8_a", + "desc": "organization-defined information system operations", + "value": "organization-defined information system operations" + }, + { + "paramId": "cp-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-9_a", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_b", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_c", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ia-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ia-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ia-2_d", + "desc": "organization-defined strength of mechanism requirements", + "value": "organization-defined strength of mechanism requirements" + }, + { + "paramId": "ia-3_a", + "desc": "organization-defined specific and/or types of devices", + "value": "organization-defined specific and/or types of devices" + }, + { + "paramId": "ia-4_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-4_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ia-4_c", + "desc": "organization-defined time period of inactivity", + "value": "organization-defined time period of inactivity" + }, + { + "paramId": "ia-5_a", + "desc": "organization-defined time period by authenticator type", + "value": "organization-defined time period by authenticator type" + }, + { + "paramId": "ia-5_b", + "desc": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type", + "value": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type" + }, + { + "paramId": "ia-5_c", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ia-5_d", + "desc": "organization-defined numbers for lifetime minimum, lifetime maximum", + "value": "organization-defined numbers for lifetime minimum, lifetime maximum" + }, + { + "paramId": "ia-5_e", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ia-5_f", + "desc": "organization-defined types of and/or specific authenticators", + "value": "organization-defined types of and/or specific authenticators" + }, + { + "paramId": "ia-5_g", + "desc": "organization-defined registration authority", + "value": "organization-defined registration authority" + }, + { + "paramId": "ia-5_h", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-5_l", + "desc": "organization-defined token quality requirements", + "value": "organization-defined token quality requirements" + }, + { + "paramId": "ia-8_a", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + }, + { + "paramId": "ir-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ir-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ir-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-3_b", + "desc": "organization-defined tests", + "value": "organization-defined tests" + }, + { + "paramId": "ir-6_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ir-6_b", + "desc": "organization-defined authorities", + "value": "organization-defined authorities" + }, + { + "paramId": "ir-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ir-8_b", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "ir-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-8_d", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "ma-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ma-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ma-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-2_b", + "desc": "organization-defined maintenance-related information", + "value": "organization-defined maintenance-related information" + }, + { + "paramId": "ma-6_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "ma-6_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "mp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "mp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-2_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "paramId": "mp-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "mp-3_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-3_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + }, + { + "paramId": "mp-4_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "paramId": "mp-4_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + }, + { + "paramId": "mp-5_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "mp-6_a", + "desc": "organization-defined information system media", + "value": "organization-defined information system media" + }, + { + "paramId": "mp-6_b", + "desc": "organization-defined sanitization techniques and procedures", + "value": "organization-defined sanitization techniques and procedures" + }, + { + "paramId": "mp-7_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-7_b", + "desc": "organization-defined information systems or system components", + "value": "organization-defined information systems or system components" + }, + { + "paramId": "mp-7_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pe-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_a", + "desc": "organization-defined entry/exit points to the facility where the information system resides", + "value": "organization-defined entry/exit points to the facility where the information system resides" + }, + { + "paramId": "pe-3_b", + "desc": "organization-defined physical access control systems/devices", + "value": "organization-defined physical access control systems/devices" + }, + { + "paramId": "pe-3_c", + "desc": "organization-defined entry/exit points", + "value": "organization-defined entry/exit points" + }, + { + "paramId": "pe-3_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-3_e", + "desc": "organization-defined circumstances requiring visitor escorts and monitoring", + "value": "organization-defined circumstances requiring visitor escorts and monitoring" + }, + { + "paramId": "pe-3_f", + "desc": "organization-defined physical access devices", + "value": "organization-defined physical access devices" + }, + { + "paramId": "pe-3_g", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_h", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-4_a", + "desc": "organization-defined information system distribution and transmission lines", + "value": "organization-defined information system distribution and transmission lines" + }, + { + "paramId": "pe-4_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-6_b", + "desc": "organization-defined events or potential indications of events", + "value": "organization-defined events or potential indications of events" + }, + { + "paramId": "pe-8_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "pe-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-10_a", + "desc": "organization-defined location by information system or system component", + "value": "organization-defined location by information system or system component" + }, + { + "paramId": "pe-14_a", + "desc": "organization-defined acceptable levels", + "value": "organization-defined acceptable levels" + }, + { + "paramId": "pe-14_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-16_a", + "desc": "organization-defined types of information system components", + "value": "organization-defined types of information system components" + }, + { + "paramId": "pe-17_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + }, + { + "paramId": "pl-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pl-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pl-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-2_c", + "desc": "organization-defined individuals or groups", + "value": "organization-defined individuals or groups" + }, + { + "paramId": "pl-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-8_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-3_a", + "desc": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening", + "value": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening" + }, + { + "paramId": "ps-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-4_b", + "desc": "organization-defined information security topics", + "value": "organization-defined information security topics" + }, + { + "paramId": "ps-4_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-4_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-5_a", + "desc": "organization-defined transfer or reassignment actions", + "value": "organization-defined transfer or reassignment actions" + }, + { + "paramId": "ps-5_b", + "desc": "organization-defined time period following the formal transfer action", + "value": "organization-defined time period following the formal transfer action" + }, + { + "paramId": "ps-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-5_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-6_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-7_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ra-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-3_a", + "desc": "organization-defined document", + "value": "organization-defined document" + }, + { + "paramId": "ra-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-3_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-3_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-5_a", + "desc": "organization-defined frequency and/or randomly in accordance with organization-defined process", + "value": "organization-defined frequency and/or randomly in accordance with organization-defined process" + }, + { + "paramId": "ra-5_b", + "desc": "organization-defined response times", + "value": "organization-defined response times" + }, + { + "paramId": "ra-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-5_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-5_f", + "desc": "organization-identified information system components", + "value": "organization-identified information system components" + }, + { + "paramId": "ra-5_g", + "desc": "organization-defined vulnerability scanning activities", + "value": "organization-defined vulnerability scanning activities" + }, + { + "paramId": "sa-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-3_a", + "desc": "organization-defined system development life cycle", + "value": "organization-defined system development life cycle" + }, + { + "paramId": "sa-4_a", + "desc": "organization-defined design/implementation information", + "value": "organization-defined design/implementation information" + }, + { + "paramId": "sa-4_b", + "desc": "organization-defined level of detail", + "value": "organization-defined level of detail" + }, + { + "paramId": "sa-5_a", + "desc": "organization-defined actions", + "value": "organization-defined actions" + }, + { + "paramId": "sa-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-9_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + }, + { + "paramId": "sa-9_b", + "desc": "organization-defined processes, methods, and techniques", + "value": "organization-defined processes, methods, and techniques" + }, + { + "paramId": "sa-9_d", + "desc": "organization-defined external information system services", + "value": "organization-defined external information system services" + }, + { + "paramId": "sa-10_a", + "desc": "organization-defined configuration items under configuration management", + "value": "organization-defined configuration items under configuration management" + }, + { + "paramId": "sa-10_b", + "desc": "organization-defined personnel", + "value": "organization-defined personnel" + }, + { + "paramId": "sa-11_a", + "desc": "organization-defined depth and coverage", + "value": "organization-defined depth and coverage" + }, + { + "paramId": "sc-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sc-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-5_a", + "desc": "organization-defined types of denial of service attacks or references to sources for such information", + "value": "organization-defined types of denial of service attacks or references to sources for such information" + }, + { + "paramId": "sc-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "sc-7_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-8_a", + "desc": "organization-defined alternative physical safeguards", + "value": "organization-defined alternative physical safeguards" + }, + { + "paramId": "sc-10_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "sc-12_a", + "desc": "organization-defined requirements for key generation, distribution, storage, access, and destruction", + "value": "organization-defined requirements for key generation, distribution, storage, access, and destruction" + }, + { + "paramId": "sc-13_a", + "desc": "organization-defined cryptographic uses and type of cryptography required for each use", + "value": "organization-defined cryptographic uses and type of cryptography required for each use" + }, + { + "paramId": "sc-15_a", + "desc": "organization-defined exceptions where remote activation is to be allowed", + "value": "organization-defined exceptions where remote activation is to be allowed" + }, + { + "paramId": "sc-17_a", + "desc": "organization-defined certificate policy", + "value": "organization-defined certificate policy" + }, + { + "paramId": "sc-28_a", + "desc": "organization-defined information at rest", + "value": "organization-defined information at rest" + }, + { + "paramId": "si-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "si-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-3_b", + "desc": "organization-defined action", + "value": "organization-defined action" + }, + { + "paramId": "si-4_a", + "desc": "organization-defined monitoring objectives", + "value": "organization-defined monitoring objectives" + }, + { + "paramId": "si-4_b", + "desc": "organization-defined techniques and methods", + "value": "organization-defined techniques and methods" + }, + { + "paramId": "si-4_c", + "desc": "organization-defined information system monitoring information", + "value": "organization-defined information system monitoring information" + }, + { + "paramId": "si-4_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-4_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-4_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-4_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-4_h", + "desc": "organization-defined compromise indicators", + "value": "organization-defined compromise indicators" + }, + { + "paramId": "si-5_a", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "paramId": "si-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-5_c", + "desc": "organization-defined elements within the organization", + "value": "organization-defined elements within the organization" + }, + { + "paramId": "si-5_d", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "paramId": "si-7_a", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + }, + { + "paramId": "si-7_b", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + }, + { + "paramId": "si-7_c", + "desc": "organization-defined transitional states or security-relevant events", + "value": "organization-defined transitional states or security-relevant events" + }, + { + "paramId": "si-7_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-7_g", + "desc": "organization-defined security-relevant changes to the information system", + "value": "organization-defined security-relevant changes to the information system" + }, + { + "paramId": "si-10_a", + "desc": "organization-defined information inputs", + "value": "organization-defined information inputs" + }, + { + "paramId": "si-11_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-16_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "alterations": [ + { + "controlId": "ac.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-1 (b) (1) [at least every 3 years] AC-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (j) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.1.", + "augment": {} + }, + { + "subcontrolId": "ac.2.2.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (2) [no more than 30 days for temporary and emergency account types]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.3.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (3) [90 days for user accounts]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.4.", + "augment": {} + }, + { + "controlId": "ac.3", + "augment": {} + }, + { + "controlId": "ac.4", + "augment": {} + }, + { + "controlId": "ac.5", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-5 Additional FedRAMP Requirements and Guidance: Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.6", + "augment": {} + }, + { + "subcontrolId": "ac.6.1.", + "augment": {} + }, + { + "subcontrolId": "ac.6.2.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-6 (2) [all security functions]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-6 (2) Guidance: Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.5.", + "augment": {} + }, + { + "subcontrolId": "ac.6.9.", + "augment": {} + }, + { + "subcontrolId": "ac.6.10.", + "augment": {} + }, + { + "controlId": "ac.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-7(a) [not more than three] [fifteen minutes] AC-7(b) [locks the account/node for thirty minutes]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-8 (a) [see additional Requirements and Guidance] AC-8 (c) [see additional Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-8 Requirement: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB. AC-08 Requirement: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB. AC-8 Guidance: If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. AC-8 Requirement: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.11", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-11(a) [fifteen minutes]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.11.1.", + "augment": {} + }, + { + "controlId": "ac.12", + "augment": {} + }, + { + "controlId": "ac.14", + "augment": {} + }, + { + "controlId": "ac.17", + "augment": {} + }, + { + "subcontrolId": "ac.17.1.", + "augment": {} + }, + { + "subcontrolId": "ac.17.2.", + "augment": {} + }, + { + "subcontrolId": "ac.17.3.", + "augment": {} + }, + { + "subcontrolId": "ac.17.4.", + "augment": {} + }, + { + "controlId": "ac.18", + "augment": {} + }, + { + "subcontrolId": "ac.18.1.", + "augment": {} + }, + { + "controlId": "ac.19", + "augment": {} + }, + { + "subcontrolId": "ac.19.5.", + "augment": {} + }, + { + "controlId": "ac.20", + "augment": {} + }, + { + "subcontrolId": "ac.20.1.", + "augment": {} + }, + { + "subcontrolId": "ac.20.2.", + "augment": {} + }, + { + "controlId": "ac.21", + "augment": {} + }, + { + "controlId": "ac.22", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-22 (d) [at least quarterly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.1", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "SECURITY AWARENESS AND TRAINING POLICY ANDPROCEDURES" + } + ], + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-1 (b) (1) [at least every 3 years] AT-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-2(c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "at.2.2.", + "augment": {} + }, + { + "controlId": "at.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-3 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-4 (b) [At least one year]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-1 (b) (1) [at least every 3 years] AU-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-2 (a) [Successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes] AU-2 (d) [organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-2 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.2.3.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-2 (3) [annually or whenever there is a change in the threat environment]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-2 (3) Guidance: Annually or whenever changes in the threat environment are communicated to the service provider by the JAB.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.3", + "augment": {} + }, + { + "subcontrolId": "au.3.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-3 (1) [Assignment: organization-defined additional, more detailed information] Parameter: [session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-3 (1). Requirement: The service provider defines audit record types. The audit record types are approved and accepted by the JAB/AO. Guidance: For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.4", + "augment": {} + }, + { + "controlId": "au.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-5 (b) [organization-defined actions to be taken (overwrite oldest record)\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-6 (a)-1 [at least weekly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-6 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.1.", + "augment": {} + }, + { + "subcontrolId": "au.6.3.", + "augment": {} + }, + { + "controlId": "au.7", + "augment": {} + }, + { + "subcontrolId": "au.7.1.", + "augment": {} + }, + { + "controlId": "au.8", + "augment": {} + }, + { + "subcontrolId": "au.8.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-8 (1) [http://tfnistgov/tf-cgi/serverscgi] [At least hourly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-8 (1) Requirement: The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server. AU-8 (1) Requirement: The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server. AU-8 (1) Guidance: Synchronization of system clocks improves the accuracy of log analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.9", + "augment": {} + }, + { + "subcontrolId": "au.9.4.", + "augment": {} + }, + { + "controlId": "au.11", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-11 [at least ninety days]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-11. Requirement: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.12", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-12 (a) [all information system and network components where audit capability is deployed/available]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-1 (b) (1) [at least every 3 years] CA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-2 (b) [at least annually] CA-2 (d) [individuals or roles to include FedRAMP PMO]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.2.1.", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-2(1) Requirement: Must use an accredited 3PAO for JAB authorization\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-3 (c) [at least annually and on input from FedRAMP]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.3.5.", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-3 (5) For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-5 (b) [at least monthly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-5 Guidance: Requirement: POA\u0026amp;Ms must be provided at least monthly.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-6 (c) [at least every three years or when a significant change occurs]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-6c. Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-7 (g) [To meet Federal and FedRAMP requirements]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-7 Requirement: Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually CA-7 Guidance: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA\u0026amp;M updates. Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.7.1.", + "augment": {} + }, + { + "controlId": "ca.9", + "augment": {} + }, + { + "controlId": "cm.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-1 (b) (1) [at least every 3 years] CM-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.2", + "augment": {} + }, + { + "subcontrolId": "cm.2.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-2 (1) (a) [at least annually or when a significant change occurs] CM-2 (1) (b) [to include when directed by the JAB]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.2.3.", + "augment": {} + }, + { + "subcontrolId": "cm.2.7.", + "augment": {} + }, + { + "controlId": "cm.3", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-3 Requirement: The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO.\u003c/p\u003e", + "\u003cp\u003eCM-3e Guidance: In accordance with record retention policies and procedures.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.4", + "augment": {} + }, + { + "controlId": "cm.5", + "augment": {} + }, + { + "controlId": "cm.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-6 (a) [United States Government Configuration Baseline (USGCB)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-6 (a) Requirement 1: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. CM-6 (a) Requirement 2: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) validated or SCAP compatible (if validated checklists are not available). CM-6 (a) Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-7 (b) [United States Government Configuration Baseline (USGCB)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-7 (b) Requirement: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. CM-7. Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. (Partially derived from AC-17(8).)\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.7.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-7 (1) (a) [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.7.2.", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-7(2) Guidance: This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-8 (b) [at least monthly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-8 Requirement: must be provided at least monthly or when there is a change.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.1.", + "augment": {} + }, + { + "subcontrolId": "cm.8.3.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-8 (3) (a) [Continuously, using automated mechanisms with a maximum five-minute delay in detection]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.5.", + "augment": {} + }, + { + "controlId": "cm.9", + "augment": {} + }, + { + "controlId": "cm.10", + "augment": {} + }, + { + "controlId": "cm.11", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-11 (c) [Continuously (via CM-7 (5))]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-1 (b)(1) [at least every 3 years] CP-1 (b)(2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-2 (d) [at least annually]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-2 Requirement: For JAB authorizations the contingency lists include designated FedRAMP personnel.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.1.", + "augment": {} + }, + { + "subcontrolId": "cp.2.3.", + "augment": {} + }, + { + "subcontrolId": "cp.2.8.", + "augment": {} + }, + { + "controlId": "cp.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-3 (a) [10 days] CP-3 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-4 (a)-1 [at least annually for moderate impact systems; at least every three years for low impact systems] CP-4 (a)-2 [functional exercises for moderate impact systems; classroom exercises/table top written tests for low impact systems]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-4 (a). Requirement: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.4.1.", + "augment": {} + }, + { + "controlId": "cp.6", + "augment": {} + }, + { + "subcontrolId": "cp.6.1.", + "augment": {} + }, + { + "subcontrolId": "cp.6.3.", + "augment": {} + }, + { + "controlId": "cp.7", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-7 (a). Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.1.", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-7 (1) Guidance: The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.2.", + "augment": {} + }, + { + "subcontrolId": "cp.7.3.", + "augment": {} + }, + { + "controlId": "cp.8", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-8 Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.8.1.", + "augment": {} + }, + { + "subcontrolId": "cp.8.2.", + "augment": {} + }, + { + "controlId": "cp.9", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (a) [daily incremental; weekly full] CP-9 (b) [daily incremental; weekly full] CP-9 (c) [daily incremental; weekly full]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-9 Requirement: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. CP-9 (a) Requirement: The service provider maintains at least three backup copies of user-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (b) Requirement: The service provider maintains at least three backup copies of system-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (c) Requirement: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online) or provides an equivalent alternative.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.9.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (1) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.10", + "augment": {} + }, + { + "subcontrolId": "cp.10.2.", + "augment": {} + }, + { + "controlId": "ia.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-1 (b) (1) [at least every 3 years] IA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.2", + "augment": {} + }, + { + "subcontrolId": "ia.2.1.", + "augment": {} + }, + { + "subcontrolId": "ia.2.2.", + "augment": {} + }, + { + "subcontrolId": "ia.2.3.", + "augment": {} + }, + { + "subcontrolId": "ia.2.8.", + "augment": {} + }, + { + "subcontrolId": "ia.2.11.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-2 (11) [FIPS 140-2, NIAP Certification, or NSA approval]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-2 (11) Guidance: PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.12.", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-2 (12) Guidance: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.3", + "augment": {} + }, + { + "controlId": "ia.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-4 (d) [at least two years] IA-4 (e) [ninety days for user identifiers] (See additional requirements and guidance)\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-4 (e) Requirement: The service provider defines time period of inactivity for device identifiers. Guidance: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (g) [to include sixty days for passwords]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (1) (a) [case sensitive, minimum of twelve characters, and at least one each of upper-case letters, lower-case letters, numbers, and special characters] IA-5 (1) (b) [at least one] IA-5 (1) (d) [one day minimum, sixty day maximum] IA-5 (1) (e) [twenty four]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.2.", + "augment": {} + }, + { + "subcontrolId": "ia.5.3.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (3)-1 [All hardware/biometric (multifactor authenticators] IA-5 (3)-2 [in person]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.11.", + "augment": {} + }, + { + "controlId": "ia.6", + "augment": {} + }, + { + "controlId": "ia.7", + "augment": {} + }, + { + "controlId": "ia.8", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "IDENTIFICATION AND AUTHENTICATION (NON- ORGANIZATIONAL USERS)" + } + ] + } + }, + { + "subcontrolId": "ia.8.1.", + "augment": {} + }, + { + "subcontrolId": "ia.8.2.", + "augment": {} + }, + { + "subcontrolId": "ia.8.3.", + "augment": {} + }, + { + "subcontrolId": "ia.8.4.", + "augment": {} + }, + { + "controlId": "ir.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-1 (b) (1) [at least every 3 years] IR-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-3-1 [at least annually] IR-3-2 [see additional FedRAMP Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-3-2 Requirement 1: The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). IR-3-2 Requirement 2: For JAB Authorization, the service provider provides test plans to the JAB/AO annually. IR-3-2 Requirement 3: Test plans are approved and accepted by the Authorizing Official (AO) prior to test commencing.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.3.2.", + "augment": {} + }, + { + "controlId": "ir.4", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-4 Requirement: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.1.", + "augment": {} + }, + { + "controlId": "ir.5", + "augment": {} + }, + { + "controlId": "ir.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-6 (a) [US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-6 Requirement: Reports security incident information according to FedRAMP Incident Communications Procedure.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.6.1.", + "augment": {} + }, + { + "controlId": "ir.7", + "augment": {} + }, + { + "subcontrolId": "ir.7.1.", + "augment": {} + }, + { + "controlId": "ir.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-8 (b) [see additional FedRAMP Requirements and Guidance] IR-8 (c) [at least annually] IR-8 (e) [see additional FedRAMP Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-8 (b) Additional FedRAMP Requirements and Guidance: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. IR-8 (e) Additional FedRAMP Requirements and Guidance: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMA-1 (b) (1) [at least every 3 years] MA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.2", + "augment": {} + }, + { + "controlId": "ma.3", + "augment": {} + }, + { + "subcontrolId": "ma.3.1.", + "augment": {} + }, + { + "subcontrolId": "ma.3.2.", + "augment": {} + }, + { + "controlId": "ma.4", + "augment": {} + }, + { + "subcontrolId": "ma.4.2.", + "augment": {} + }, + { + "controlId": "ma.5", + "augment": {} + }, + { + "controlId": "ma.6", + "augment": {} + }, + { + "controlId": "mp.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-1 (b) (1) [at least every 3 years] MP-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.2", + "augment": {} + }, + { + "controlId": "mp.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-3 (b) [no removable media types]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-3 (b) Guidance: Second parameter not-applicable\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-4 (a)-1 [all types of digital and non-digital media with sensitive information] MP-4 (a)-2 [FedRAMP Assignment: see additional FedRAMP requirements and guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-4 (a) Additional FedRAMP Requirements and Guidance: Requirement: The service provider defines controlled areas within facilities where the information and information system reside.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-5 (a) [all media with sensitive information] [prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-5 (a) Additional FedRAMP Requirements and Guidance: Requirement: The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.5.4.", + "augment": {} + }, + { + "controlId": "mp.6", + "augment": {} + }, + { + "controlId": "mp.7", + "augment": {} + }, + { + "subcontrolId": "mp.7.1.", + "augment": {} + }, + { + "controlId": "pe.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-1 (b) (1) [at least every 3 years] PE-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-3 (a) (2) [CSP defined physical access control systems/devices AND guards] PE-3 (d) [in all circumstances within restricted access area where the information system resides] PE-3 (f) [at least annually] PE-3 (g) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.4", + "augment": {} + }, + { + "controlId": "pe.5", + "augment": {} + }, + { + "controlId": "pe.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-6 (b) [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.6.1.", + "augment": {} + }, + { + "controlId": "pe.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-8 (a) [for a minimum of one year] PE-8 (b) [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.9", + "augment": {} + }, + { + "controlId": "pe.10", + "augment": {} + }, + { + "controlId": "pe.11", + "augment": {} + }, + { + "controlId": "pe.12", + "augment": {} + }, + { + "controlId": "pe.13", + "augment": {} + }, + { + "subcontrolId": "pe.13.3.", + "augment": {} + }, + { + "controlId": "pe.14", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-14 (a) [consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments] PE-14 (b) [continuously]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003ePE-14 (a). 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ESTABLISHMENT AND MANAGEMENT |\nASYMMETRIC KEYS" + } + ] + } + }, + { + "subcontrolId": "sc.28.1.", + "augment": {} + }, + { + "subcontrolId": "si.2.3.", + "augment": {} + }, + { + "subcontrolId": "si.3.7.", + "augment": {} + }, + { + "subcontrolId": "si.4.1.", + "augment": {} + }, + { + "subcontrolId": "si.4.14.", + "augment": {} + }, + { + "subcontrolId": "si.4.16.", + "augment": {} + }, + { + "subcontrolId": "si.4.23.", + "augment": {} + } + ] + } + ] +} \ No newline at end of file diff --git a/examples/FedRAMP/roundtripped/FedRAMP-HIGH-crude.xml b/examples/FedRAMP/roundtripped/FedRAMP-HIGH-crude.xml new file mode 100644 index 0000000000..ae416ebc66 --- /dev/null +++ b/examples/FedRAMP/roundtripped/FedRAMP-HIGH-crude.xml @@ -0,0 +1,5830 @@ + + FedRAMP HIGH Baseline PROFILE (extracted and aligned, no edits) + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined information system account types + organization-defined information system account types + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined procedures or conditions + organization-defined procedures or conditions + + + organization-defined frequency + organization-defined frequency + + + organization-defined time period for each type of account + organization-defined time period for each type of account + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time-period of expected inactivity or description of when to log out + organization-defined time-period of expected inactivity or description of when to log out + + + organization-defined circumstances and/or usage conditions + organization-defined circumstances and/or usage conditions + + + organization-defined information system accounts + organization-defined information system accounts + + + organization-defined atypical usage + organization-defined atypical usage + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined information flow control policies + organization-defined information flow control policies + + + organization-defined duties of individuals + organization-defined duties of individuals + + + organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information + organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information + + + organization-defined security functions or security-relevant information + organization-defined security functions or security-relevant information + + + organization-defined privileged commands + organization-defined privileged commands + + + organization-defined compelling operational needs + organization-defined compelling operational needs + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined number + organization-defined number + + + organization-defined time period + organization-defined time period + + + organization-defined time period + organization-defined time period + + + organization-defined delay algorithm + organization-defined delay algorithm + + + organization-defined system use notification message or banner + organization-defined system use notification message or banner + + + organization-defined conditions + organization-defined conditions + + + organization-defined account and/or account type + organization-defined account and/or account type + + + organization-defined number + organization-defined number + + + organization-defined time period + organization-defined time period + + + organization-defined conditions or trigger events requiring session disconnect + organization-defined conditions or trigger events requiring session disconnect + + + organization-defined user actions + organization-defined user actions + + + organization-defined number + organization-defined number + + + organization-defined needs + organization-defined needs + + + organization-defined mobile devices + organization-defined mobile devices + + + organization-defined information sharing circumstances where user discretion is required + organization-defined information sharing circumstances where user discretion is required + + + organization-defined automated mechanisms or manual processes + organization-defined automated mechanisms or manual processes + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined auditable events + organization-defined auditable events + + + organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event + organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event + + + organization-defined frequency + organization-defined frequency + + + organization-defined additional, more detailed information + organization-defined additional, more detailed information + + + organization-defined information system components + organization-defined information system components + + + organization-defined audit record storage requirements + organization-defined audit record storage requirements + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records) + organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records) + + + organization-defined personnel, roles, and/or locations + organization-defined personnel, roles, and/or locations + + + organization-defined time period + organization-defined time period + + + organization-defined percentage + organization-defined percentage + + + organization-defined real-time period + organization-defined real-time period + + + organization-defined personnel, roles, and/or locations + organization-defined personnel, roles, and/or locations + + + organization-defined audit failure events requiring real-time alerts + organization-defined audit failure events requiring real-time alerts + + + organization-defined frequency + organization-defined frequency + + + organization-defined inappropriate or unusual activity + organization-defined inappropriate or unusual activity + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined data/information collected from other sources + organization-defined data/information collected from other sources + + + organization-defined audit fields within audit records + organization-defined audit fields within audit records + + + organization-defined granularity of time measurement + organization-defined granularity of time measurement + + + organization-defined frequency + organization-defined frequency + + + organization-defined authoritative time source + organization-defined authoritative time source + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined subset of privileged users + organization-defined subset of privileged users + + + organization-defined actions to be covered by non-repudiation + organization-defined actions to be covered by non-repudiation + + + organization-defined time period consistent with records retention policy + organization-defined time period consistent with records retention policy + + + organization-defined information system components + organization-defined information system components + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined information system components + organization-defined information system components + + + organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail + organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail + + + organization-defined individuals or roles + organization-defined individuals or roles + + + organization-defined information system components + organization-defined information system components + + + organization-defined selectable event criteria + organization-defined selectable event criteria + + + organization-defined time thresholds + organization-defined time thresholds + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined individuals or roles + organization-defined individuals or roles + + + organization-defined level of independence + organization-defined level of independence + + + organization-defined frequency + organization-defined frequency + + + organization-defined other forms of security assessment + organization-defined other forms of security assessment + + + organization-defined frequency + organization-defined frequency + + + organization-defined information systems + organization-defined information systems + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined metrics + organization-defined metrics + + + organization-defined frequencies + organization-defined frequencies + + + organization-defined frequencies + organization-defined frequencies + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined level of independence + organization-defined level of independence + + + organization-defined frequency + organization-defined frequency + + + organization-defined information systems or system components + organization-defined information systems or system components + + + organization-defined information system components or classes of components + organization-defined information system components or classes of components + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + Assignment organization-defined circumstances + Assignment organization-defined circumstances + + + organization-defined previous versions of baseline configurations of the information system + organization-defined previous versions of baseline configurations of the information system + + + organization-defined information systems, system components, or devices + organization-defined information systems, system components, or devices + + + organization-defined configurations + organization-defined configurations + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined time period + organization-defined time period + + + organization-defined configuration change control element (e.g., committee, board) + organization-defined configuration change control element (e.g., committee, board) + + + organization-defined frequency + organization-defined frequency + + + organization-defined configuration change conditions + organization-defined configuration change conditions + + + organized-defined approval authorities + organized-defined approval authorities + + + organization-defined time period + organization-defined time period + + + organization-defined personnel + organization-defined personnel + + + organization-defined frequency + organization-defined frequency + + + organization-defined circumstances + organization-defined circumstances + + + organization-defined software and firmware components + organization-defined software and firmware components + + + organization-defined security configuration checklists + organization-defined security configuration checklists + + + organization-defined information system components + organization-defined information system components + + + organization-defined operational requirements + organization-defined operational requirements + + + organization-defined information system components + organization-defined information system components + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined configuration settings + organization-defined configuration settings + + + organization-defined prohibited or restricted functions, ports, protocols, and/or services + organization-defined prohibited or restricted functions, ports, protocols, and/or services + + + organization-defined frequency + organization-defined frequency + + + organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure + organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure + + + organization-defined policies regarding software program usage and restrictions + organization-defined policies regarding software program usage and restrictions + + + organization-defined software programs authorized to execute on the information system + organization-defined software programs authorized to execute on the information system + + + organization-defined frequency + organization-defined frequency + + + organization-defined information deemed necessary to achieve effective information system component accountability + organization-defined information deemed necessary to achieve effective information system component accountability + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined policies + organization-defined policies + + + organization-defined methods + organization-defined methods + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + + + organization-defined frequency + organization-defined frequency + + + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + + + organization-defined time period + organization-defined time period + + + organization-defined time period + organization-defined time period + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined tests + organization-defined tests + + + organization-defined information system operations + organization-defined information system operations + + + organization-defined time period consistent with recovery time and recovery point objectives + organization-defined time period consistent with recovery time and recovery point objectives + + + organization-defined information system operations + organization-defined information system operations + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + + organization-defined frequency + organization-defined frequency + + + organization-defined critical information system software and other security-related information + organization-defined critical information system software and other security-related information + + + organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives + organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives + + + organization-defined restoration time-periods + organization-defined restoration time-periods + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined strength of mechanism requirements + organization-defined strength of mechanism requirements + + + organization-defined specific and/or types of devices + organization-defined specific and/or types of devices + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined time period of inactivity + organization-defined time period of inactivity + + + organization-defined time period by authenticator type + organization-defined time period by authenticator type + + + organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type + organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type + + + organization-defined number + organization-defined number + + + organization-defined numbers for lifetime minimum, lifetime maximum + organization-defined numbers for lifetime minimum, lifetime maximum + + + organization-defined number + organization-defined number + + + organization-defined types of and/or specific authenticators + organization-defined types of and/or specific authenticators + + + organization-defined registration authority + organization-defined registration authority + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined token quality requirements + organization-defined token quality requirements + + + organization-defined information systems + organization-defined information systems + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined tests + organization-defined tests + + + organization-defined time period + organization-defined time period + + + organization-defined authorities + organization-defined authorities + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + + + organization-defined frequency + organization-defined frequency + + + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined maintenance-related information + organization-defined maintenance-related information + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined information system components + organization-defined information system components + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined types of digital and/or non-digital media + organization-defined types of digital and/or non-digital media + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined types of information system media + organization-defined types of information system media + + + organization-defined controlled areas + organization-defined controlled areas + + + organization-defined types of digital and/or non-digital media + organization-defined types of digital and/or non-digital media + + + organization-defined controlled areas + organization-defined controlled areas + + + organization-defined types of information system media + organization-defined types of information system media + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined information system media + organization-defined information system media + + + organization-defined sanitization techniques and procedures + organization-defined sanitization techniques and procedures + + + organization-defined frequency + organization-defined frequency + + + organization-defined circumstances requiring sanitization of portable storage devices + organization-defined circumstances requiring sanitization of portable storage devices + + + organization-defined types of information system media + organization-defined types of information system media + + + organization-defined information systems or system components + organization-defined information systems or system components + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined entry/exit points to the facility where the information system resides + organization-defined entry/exit points to the facility where the information system resides + + + organization-defined physical access control systems/devices + organization-defined physical access control systems/devices + + + organization-defined entry/exit points + organization-defined entry/exit points + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined circumstances requiring visitor escorts and monitoring + organization-defined circumstances requiring visitor escorts and monitoring + + + organization-defined physical access devices + organization-defined physical access devices + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined physical spaces containing one or more components of the information system + organization-defined physical spaces containing one or more components of the information system + + + organization-defined information system distribution and transmission lines + organization-defined information system distribution and transmission lines + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined frequency + organization-defined frequency + + + organization-defined events or potential indications of events + organization-defined events or potential indications of events + + + organization-defined physical spaces containing one or more components of the information system + organization-defined physical spaces containing one or more components of the information system + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined location by information system or system component + organization-defined location by information system or system component + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined emergency responders + organization-defined emergency responders + + + organization-defined emergency responders + organization-defined emergency responders + + + organization-defined acceptable levels + organization-defined acceptable levels + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined types of information system components + organization-defined types of information system components + + + organization-defined security controls + organization-defined security controls + + + organization-defined physical and environmental hazards + organization-defined physical and environmental hazards + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined individuals or groups + organization-defined individuals or groups + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening + organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening + + + organization-defined time period + organization-defined time period + + + organization-defined information security topics + organization-defined information security topics + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined transfer or reassignment actions + organization-defined transfer or reassignment actions + + + organization-defined time period following the formal transfer action + organization-defined time period following the formal transfer action + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined document + organization-defined document + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency and/or randomly in accordance with organization-defined process + organization-defined frequency and/or randomly in accordance with organization-defined process + + + organization-defined response times + organization-defined response times + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined corrective actions + organization-defined corrective actions + + + organization-identified information system components + organization-identified information system components + + + organization-defined vulnerability scanning activities + organization-defined vulnerability scanning activities + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined system development life cycle + organization-defined system development life cycle + + + organization-defined design/implementation information + organization-defined design/implementation information + + + organization-defined level of detail + organization-defined level of detail + + + organization-defined actions + organization-defined actions + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined security controls + organization-defined security controls + + + organization-defined processes, methods, and techniques + organization-defined processes, methods, and techniques + + + organization-defined external information system services + organization-defined external information system services + + + organization-defined configuration items under configuration management + organization-defined configuration items under configuration management + + + organization-defined personnel + organization-defined personnel + + + organization-defined depth and coverage + organization-defined depth and coverage + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined frequency + organization-defined frequency + + + organization-defined security requirements + organization-defined security requirements + + + organization-defined training + organization-defined training + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined types of denial of service attacks or references to sources for such information + organization-defined types of denial of service attacks or references to sources for such information + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined frequency + organization-defined frequency + + + organization-defined internal communications traffic + organization-defined internal communications traffic + + + organization-defined external networks + organization-defined external networks + + + organization-defined information system components + organization-defined information system components + + + organization-defined missions and/or business functions + organization-defined missions and/or business functions + + + organization-defined alternative physical safeguards + organization-defined alternative physical safeguards + + + organization-defined time period + organization-defined time period + + + organization-defined requirements for key generation, distribution, storage, access, and destruction + organization-defined requirements for key generation, distribution, storage, access, and destruction + + + organization-defined cryptographic uses and type of cryptography required for each use + organization-defined cryptographic uses and type of cryptography required for each use + + + organization-defined exceptions where remote activation is to be allowed + organization-defined exceptions where remote activation is to be allowed + + + organization-defined certificate policy + organization-defined certificate policy + + + organization-defined known-state + organization-defined known-state + + + organization-defined types of failures + organization-defined types of failures + + + organization-defined system state information + organization-defined system state information + + + organization-defined information at rest + organization-defined information at rest + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined action + organization-defined action + + + organization-defined monitoring objectives + organization-defined monitoring objectives + + + organization-defined techniques and methods + organization-defined techniques and methods + + + organization-defined information system monitoring information + organization-defined information system monitoring information + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined compromise indicators + organization-defined compromise indicators + + + organization-defined external organizations + organization-defined external organizations + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined elements within the organization + organization-defined elements within the organization + + + organization-defined external organizations + organization-defined external organizations + + + organization-defined security functions + organization-defined security functions + + + organization-defined system transitional states + organization-defined system transitional states + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined alternative action(s) + organization-defined alternative action(s) + + + organization-defined software, firmware, and information + organization-defined software, firmware, and information + + + organization-defined software, firmware, and information + organization-defined software, firmware, and information + + + organization-defined transitional states or security-relevant events + organization-defined transitional states or security-relevant events + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined security-relevant changes to the information system + organization-defined security-relevant changes to the information system + + + organization-defined information inputs + organization-defined information inputs + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined security safeguards + organization-defined security safeguards + + + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-1 (b) (1) [at least annually] AC-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-2 (j) [monthly for privileged accessed, every six (6) months for non-privileged access]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-2 (2) [Selection: disables] [Assignment: 24 hours from last use]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-2 (3) [35 days for user accounts]

+
+ +

AC-2 (3) Requirement: The service provider defines the time period for non-user accounts (e.g., accounts associated with devices). The time periods are approved and accepted by the JAB/AO. Where user management is a function of the service, reports of activity of consumer users shall be made available.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-2 (4) [organization and/or service provider system owner]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-2 (5) [inactivity is anticipated to exceed Fifteen (15) minutes]

+
+ +

AC-2 (5) Guidance: Should use a shorter timeframe than AC-12.

+
+
+
+ + + +

NIST added this control to the NIST High Baseline during the 1/15/2015

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-2 (12) (b)[at a minimum, the ISSO and/or similar role within the organization]

+
+ +

AC-2 (12)(a) Guidance: Required for privileged accounts. AC-2 (12)(b) Guidance: Required for privileged accounts.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

AC-2 (13) [one (1) hour]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-5 Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-6 (1) [all functions not publicly accessible and all security-relevant information not publicly available]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-6 (2) [all security functions]

+
+ +

AC-6 (2) Guidance: Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

AC-6 (3)-1 [all privileged commands]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-7(a)-1 [not more than three (3)]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-8 (a) [see additional Requirements and Guidance] AC-8 (c) (1) [see additional Requirements and Guidance]

+
+ +

AC-8 Requirement: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO. Requirement: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. Guidance: If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. Requirement: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-10-2 [three (3) sessions for privileged access and two (2) sessions for non-privileged access]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-11(a) [fifteen (15) minutes]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-22 (d) [at least quarterly]

+
+
+
+ + + SECURITY AWARENESS AND TRAINING POLICY ANDPROCEDURES + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AT-1 (b) (1) [at least annually or whenever a significant change occurs] AT-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AT-2 (c) [at least annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AT-3 (c) [at least annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AT-4 (b) [five (5) years or 5 years after completion of a specific training program]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AU-1 (b) (1) [at least annually] AU-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AU-2 (a) [successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes] AU-2 (d) [organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event].

+
+ +

AU-2 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AU-2 (3) [annually or whenever there is a change in the threat environment]

+
+ +

AU-2 (3) Guidance: Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AU-3 (1) [session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]

+
+ +

AU-3 (1) Guidance: For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

AU-3 (2) [all network, data storage, and computing devices]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AU-5 (b). [organization-defined actions to be taken (overwrite oldest record)

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

AU-5 (2)-1 [real-time] AU-5 (1)-2 [service provider personnel with authority to address failed audit events] AU-5 (1)-3 [audit failure events requiring real-time alerts, as defined by organization audit policy].

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AU-6 (a)-1 [at least weekly]

+
+ +

AU-6 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

AU-6 (5) [Selection (one or more): vulnerability scanning information; performance data; information system monitoring information; penetration test data; [Organization -defined data/information collected from other sources]]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

AU-6 (6) Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AU-8 (b) [one second granularity of time measurement]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AU-8 (1) [http://tf.nist.gov/tf-cgi/servers.cgi] [At least hourly]

+
+ +

AU-8 (1) Requirement: The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server. AU-8 (1) Requirement: The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server. AU-8 (1) Guidance: Synchronization of system clocks improves the accuracy of log analysis.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AU-9 (2) [at least weekly]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

AU-10 [minimum actions including the addition, modification, deletion, approval, sending, or receiving of data]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AU-11 [at least one (1) year]

+
+ +

AU-11 Requirement: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

AU-12 (a) [all information system and network components where audit capability is deployed/available]

+
+
+
+ + + +

Non-repudiation

+
+ +

AU-12 (1) [all network, data storage, and computing devices]

+
+
+
+ + + +

Non-repudiation

+
+ +

AU-12 (3) (1) [service provider-defined individuals or roles with audit configuration responsibilities] AU-12 (3) (2) [all network, data storage, and computing devices]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CA-1 (b) (1) [at least annually] CA-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CA-2 (b) [at least annually] CA-2 (d) [individuals or roles to include FedRAMP PMO]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CA-2 (1) Requirement: For JAB Authorization, must use an accredited 3PAO.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CA-2 (2) [at least annually]

+
+ +

CA-2 (2) Requirement: To include 'announced', 'vulnerability scanning'

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CA-3 (c) [At least annually and on input from FedRAMP]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CA-3 (5) [deny-all, permit by exception]

+
+ +

CA-3 (5) Guidance: For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CA-5 (b) [at least monthly]

+
+ +

CA-5 Guidance: Requirement: POA&Ms must be provided at least monthly.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CA-6 (c) [at least every three (3) years or when a significant change occurs]

+
+ +

CA-6 (c) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CA-7 (g) [to meet Federal and FedRAMP requirements]

+
+ +

CA-7 Requirement: Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually CA-7 Guidance: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates. Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CA-8-1 [at least annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-1 (b) (1) [at least annually] CM-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-2 (1) (a) [at least annually or when a significant change occurs] CM-2 (1) (b) [to include when directed by the JAB]

+
+ +

CM-2 (1) (a) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-2 (3) [organization-defined previous versions of baseline configurations of the previously approved baseline configuration of IS components]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-3 Requirement: The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO. CM-3 (e) Guidance: In accordance with record retention policies and procedures.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

CM-3 (1) (c) [organization agreed upon time period] CM-3 (1) (f) [organization defined configuration management approval authorities]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

CM-5 (2) [at least every thirty (30) days]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-5 (3) Guidance: If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-6 (a) [United States Government Configuration Baseline (USGCB)]

+
+ +

CM-6 (a)-1 Requirement 1: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. CM-6 (a)-2 Requirement 2: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) validated or SCAP compatible (if validated checklists are not available). CM-6 (a) Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-7 (b) [United States Government Configuration Baseline (USGCB)]

+
+ +

CM-7 (b) Requirement: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. CM-7 Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. (Partially derived from AC-17(8).

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-7 (1) (a) [at least monthly]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-7 (2) Guidance: This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-7(5) (c) [at least quarterly or when there is a change]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-8 (b) [at least monthly]

+
+ +

CM-8 Requirement: must be provided at least monthly or when there is a change.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-8 (3) (a). [Continuously, using automated mechanisms with a maximum five-minute delay in detection.]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

CM-8 (4) [position and role]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-11 (c) [Continuously (via CM-7 (5))]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-1 (b) (1) [at least annually] CP-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-2 (d) [at least annually]

+
+ +

CP-2 Requirement: For JAB authorizations the contingency lists include designated FedRAMP personnel.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

CP-2 (4) [time period defined in service provider and organization SLA]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-3 (a) [ten (10) days] CP-3 (c) [at least annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-4 (a)-1 [at least annually] CP-4 (a)-2 [functional exercises]

+
+ +

CP-4 (a) Requirement: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-7 (a) Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-7 (1) Guidance: The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-8 Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

CP-8 (4) (c) [annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-9 (a) [daily incremental; weekly full] CP-9 (b) [daily incremental; weekly full] CP-9 (c) [daily incremental; weekly full]

+
+ +

CP-9 Requirement: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. CP-9 (a) Requirement: The service provider maintains at least three backup copies of user-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (b) Requirement: The service provider maintains at least three backup copies of system-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (c) Requirement: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online) or provides an equivalent alternative.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-9 (1). [at least monthly]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

CP-9 (5) [time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA].

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

CP-10 (4) [time period consistent with the restoration time-periods defined in the service provider and organization SLA]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-1 (b) (1) [at least annually] IA-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-2 (11) [FIPS 140-2, NIAP Certification, or NSA approval]

+
+ +

IA-2 (11) Guidance: PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-2 (12) Guidance: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-4(a) [at a minimum, the ISSO (or similar role within the organization)] IA-4 (d) [at least two (2) years] IA-4 (e) [thirty-five (35) days] (See additional requirements and guidance.)

+
+ +

IA-4 (e) Requirement: The service provider defines the time period of inactivity for device identifiers. Guidance: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-5 (g) [to include sixty (60) days for passwords]

+
+ +

IA-5 Requirement: Authenticators must be compliant with NIST SP 800-63-2 Electronic Authentication Guideline assurance Level 4 (Link http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-63-2.pdf)

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-5 (1) (a) [case sensitive, minimum of fourteen (14) characters, and at least one (1) each of upper-case letters, lower-case letters, numbers, and special characters] IA-5 (1) (b) [at least fifty percent (50%)] IA-5 (1) (d) [one (1) day minimum, sixty (60) day maximum] IA-5 (1) (e) [twenty four (24)]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-5 (3)-1 [All hardware/biometric (multifactor authenticators] IA-5 (3)-2 [in person]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + IDENTIFICATION AND AUTHENTICATION (NON- ORGANIZATIONAL USERS) + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IR-1 (b) (1) [at least annually] IR-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IR-2 (a) [within ten (10) days] IR-2 (c) [at least annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IR-3-1 [at least every six (6) months]

+
+ +

IR-3-2 Requirement: The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). For JAB authorization, the service provider provides test plans to the JAB/AO annually. Test plans are approved and accepted by the JAB/AO prior to test commencing.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IR-4 Requirement: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IR-6 (a) [US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)]

+
+ +

IR-6 Requirement: Reports security incident information according to FedRAMP Incident Communications Procedure.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IR-8 (b) [see additional FedRAMP Requirements and Guidance] IR-8 (c) [at least annually] IR-8 (e) [see additional FedRAMP Requirements and Guidance]

+
+ +

IR-8 (b) Requirement: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. IR-8 (e) Requirement: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MA-1 (b) (1) [at least annually] MA-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MA-3 (3) (d). [the information owner explicitly authorizing removal of the equipment from the facility]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MP-1 (b) (1) [at least annually] MP-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MP-2-1 [any digital and non-digital media deemed sensitive]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MP-3 (b)-1 [no removable media types] MP-3 (b)-2 [organization-defined security safeguards not applicable]

+
+ +

MP-3 (b) Guidance: Second parameter not-applicable

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MP-4 (a)-1 [all types of digital and non-digital media with sensitive information] MP-4 (a)-2 [see additional FedRAMP requirements and guidance]

+
+ +

MP-4 (a) Requirement: The service provider defines controlled areas within facilities where the information and information system reside.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MP-5 (a) [all media with sensitive information] [prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container]

+
+ +

MP-5 (a) Requirement: The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MP-6(a)-2 [techniques and procedures IAW NIST SP 800-88 and Section 5.9: Reuse and Disposal of Storage Media and Hardware]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MP-6 (2) [at least every six (6) months]

+
+ +

MP-6 (2) Guidance: Equipment and procedures may be tested or validated for effectiveness

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PE-1 (b) (1) [at least annually] PE-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PE-2 (c) [at least every ninety (90) days]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PE-3 (a) (2) [CSP defined physical access control systems/devices AND guards] PE-3 (d) [in all circumstances within restricted access area where the information system resides] PE-3 (f) [at least annually] PE-3 (g) [at least annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PE-6 (b) [at least monthly]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PE-8 (a) [for a minimum of one (1) year] PE-8 (b) [at least monthly]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

PE-13 (1) -1 [service provider building maintenance/physical security personnel] PE-13 (1) -2 [service provider emergency responders with incident response responsibilities]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PE-14 (a) [consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments] PE-14 (b) [continuously]

+
+ +

PE-14 (a) Requirements: The service provider measures temperature at server inlets and humidity levels by dew point.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

PE-15 (1) [service provider building maintenance/physical security personnel]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PE-16 [all information system components]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

PE-18 [physical and environmental hazards identified during threat assessment]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PL-1 (b) (1) [at least annually] PL-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PL-2 (c) [at least annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PL-4 (c) [annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PL-8 (b) [at least annually or when a significant change occurs]

+
+ +

PL-8 (b) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-1 (b) (1) [at least annually] PS-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-2 (c) [at least annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-3 (b) [for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-4 (a) [eight (8) hours]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

PS-4 (2) [access control personnel responsible for disabling access to the system]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-5 (b)-2 [twenty-four (24) hours] PS-5 (d)-2 [twenty-four (24) hours]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-6 (b) [at least annually] PS-6 (c) (2) [at least annually and any time there is a change to the user's level of access]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-7 (d)-2 [terminations: immediately; transfers: within twenty-four (24) hours]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-8(b)-1 [at a minimum, the ISSO and/or similar role within the organization]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

RA-1 (b) (1) [at least annually] RA-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

RA-3 (b) [security assessment report]

+
+ +

RA-3 Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. RA-3 (d) Requirement: Include all Authoring Officials and FedRAMP ISSOs.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

RA-5 (a) [monthly operating system/infrastructure; monthly web applications and databases] RA-5 (d) [high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery]

+
+ +

RA-5 (a) Requirement: an accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually. RA-5 (e) Requirement: to include the Risk Executive; for JAB authorizations to include FedRAMP

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

RA-5 (2) [prior to a new scan]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

RA-5 (4) [notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

RA-5 (5)-1 [operating systems / web applications / databases] RA-5 (5)-2 [all scans]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-1 (b) (1) [at least annually] SA-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-4 Guidance: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See http://www.niap-ccevs.org/vpl or http://www.commoncriteriaportal.org/products.html.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-4 (2)-1 [at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information]]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-5E [at a minimum, the ISSO (or similar role within the organization)]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-9 (a) [FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system] SA-9 (c) [Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-9 (2) [all external systems where Federal information is processed or stored]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-10 (a) [development, implementation, AND operation]

+
+ +

SA-10 (e) Requirement: for JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

SA-12 [organization and service provider-defined personnel security requirements, approved HW/SW vendor list/process, and secure SDLC procedures]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

SA-15 (b)-1 [as needed and as dictated by the current threat posture] SA-15 (b)-2 [organization and service provider- defined security requirements]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-1 (b) (1) [at least annually] SC-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-7 (4) (e) [at least every ninety (90) days or whenever there is a change in the threat environment that warrants a review of the exceptions]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-8 [confidentiality AND integrity]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-8 (1)-1 [prevent unauthorized disclosure of information AND detect changes to information] SC-8 (1)-1 [a hardened or alarmed carrier Protective Distribution System (PDS)]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-10 [no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-12 Guidance: Federally approved cryptography

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-13 [FIPS-validated or NSA-approved cryptography]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-15 (a) [no exceptions]

+
+ +

SC-15 Requirement: The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + SECURE NAME /ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE) + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + SECURE NAME /ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER) + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + ARCHITECTURE AND PROVISIONING FOR NAME/ADDRESS RESOLUTION SERVICE + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-28 [confidentiality AND integrity]

+
+ +

SC-28 Guidance: The organization supports the capability to use cryptographic mechanisms to protect information at rest.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-1 (b) (1) [at least annually] SI-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-2 (c) [thirty (30) days of release of updates]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-2 (2) [at least monthly]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-3 (c) (1)-1 [at least weekly] SI-3 (c) (1)-2 [to include endpoints] SI-3 (c) (2) [to include blocking and quarantining malicious code and alerting administrator or defined security personnel near-realtime]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-4 Guidance: See US-CERT Incident Response Reporting Guidelines.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-4 (4) [continuously]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-4 (5) Guidance: In accordance with the incident response plan.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-5 (a) [to include US-CERT] SI-5 (c) [to include system security personnel and administrators with configuration/patch-management responsibilities]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-6 (b) [to include upon system startup and/or restart and at least monthly] SI-6 (c) [to include system administrators and security personnel] SI-6 (d) [to include notification of system administrators and security personnel]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-7(1)-1 [selection to include security relevant events] SI-7(1)-2 [at least monthly]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+
+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + organization-defined actions + organization-defined actions + + + organization-defined conditions for establishing shared/group accounts + organization-defined conditions for establishing shared/group accounts + + + organization-defined security policy filters + organization-defined security policy filters + + + organization-defined information flows + organization-defined information flows + + + organization-defined mechanisms and/or techniques + organization-defined mechanisms and/or techniques + + + organization-defined required separations by types of information + organization-defined required separations by types of information + + + organization-defined frequency + organization-defined frequency + + + organization-defined roles or classes of users + organization-defined roles or classes of users + + + organization-defined software + organization-defined software + + + organization-defined mobile devices + organization-defined mobile devices + + + organization-defined purging/wiping requirements/techniques + organization-defined purging/wiping requirements/techniques + + + organization-defined number + organization-defined number + + + organization-defined information resources + organization-defined information resources + + + organization-defined time period + organization-defined time period + + + organization-defined indicators of malicious code + organization-defined indicators of malicious code + + + organization-defined information system + organization-defined information system + + + organization-defined external organization + organization-defined external organization + + + organization-defined requirements + organization-defined requirements + + + organization-defined unclassified, non-national security system + organization-defined unclassified, non-national security system + + + Assignment; organization-defined boundary protection device + Assignment; organization-defined boundary protection device + + + organization-defined configuration change control element + organization-defined configuration change control element + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined frequency + organization-defined frequency + + + organization-defined restrictions + organization-defined restrictions + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined characteristic identifying individual status + organization-defined characteristic identifying individual status + + + organization-defined requirements + organization-defined requirements + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined time period + organization-defined time period + + + organization-defined information system components + organization-defined information system components + + + organization-defined classes of incidents + organization-defined classes of incidents + + + organization-defined actions to take in response to classes of incidents + organization-defined actions to take in response to classes of incidents + + + organization-defined external organizations + organization-defined external organizations + + + organization-defined incident information + organization-defined incident information + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined actions + organization-defined actions + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined procedures + organization-defined procedures + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined additional personnel screening criteria + organization-defined additional personnel screening criteria + + + organization-defined level of detail + organization-defined level of detail + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined external service providers + organization-defined external service providers + + + organization-defined locations + organization-defined locations + + + organization-defined requirements or conditions + organization-defined requirements or conditions + + + organization-defined resources + organization-defined resources + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined host-based boundary protection mechanisms + organization-defined host-based boundary protection mechanisms + + + organization-defined information system components + organization-defined information system components + + + organization-defined information security tools, mechanisms, and support components + organization-defined information security tools, mechanisms, and support components + + + organization-defined information system components + organization-defined information system components + + + organization-defined information + organization-defined information + + + organization-defined information system components + organization-defined information system components + + + organization-defined benchmarks + organization-defined benchmarks + + + organization-defined interior points within the system (e.g., subnetworks, subsystems) + organization-defined interior points within the system (e.g., subnetworks, subsystems) + + + organization-defined interior points within the system (e.g., subsystems, subnetworks) + organization-defined interior points within the system (e.g., subsystems, subnetworks) + + + organization-defined additional monitoring + organization-defined additional monitoring + + + organization-defined sources + organization-defined sources + + + organization-defined additional monitoring + organization-defined additional monitoring + + + organization-defined authorization or approval processes + organization-defined authorization or approval processes + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined host-based monitoring mechanisms + organization-defined host-based monitoring mechanisms + + + organization-defined information system components + organization-defined information system components + + + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-2 (7) (c) [disables/revokes access within a organization-specified timeframe]

+
+
+
+ + + RESTRICTIONS ON USE OF SHARED GROUPS / ACCOUNTS + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-2 (9) [organization-defined need with justification statement that explains why such accounts are necessary]

+
+ +

AC-2 (9) Required if shared/group accounts are deployed

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-2 (10) Required if shared/group accounts are deployed

+
+
+
+ + + +

NEED. If there is a significant high-impact risk of inadvertent or intentional data leakage with a system deployed in a shared-service environment, this control is justified to mitigate that risk. Similar justification applies when an organization needs to ensure data isolation between different types of information enclaves within the organization. ANALYSIS. Although this control is usually employed to control flows between different classified enclaves, it can also apply to non-classified scenarios (e.g., the need to isolate legal, personnel, health-related, financial, or other information or files deemed sensitive. SAMPLE THREAT VECTORS. Sensitive free-text information passes from the personnel department to the rest of the organization. Law-enforcement sensitive information is inadvertently pulled from the organization's general counsel case management system and passed outside the department to users without authorization to view that information. HIPAA-protected health information flows freely from the HR department to all employees. Privacy-Act information flows from an HR system into a publicly released report. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Adaptive, Manageable, Assessed, Auditable, Regulated, Controlled, Monitored, Providing Good Data Stewardship, Assured, Competent, Confidential, Data Controllable, Access-Controlled.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

CSP Insider Threat mitigation; Good housekeeping and a best business practice for the protection of the CSP and customer alike. In a cloud environment, the power (and potentially harm) of the privileged users is greatly magnified because of the scale. For that reason periodic review of privileges is important.

+
+ +

AC-6 (7)(a)-1 at a minimum, annually AC-6 (7)(a)-2 all users with privileges

+
+
+
+ + + +

This control is not part of the NIST high baseline and was added for FedRAMP at the recommendation of DoD and NIST. This is a CNSSI 1253 control.

+
+ +

AC-6 (8) [any software except software explicitly documented]

+
+
+
+ + + +

NEED. If an organization’s mobile devices carry information whose loss would have a high impact, this control is warranted in order to mitigate the risk of such loss. ANALYSIS. The technologies associated with this control are well established COTS hardware and software. SAMPLE THREAT VECTORS. Mobile device is lost, falls into the hands of people without authorization to view the information contained on the device. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Usable, Adaptive, Manageable, Agile, Supported, Assessed, Auditable, Regulated, Controlled, Monitored, Providing Good Data Stewardship, Assured, Confidential, Data Controllable, Access-Controlled, Mission Assured.

+
+ +

AC-7 (2)-1 [mobile devices as defined by organization policy] AC-7 (2)-3 [three (3)]

+
+
+
+ + + +

Recommended by High Baseline Tiger Team. vulnerabilities associated with not having a logout button are well-documented.

+
+ +

AC-12 (1) Guidance: https://www.owasp.org/index.php/Testing_for_logout_functionality_%28OTG-SESS-006%29

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-17 (9) [fifteen (15) minutes]

+
+
+
+ + + +

Rationale for Selection: Best business practice for the protection of the CSP and customer alike " when not intended for use". This is an unanticipated vector for attack if present and active. While probably not an issue with data center servers and networking devices, wireless is becoming embedded in many components and devices such as printers, fax devices, copiers, scanners, communications devices, etc. There is the additional potential that wireless capabilities may become available in air conditioners, power centers, power controllers, lighting, alarm systems, etc. There is a potential that these capabilities could exist without organizational awareness. Selection drivedsawareness. It's better to perform the check than to make assumptions about what devices are in the IS.

+
+
+
+ + + +

NEED. High-impact systems warrant significantly elevated protection; one of these elevated protections is provided through simulated no-notice attacks that exercise users’ ability to detect and respond correctly to attempts to steal internal information in their possession. ANALYSIS. These controls are well understood and widely installed; COTS components keep implementation time and cost low. SAMPLE THREAT VECTORS. Cybersecurity staff do not know how to monitor, respond, and manage complex enforcement systems and subsystems. Cybersecurity staff is not properly trained to understand how the controls are to operate. Staff does not understand the event alarms/logs. Staff is not able to protect from unauthorized disclosure. Staff is careless with handling data, or unwilling to follow the established security protocols, or willing to cut corners to save time. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Assessed, Auditable, Controlled, Monitored, Providing Good Data Stewardship, Assured, Competent, Confidential.

+
+
+
+ + + +

NEED. High-impact systems warrant significantly elevated protection.

+
+ +

AT-3 (4) [malicious code indicators as defined by organization incident policy/capability]

+
+
+
+ + + +

NEED. Due to the complexity of independent systems exchanging security-related monitoring data, and high-impact systems implemented in shared-service environments, the responsible organization needs a centralized capability that integrates these various data sources into a unified whole permitting central review and analysis of diverse log data relevant to security audits. ANALYSIS. This control permits analysts and auditors to focus on their primary duty of analyzing log data, and relieves them of the usual burden of discovery, collection, validation, aggregation, and indexing of large log datasets relevant to system security. Since these latter collection tasks have been automated under this control, less time and funding will be required to execute this core audit/analysis activity. SAMPLE THREAT VECTORS. Staff does not know how to monitor or manage complex systems in a way that supports effective management decision or control. Malicious actors manipulate the system to appear as if functioning normally, when it is not. People fail to review event logs. People make unauthorized changes to event logger." RELEVANT SECURITY CONTROL ATTRIBUTES. Monitored.

+
+
+
+ + + +

This control is not part of the NIST high baseline and was added for FedRAMP.

+
+ +

AU-6 (7) [information system process; role; user]

+
+
+
+ + + +

Rationale for Selection L3-6: In support of cyber security threat / incident response activities. Supports flexibility in auditing levels based on threat level. Supports CSP integration with DoD security architecture. The sensitivity of the information at levels 3-6 warrents the adjustment of auditing levels based on threat level.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

CA-2 (3)-1 [any FedRAMP Accredited 3PAO] CA-2 (3)-1-2 [any FedRAMP Accredited 3PAO] CA-2 (3)-1-3 [the conditions of the JAB/AO in the FedRAMP Repository]

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

CA-3 (3) [boundary protections which meet the Trusted Internet Connection (TIC) requirements]

+
+ +

CA-3 (3) Guidance: Refer to Appendix H – Cloud Considerations of the TIC 2.0 Reference Architecture document.

+
+
+
+ + + +

NEED. Organization requires independent data to validate that current security monitoring continues to target the right data, and that no gaps have opened between what is currently measured and what needs to be measured given the constantly evolving threat environment. In particular, the organization determines that security management will need trend analytics tuned to the current security climate to ensure the organization’s security officials maintain general situational awareness of larger security trends that may pose a threat to the organization’s high-impact systems fielded in shared-service environments.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Rationale for De-Selection L1/2: The sensitivity of the information at these levels may not require a information security representative to be a member of the organization-defined configuration change control element. Rationale for Selection L3-6: This is a best business practice for the protection of the CSP and customer alike in that the security representative will be more aware of IA issues that configuration changes can introduce and he/she can more easily provide IA guidance for issues spotted.

+
+ +

CM-3 (4) Configuration control board (CCB) or similar (as defined in CM-3)

+
+
+
+ + + +

Rationale for SA L1: Cryptographic mechanisms are only required at this level for priviledged user (system administrator / SA) access control and the transport of privileged commands or configuration files. Not the publicly released information served at this level. Rationale for Selection L2-6: Best practice. Supplemental guidance for this CE refers primarily to the processes surrounding the management of the cryptographic mechanisms used. These processes need to be under change management that addresses security concerns to ensure they remain secure.

+
+ +

CM-3 (6) All security safeguards that rely on cryptography

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-5 (5) (b) [at least quarterly]

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

NEED. High-impact systems will require special measures to ensure users cannot place the overall system at risk by installing unauthorized software. This control supports that need. ANALYSIS. Implementation of these controls is well understood, and relies on capabilities provided in COTS operating systems. SAMPLE THREAT VECTORS. The system executes malicious and harmful software. Software updates could render the system unstable or cause it to function incorrectly. Software is not designed with adequate safeguards to protect PII and other sensitive information. Users could make mistakes in following policy. Users could intentionally install unapproved/unvetted software. RELEVANT SECURITY CONTROL ATTRIBUTES. Quality Assured, Substantiated Integrity, Maintainable, Testable, Configuration Managed, Change Managed, Supported, Assessed, Auditable, Authorized, Regulated, Enforcement, Controlled, Reliable, Providing Good Data Stewardship, Assured, Confidential, Access-Controlled

+
+
+
+ + + IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | GROUP AUTHENTICATION + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-4 (4) [contractors; foreign nationals]

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-5 (4) [complexity as identified in IA-5 (1) Control Enhancement Part (a)]

+
+ +

IA-5 (4) Guidance: If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

NEED. In those cases where an organization’s user accounts authenticate to more than one system, and at least one of those systems is a high-impact system implemented in a shared-service environment, then this control is warranted as a baseline capability to guard against loss of high-impact, sensitive information. ANALYSIS. Organizations can use COTS tools and techniques to implement this control in many ways. Agencies should be prepared to document their plan and approach to this control technique. THREAT VECTORS ADDRESSED. A user’s account password is cracked, permitting attackers to identify all systems to which the user has access, and to gain access to the information in those systems. RELEVANT SECURITY CONTROL ATTRIBUTES. Monitored, Assessed

+
+ +

IA-5 (8) [different authenticators on different systems]

+
+
+
+ + + +

Rationale for Selection: Best practice for authenticated web services and best business practice for the protection of the CSP and customer alike. ECSB sees this as a significant value add toward the protection of customer accounts on SaaS or customer service / managent interfaces/portals. L1 Rationale for SA: No authenticators are required for user access to public informationl. Info sensitivity does not warrant. However this CE would be required priviledged user access to manage the system server(s) containing public information.

+
+
+
+ + + +

NEED. Organization requires near real-time subsystem reconfiguration for high-impact systems, especially those deployed wholly or partially into shared-service environments. This dynamic reconfiguration is required for core infrastructure components such as routers, firewalls, messaging gateways, or access control/authentication servers, especially when these core components are under cyber-attack.

+
+ +

IR-4 (2) [all network, data storage, and computing devices]

+
+
+
+ + + +

NEED. Due to the direct connection between system function and critical mission/business capability, the system requires Continuity-of-Operations (COOP) controls.

+
+
+
+ + + +

NEED. High-impact systems will require special measures to ensure security incidents are correctly and effectively handled in a timely manner. This high-level control supports that need, and is therefore warranted as a baseline for high-impact systems in shared-service environments. ANALYSIS. Implementation of this general control is well understood among Departments and Agencies. However, it may require special funding and time to implement in a shared service environment, where response roles and responsibilities demand vigilant analysis and definition. SAMPLE THREAT VECTORS. Insiders gain access to information for which they have no authorization. Insiders push sensitive information to outside networks not authorized to receive it. Insiders violate agency information-security policies. Insider actions are not monitored. RELEVANT SECURITY CONTROL ATTRIBUTES. Agile, Owned, Enforcement

+
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+ + + +

This control was recommended ecommended by the High Baseline Tiger Team.

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+ +

IR-4 (8) [external organizations including consumer incident responders and network defenders and the appropriate CIRT/CERT (such as US-CERT, DOD CERT, IC CERT)]

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Included in FedRAMP Moderate Baseline, Rev 4

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Included in FedRAMP Moderate Baseline, Rev 4

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Included in FedRAMP Moderate Baseline, Rev 4

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Included in FedRAMP Moderate Baseline, Rev 4

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IR-9 (2) [at least annually]

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Included in FedRAMP Moderate Baseline, Rev 4

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Included in FedRAMP Moderate Baseline, Rev 4

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Rationale for Selection: Best practice business practice for the protection of the CSP and customer alike. Protects against unauthorized access and compromise of the CSP infrastructure. See Supplemental Guidance

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+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

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Included in FedRAMP Moderate Baseline, Rev 4

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PS-3 (3) (b) [personnel screening criteria – as required by specific information]

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+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

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Included in FedRAMP Moderate Baseline, Rev 4

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RA-5 (6) Guidance: include in Continuous Monitoring ISSO digest/report to JAB/AO

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Included in FedRAMP Moderate Baseline, Rev 4

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RA-5 (8) Requirements: This enhancement is required for all high vulnerability scan findings. Guidance: While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability.

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NEED. Organizations commonly run vulnerability scanning tools against diverse enterprise systems and subsystems. These tools are often attuned to the specific subsystems, and often provided by different manufacturers. Because there is no single-vendor consolidation of all scanning tools, organizations need to correlate the outputs of these tools in order to triangulate on potential threats that may be related, or identical at their source. When the security impact is high a shared-service environment may increase the number of independent scanning tools, implementation of this control is warranted.

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RA-5 (10) Guidance: If multiple tools are not used, this control is not applicable.

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Included in FedRAMP Moderate Baseline, Rev 4

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SA-4 (8) [at least the minimum requirement as defined in control CA-7]

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SA-4 (8) Guidance: CSP must use the same security standards regardless of where the system component or information system service is acquired.

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Included in FedRAMP Moderate Baseline, Rev 4

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Included in FedRAMP Moderate Baseline, Rev 4

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SA-9 (4)-2 [all external systems where Federal information is processed or stored]

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Included in FedRAMP Moderate Baseline, Rev 4

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SA-9 (5)-1 [information processing, information data, AND information services]

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Included in FedRAMP Moderate Baseline, Rev 4

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Included in FedRAMP Moderate Baseline, Rev 4

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SA-11 (1) Requirement: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

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Included in FedRAMP Moderate Baseline, Rev 4

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Included in FedRAMP Moderate Baseline, Rev 4

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SA-11 (8) Requirement: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

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Included in FedRAMP Moderate Baseline, Rev 4

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NEED. High-impact systems warrant careful attention to scenarios associated with exfiltration of sensitive organizational information. Different systems and implementation will trigger different scenarios, but regardless of the specific system context, organizations are warranted in establishing this control for high-impact systems with subsystems deployed into shared-service environments.

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Included in FedRAMP Moderate Baseline, Rev 4

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SC-7(12)-1 [Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall]

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Included in FedRAMP Moderate Baseline, Rev 4

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SC-7 (13) Requirement: The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets. Guidance: Examples include: information security tools, mechanisms, and support components such as, but not limited to PKI, patching infrastructure, cyber defense tools, special purpose gateway, vulnerability tracking systems, internet access points (IAPs); network element and data center administrative/management traffic; Demilitarized Zones (DMZs), Server farms/computing centers, centralized audit log servers etc.

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NEED. High-impact systems warrant careful attention to situations where specific sources or methods become suspect. Such situations can involve specific user accounts, messages, message payloads, data, applications, or even entire subsystems. Under these circumstances, a capability for dynamic segregation is highly justified.

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+ + + CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT | SYMMETRIC KEYS + +

Included in FedRAMP Moderate Baseline, Rev 4

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SC-12 (2) [NIST FIPS-compliant]

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+ + + CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT | ASYMMETRIC KEYS + +

Included in FedRAMP Moderate Baseline, Rev 4

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Rationale for Selection: Rationale for Selection for SA L1: At L1 this CE is only applicable to privileged user sessions.

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Included in FedRAMP Moderate Baseline, Rev 4

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SC-28 (1)-2 [all information system components storing customer data deemed sensitive]

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Included in FedRAMP Moderate Baseline, Rev 4

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Included in FedRAMP Moderate Baseline, Rev 4

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Included in FedRAMP Moderate Baseline, Rev 4

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NEED. When a high-impact system is implemented in a shared-service environment, organizations should ensure their sensitive data is properly protected against classic threats to the confidentiality of its sensitive information. This control partially meets that need.

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Included in FedRAMP Moderate Baseline, Rev 4

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Included in FedRAMP Moderate Baseline, Rev 4

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NEED. When a high-impact system is implemented in a shared-service environment, organizations should ensure their sensitive data is properly protected against classic threats to the confidentiality of sensitive information. This control partially meets that need.

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Rationale for De-Selection L1-3: The information sensitivity at these levels does not seem to warrant implementation of this CE. The costs for instituting fine-grained monitoring per individual far may outweigh the risks

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+ + + PRIVILEGED USER + +

Rationale for Selection: Best business practice for the protection of the CSP and customer alike. Given the scale of a cloud, the possible harm by an malicious insider is greatly magnified over normal systems.

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NEED. When a high-impact system is implemented across networks in a shared-service environment, organizations should monitor network services to protect against unauthorized services capable of exfiltrating sensitive information. This control meets that monitoring need.

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Included in FedRAMP Moderate Baseline, Rev 4

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NEED. When a high-impact system is implemented across networks in a shared-service environment, organizations should aggressively monitor for symptoms that system integrity has been compromised. This control addresses that monitoring need.

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\ No newline at end of file diff --git a/examples/FedRAMP/roundtripped/FedRAMP-HIGH-edited.xml b/examples/FedRAMP/roundtripped/FedRAMP-HIGH-edited.xml new file mode 100644 index 0000000000..4e63531841 --- /dev/null +++ b/examples/FedRAMP/roundtripped/FedRAMP-HIGH-edited.xml @@ -0,0 +1,5637 @@ + + FedRAMP HIGH Baseline PROFILE (extracted and aligned, no edits) + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + at least annually + + + organization-defined frequency + at least annually or whenever a significant change occurs + + + organization-defined information system account types + organization-defined information system account types + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined procedures or conditions + organization-defined procedures or conditions + + + organization-defined frequency + monthly for privileged accessed, every six (6) months for non-privileged access + + + organization-defined time period for each type of account + 24 hours from last use + + + organization-defined time period + 35 days for user accounts + + + organization-defined personnel or roles + organization and/or service provider system owner + + + organization-defined time-period of expected inactivity or description of when to log out + inactivity is anticipated to exceed Fifteen (15) minutes + + + organization-defined circumstances and/or usage conditions + organization-defined circumstances and/or usage conditions + + + organization-defined information system accounts + organization-defined information system accounts + + + organization-defined atypical usage + organization-defined atypical usage + + + organization-defined personnel or roles + at a minimum, the ISSO and/or similar role within the organization + + + organization-defined time period + one (1) hour + + + organization-defined information flow control policies + organization-defined information flow control policies + + + organization-defined duties of individuals + organization-defined duties of individuals + + + organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information + all functions not publicly accessible and all security-relevant information not publicly available + + + organization-defined security functions or security-relevant information + all security functions + + + organization-defined privileged commands + all privileged commands + + + organization-defined compelling operational needs + organization-defined compelling operational needs + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined number + not more than three (3) + + + organization-defined time period + fifteen (15) minutes + + + organization-defined time period + organization-defined time period + + + organization-defined delay algorithm + locks the account/node for a minimum of three (3) hours or until unlocked by an administrator + + + organization-defined system use notification message or banner + [see additional Requirements and Guidance] + + + organization-defined conditions + [see additional Requirements and Guidance] + + + organization-defined account and/or account type + organization-defined account and/or account type + + + organization-defined number + three (3) sessions for privileged access and two (2) sessions for non-privileged access + + + organization-defined time period + fifteen (15) minutes + + + organization-defined conditions or trigger events requiring session disconnect + organization-defined conditions or trigger events requiring session disconnect + + + organization-defined user actions + organization-defined user actions + + + organization-defined number + organization-defined number + + + organization-defined needs + organization-defined needs + + + organization-defined mobile devices + organization-defined mobile devices + + + organization-defined information sharing circumstances where user discretion is required + organization-defined information sharing circumstances where user discretion is required + + + organization-defined automated mechanisms or manual processes + organization-defined automated mechanisms or manual processes + + + organization-defined frequency + at least quarterly + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + at least annually or whenever a significant change occurs + + + organization-defined frequency + at least annually or whenever a significant change occurs + + + organization-defined frequency + at least annually + + + organization-defined frequency + at least annually + + + organization-defined time period + five (5) years or 5 years after completion of a specific training program + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + at least annually + + + organization-defined frequency + at least annually or whenever a significant change occurs + + + organization-defined auditable events + successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes + + + organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event + organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event + + + organization-defined frequency + annually or whenever there is a change in the threat environment + + + organization-defined additional, more detailed information + session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands + + + organization-defined information system components + all network, data storage, and computing devices + + + organization-defined audit record storage requirements + organization-defined audit record storage requirements + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records) + organization-defined actions to be taken (overwrite oldest record) + + + organization-defined personnel, roles, and/or locations + organization-defined personnel, roles, and/or locations + + + organization-defined time period + organization-defined time period + + + organization-defined percentage + organization-defined percentage + + + organization-defined real-time period + real-time + + + organization-defined personnel, roles, and/or locations + service provider personnel with authority to address failed audit events + + + organization-defined audit failure events requiring real-time alerts + audit failure events requiring real-time alerts, as defined by organization audit policy + + + organization-defined frequency + at least weekly + + + organization-defined inappropriate or unusual activity + organization-defined inappropriate or unusual activity + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined data/information collected from other sources + Selection (one or more): vulnerability scanning information; performance data; information system monitoring information; penetration test data + + + organization-defined audit fields within audit records + organization-defined audit fields within audit records + + + organization-defined granularity of time measurement + one second granularity of time measurement + + + organization-defined frequency + organization-defined frequency + + + organization-defined authoritative time source + http://tf.nist.gov/tf-cgi/servers.cgi + + + organization-defined time period + At least hourly + + + organization-defined frequency + at least weekly + + + organization-defined subset of privileged users + organization-defined subset of privileged users + + + organization-defined actions to be covered by non-repudiation + minimum actions including the addition, modification, deletion, approval, sending, or receiving of data + + + organization-defined time period consistent with records retention policy + at least one (1) year + + + organization-defined information system components + organization-defined information system components + + + organization-defined personnel or roles + all information system and network components where audit capability is deployed/available + + + organization-defined information system components + all network, data storage, and computing devices + + + organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail + organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail + + + organization-defined individuals or roles + service provider-defined individuals or roles with audit configuration responsibilities + + + organization-defined information system components + all network, data storage, and computing devices + + + organization-defined selectable event criteria + organization-defined selectable event criteria + + + organization-defined time thresholds + organization-defined time thresholds + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + at least annually + + + organization-defined frequency + at least annually or whenever a significant change occurs + + + organization-defined frequency + at least annually + + + organization-defined individuals or roles + individuals or roles to include FedRAMP PMO + + + organization-defined level of independence + organization-defined level of independence + + + organization-defined frequency + at least annually + + + organization-defined other forms of security assessment + organization-defined other forms of security assessment + + + organization-defined frequency + At least annually and on input from FedRAMP + + + organization-defined information systems + any systems + + + organization-defined frequency + at least monthly + + + organization-defined frequency + at least every three (3) years or when a significant change occurs + + + organization-defined metrics + organization-defined metrics + + + organization-defined frequencies + organization-defined frequencies + + + organization-defined frequencies + organization-defined frequencies + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined level of independence + organization-defined level of independence + + + organization-defined frequency + at least annually + + + organization-defined information systems or system components + organization-defined information systems or system components + + + organization-defined information system components or classes of components + organization-defined information system components or classes of components + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + at least annually + + + organization-defined frequency + at least annually or whenever a significant change occurs + + + organization-defined frequency + at least annually or when a significant change occurs + + + Assignment organization-defined circumstances + to include when directed by the JAB + + + organization-defined previous versions of baseline configurations of the information system + organization-defined previous versions of baseline configurations of the previously approved baseline configuration of IS components + + + organization-defined information systems, system components, or devices + organization-defined information systems, system components, or devices + + + organization-defined configurations + organization-defined configurations + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined time period + organization-defined time period + + + organization-defined configuration change control element (e.g., committee, board) + organization-defined configuration change control element (e.g., committee, board) + + + organization-defined frequency + organization-defined frequency + + + organization-defined configuration change conditions + organization-defined configuration change conditions + + + organized-defined approval authorities + organized-defined approval authorities + + + organization-defined time period + organization agreed upon time period + + + organization-defined personnel + organization defined configuration management approval authorities + + + organization-defined frequency + at least every thirty (30) days + + + organization-defined circumstances + organization-defined circumstances + + + organization-defined software and firmware components + organization-defined software and firmware components + + + organization-defined security configuration checklists + United States Government Configuration Baseline (USGCB) + + + organization-defined information system components + organization-defined information system components + + + organization-defined operational requirements + organization-defined operational requirements + + + organization-defined information system components + organization-defined information system components + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined configuration settings + organization-defined configuration settings + + + organization-defined prohibited or restricted functions, ports, protocols, and/or services + [United States Government Configuration Baseline (USGCB)] + + + organization-defined frequency + at least monthly + + + organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure + organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure + + + organization-defined policies regarding software program usage and restrictions + organization-defined policies regarding software program usage and restrictions + + + organization-defined software programs authorized to execute on the information system + organization-defined software programs authorized to execute on the information system + + + organization-defined frequency + at least quarterly or when there is a change + + + organization-defined information deemed necessary to achieve effective information system component accountability + organization-defined information deemed necessary to achieve effective information system component accountability + + + organization-defined frequency + at least monthly + + + organization-defined frequency + Continuously, using automated mechanisms with a maximum five-minute delay in detection. + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined policies + organization-defined policies + + + organization-defined methods + organization-defined methods + + + organization-defined frequency + Continuously (via CM-7 (5)) + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + at least annually + + + organization-defined frequency + at least annually or whenever a significant change occurs + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + + + organization-defined frequency + at least annually + + + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + + + organization-defined time period + organization-defined time period + + + organization-defined time period + time period defined in service provider and organization SLA + + + organization-defined time period + ten (10) days + + + organization-defined frequency + at least annually + + + organization-defined frequency + at least annually + + + organization-defined tests + functional exercises + + + organization-defined information system operations + organization-defined information system operations + + + organization-defined time period consistent with recovery time and recovery point objectives + organization-defined time period consistent with recovery time and recovery point objectives + + + organization-defined information system operations + organization-defined information system operations + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + + organization-defined frequency + organization-defined frequency + + + organization-defined critical information system software and other security-related information + organization-defined critical information system software and other security-related information + + + organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives + organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives + + + organization-defined restoration time-periods + organization-defined restoration time-periods + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined strength of mechanism requirements + organization-defined strength of mechanism requirements + + + organization-defined specific and/or types of devices + organization-defined specific and/or types of devices + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined time period of inactivity + organization-defined time period of inactivity + + + organization-defined time period by authenticator type + organization-defined time period by authenticator type + + + organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type + organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type + + + organization-defined number + organization-defined number + + + organization-defined numbers for lifetime minimum, lifetime maximum + organization-defined numbers for lifetime minimum, lifetime maximum + + + organization-defined number + organization-defined number + + + organization-defined types of and/or specific authenticators + organization-defined types of and/or specific authenticators + + + organization-defined registration authority + organization-defined registration authority + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined token quality requirements + organization-defined token quality requirements + + + organization-defined information systems + organization-defined information systems + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined tests + organization-defined tests + + + organization-defined time period + organization-defined time period + + + organization-defined authorities + organization-defined authorities + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + + + organization-defined frequency + organization-defined frequency + + + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined maintenance-related information + organization-defined maintenance-related information + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined information system components + organization-defined information system components + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined types of digital and/or non-digital media + organization-defined types of digital and/or non-digital media + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined types of information system media + organization-defined types of information system media + + + organization-defined controlled areas + organization-defined controlled areas + + + organization-defined types of digital and/or non-digital media + organization-defined types of digital and/or non-digital media + + + organization-defined controlled areas + organization-defined controlled areas + + + organization-defined types of information system media + organization-defined types of information system media + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined information system media + organization-defined information system media + + + organization-defined sanitization techniques and procedures + organization-defined sanitization techniques and procedures + + + organization-defined frequency + organization-defined frequency + + + organization-defined circumstances requiring sanitization of portable storage devices + organization-defined circumstances requiring sanitization of portable storage devices + + + organization-defined types of information system media + organization-defined types of information system media + + + organization-defined information systems or system components + organization-defined information systems or system components + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined entry/exit points to the facility where the information system resides + organization-defined entry/exit points to the facility where the information system resides + + + organization-defined physical access control systems/devices + organization-defined physical access control systems/devices + + + organization-defined entry/exit points + organization-defined entry/exit points + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined circumstances requiring visitor escorts and monitoring + organization-defined circumstances requiring visitor escorts and monitoring + + + organization-defined physical access devices + organization-defined physical access devices + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined physical spaces containing one or more components of the information system + organization-defined physical spaces containing one or more components of the information system + + + organization-defined information system distribution and transmission lines + organization-defined information system distribution and transmission lines + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined frequency + organization-defined frequency + + + organization-defined events or potential indications of events + organization-defined events or potential indications of events + + + organization-defined physical spaces containing one or more components of the information system + organization-defined physical spaces containing one or more components of the information system + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined location by information system or system component + organization-defined location by information system or system component + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined emergency responders + organization-defined emergency responders + + + organization-defined emergency responders + organization-defined emergency responders + + + organization-defined acceptable levels + organization-defined acceptable levels + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined types of information system components + organization-defined types of information system components + + + organization-defined security controls + organization-defined security controls + + + organization-defined physical and environmental hazards + organization-defined physical and environmental hazards + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined individuals or groups + organization-defined individuals or groups + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening + organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening + + + organization-defined time period + organization-defined time period + + + organization-defined information security topics + organization-defined information security topics + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined transfer or reassignment actions + organization-defined transfer or reassignment actions + + + organization-defined time period following the formal transfer action + organization-defined time period following the formal transfer action + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined document + organization-defined document + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency and/or randomly in accordance with organization-defined process + organization-defined frequency and/or randomly in accordance with organization-defined process + + + organization-defined response times + organization-defined response times + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined corrective actions + organization-defined corrective actions + + + organization-identified information system components + organization-identified information system components + + + organization-defined vulnerability scanning activities + organization-defined vulnerability scanning activities + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined system development life cycle + organization-defined system development life cycle + + + organization-defined design/implementation information + organization-defined design/implementation information + + + organization-defined level of detail + organization-defined level of detail + + + organization-defined actions + organization-defined actions + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined security controls + organization-defined security controls + + + organization-defined processes, methods, and techniques + organization-defined processes, methods, and techniques + + + organization-defined external information system services + organization-defined external information system services + + + organization-defined configuration items under configuration management + organization-defined configuration items under configuration management + + + organization-defined personnel + organization-defined personnel + + + organization-defined depth and coverage + organization-defined depth and coverage + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined frequency + organization-defined frequency + + + organization-defined security requirements + organization-defined security requirements + + + organization-defined training + organization-defined training + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined types of denial of service attacks or references to sources for such information + organization-defined types of denial of service attacks or references to sources for such information + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined frequency + organization-defined frequency + + + organization-defined internal communications traffic + organization-defined internal communications traffic + + + organization-defined external networks + organization-defined external networks + + + organization-defined information system components + organization-defined information system components + + + organization-defined missions and/or business functions + organization-defined missions and/or business functions + + + organization-defined alternative physical safeguards + organization-defined alternative physical safeguards + + + organization-defined time period + organization-defined time period + + + organization-defined requirements for key generation, distribution, storage, access, and destruction + organization-defined requirements for key generation, distribution, storage, access, and destruction + + + organization-defined cryptographic uses and type of cryptography required for each use + organization-defined cryptographic uses and type of cryptography required for each use + + + organization-defined exceptions where remote activation is to be allowed + organization-defined exceptions where remote activation is to be allowed + + + organization-defined certificate policy + organization-defined certificate policy + + + organization-defined known-state + organization-defined known-state + + + organization-defined types of failures + organization-defined types of failures + + + organization-defined system state information + organization-defined system state information + + + organization-defined information at rest + organization-defined information at rest + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined action + organization-defined action + + + organization-defined monitoring objectives + organization-defined monitoring objectives + + + organization-defined techniques and methods + organization-defined techniques and methods + + + organization-defined information system monitoring information + organization-defined information system monitoring information + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined compromise indicators + organization-defined compromise indicators + + + organization-defined external organizations + organization-defined external organizations + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined elements within the organization + organization-defined elements within the organization + + + organization-defined external organizations + organization-defined external organizations + + + organization-defined security functions + organization-defined security functions + + + organization-defined system transitional states + organization-defined system transitional states + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined alternative action(s) + organization-defined alternative action(s) + + + organization-defined software, firmware, and information + organization-defined software, firmware, and information + + + organization-defined software, firmware, and information + organization-defined software, firmware, and information + + + organization-defined transitional states or security-relevant events + organization-defined transitional states or security-relevant events + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined security-relevant changes to the information system + organization-defined security-relevant changes to the information system + + + organization-defined information inputs + organization-defined information inputs + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined security safeguards + organization-defined security safeguards + + + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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AC-2 (3) Requirement: The service provider defines the time period for non-user accounts (e.g., accounts associated with devices). The time periods are approved and accepted by the JAB/AO. Where user management is a function of the service, reports of activity of consumer users shall be made available.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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AC-2 (5) Guidance: Should use a shorter timeframe than AC-12.

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NIST added this control to the NIST High Baseline during the 1/15/2015

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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AC-2 (12)(a) Guidance: Required for privileged accounts. AC-2 (12)(b) Guidance: Required for privileged accounts.

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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AC-5 Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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AC-6 (2) Guidance: Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions.

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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AC-8 Requirement: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO. Requirement: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. Guidance: If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. Requirement: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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AU-2 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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AU-2 (3) Guidance: Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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AU-3 (1) Guidance: For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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AU-6 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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AU-6 (6) Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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AU-8 (1) Requirement: The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server. AU-8 (1) Requirement: The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server. AU-8 (1) Guidance: Synchronization of system clocks improves the accuracy of log analysis.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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AU-11 Requirement: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Non-repudiation

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Non-repudiation

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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CA-2 (1) Requirement: For JAB Authorization, must use an accredited 3PAO.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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CA-2 (2) Requirement: To include 'announced', 'vulnerability scanning'

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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CA-3 (5) Guidance: For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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CA-5 Guidance: Requirement: POA&Ms must be provided at least monthly.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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CA-6 (c) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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CA-7 Requirement: Operating System Scans: at least monthly

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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CM-2 (1) (a) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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CM-3 Requirement: The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO.

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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CM-5 (3) Guidance: If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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CM-6 (a)-1 Requirement 1: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. CM-6 (a)-2 Requirement 2: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) validated or SCAP compatible (if validated checklists are not available). CM-6 (a) Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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CM-7 (b) Requirement: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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CM-7 (2) Guidance: This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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CM-8 Requirement: must be provided at least monthly or when there is a change.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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CP-2 Requirement: For JAB authorizations the contingency lists include designated FedRAMP personnel.

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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Included in NIST High Baseline, Rev 4

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+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-4 (a) Requirement: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-7 (a) Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-7 (1) Guidance: The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-8 Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

CP-8 (4) (c) [annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-9 (a) [daily incremental; weekly full] CP-9 (b) [daily incremental; weekly full] CP-9 (c) [daily incremental; weekly full]

+
+ +

CP-9 Requirement: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. CP-9 (a) Requirement: The service provider maintains at least three backup copies of user-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (b) Requirement: The service provider maintains at least three backup copies of system-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (c) Requirement: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online) or provides an equivalent alternative.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

CP-9 (1). [at least monthly]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

CP-9 (5) [time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA].

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

CP-10 (4) [time period consistent with the restoration time-periods defined in the service provider and organization SLA]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-1 (b) (1) [at least annually] IA-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-2 (11) [FIPS 140-2, NIAP Certification, or NSA approval]

+
+ +

IA-2 (11) Guidance: PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-2 (12) Guidance: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-4(a) [at a minimum, the ISSO (or similar role within the organization)] IA-4 (d) [at least two (2) years] IA-4 (e) [thirty-five (35) days] (See additional requirements and guidance.)

+
+ +

IA-4 (e) Requirement: The service provider defines the time period of inactivity for device identifiers. Guidance: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-5 (g) [to include sixty (60) days for passwords]

+
+ +

IA-5 Requirement: Authenticators must be compliant with NIST SP 800-63-2 Electronic Authentication Guideline assurance Level 4 (Link http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-63-2.pdf)

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-5 (1) (a) [case sensitive, minimum of fourteen (14) characters, and at least one (1) each of upper-case letters, lower-case letters, numbers, and special characters] IA-5 (1) (b) [at least fifty percent (50%)] IA-5 (1) (d) [one (1) day minimum, sixty (60) day maximum] IA-5 (1) (e) [twenty four (24)]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-5 (3)-1 [All hardware/biometric (multifactor authenticators] IA-5 (3)-2 [in person]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + IDENTIFICATION AND AUTHENTICATION (NON- ORGANIZATIONAL USERS) + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IR-1 (b) (1) [at least annually] IR-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IR-2 (a) [within ten (10) days] IR-2 (c) [at least annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IR-3-1 [at least every six (6) months]

+
+ +

IR-3-2 Requirement: The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). For JAB authorization, the service provider provides test plans to the JAB/AO annually. Test plans are approved and accepted by the JAB/AO prior to test commencing.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IR-4 Requirement: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IR-6 (a) [US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)]

+
+ +

IR-6 Requirement: Reports security incident information according to FedRAMP Incident Communications Procedure.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

IR-8 (b) [see additional FedRAMP Requirements and Guidance] IR-8 (c) [at least annually] IR-8 (e) [see additional FedRAMP Requirements and Guidance]

+
+ +

IR-8 (b) Requirement: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. IR-8 (e) Requirement: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MA-1 (b) (1) [at least annually] MA-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MA-3 (3) (d). [the information owner explicitly authorizing removal of the equipment from the facility]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MP-1 (b) (1) [at least annually] MP-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MP-2-1 [any digital and non-digital media deemed sensitive]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MP-3 (b)-1 [no removable media types] MP-3 (b)-2 [organization-defined security safeguards not applicable]

+
+ +

MP-3 (b) Guidance: Second parameter not-applicable

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MP-4 (a)-1 [all types of digital and non-digital media with sensitive information] MP-4 (a)-2 [see additional FedRAMP requirements and guidance]

+
+ +

MP-4 (a) Requirement: The service provider defines controlled areas within facilities where the information and information system reside.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MP-5 (a) [all media with sensitive information] [prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container]

+
+ +

MP-5 (a) Requirement: The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MP-6(a)-2 [techniques and procedures IAW NIST SP 800-88 and Section 5.9: Reuse and Disposal of Storage Media and Hardware]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

MP-6 (2) [at least every six (6) months]

+
+ +

MP-6 (2) Guidance: Equipment and procedures may be tested or validated for effectiveness

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PE-1 (b) (1) [at least annually] PE-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PE-2 (c) [at least every ninety (90) days]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PE-3 (a) (2) [CSP defined physical access control systems/devices AND guards] PE-3 (d) [in all circumstances within restricted access area where the information system resides] PE-3 (f) [at least annually] PE-3 (g) [at least annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PE-6 (b) [at least monthly]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PE-8 (a) [for a minimum of one (1) year] PE-8 (b) [at least monthly]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

PE-13 (1) -1 [service provider building maintenance/physical security personnel] PE-13 (1) -2 [service provider emergency responders with incident response responsibilities]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PE-14 (a) [consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments] PE-14 (b) [continuously]

+
+ +

PE-14 (a) Requirements: The service provider measures temperature at server inlets and humidity levels by dew point.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

PE-15 (1) [service provider building maintenance/physical security personnel]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PE-16 [all information system components]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

PE-18 [physical and environmental hazards identified during threat assessment]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PL-1 (b) (1) [at least annually] PL-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PL-2 (c) [at least annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PL-4 (c) [annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PL-8 (b) [at least annually or when a significant change occurs]

+
+ +

PL-8 (b) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-1 (b) (1) [at least annually] PS-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-2 (c) [at least annually]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-3 (b) [for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-4 (a) [eight (8) hours]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

PS-4 (2) [access control personnel responsible for disabling access to the system]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-5 (b)-2 [twenty-four (24) hours] PS-5 (d)-2 [twenty-four (24) hours]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-6 (b) [at least annually] PS-6 (c) (2) [at least annually and any time there is a change to the user's level of access]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-7 (d)-2 [terminations: immediately; transfers: within twenty-four (24) hours]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-8(b)-1 [at a minimum, the ISSO and/or similar role within the organization]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

RA-1 (b) (1) [at least annually] RA-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

RA-3 (b) [security assessment report]

+
+ +

RA-3 Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. RA-3 (d) Requirement: Include all Authoring Officials and FedRAMP ISSOs.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

RA-5 (a) [monthly operating system/infrastructure; monthly web applications and databases] RA-5 (d) [high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery]

+
+ +

RA-5 (a) Requirement: an accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually. RA-5 (e) Requirement: to include the Risk Executive; for JAB authorizations to include FedRAMP

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

RA-5 (2) [prior to a new scan]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

RA-5 (4) [notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

RA-5 (5)-1 [operating systems / web applications / databases] RA-5 (5)-2 [all scans]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-1 (b) (1) [at least annually] SA-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-4 Guidance: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See http://www.niap-ccevs.org/vpl or http://www.commoncriteriaportal.org/products.html.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-4 (2)-1 [at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information]]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-5E [at a minimum, the ISSO (or similar role within the organization)]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-9 (a) [FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system] SA-9 (c) [Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-9 (2) [all external systems where Federal information is processed or stored]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-10 (a) [development, implementation, AND operation]

+
+ +

SA-10 (e) Requirement: for JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

SA-12 [organization and service provider-defined personnel security requirements, approved HW/SW vendor list/process, and secure SDLC procedures]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+ +

SA-15 (b)-1 [as needed and as dictated by the current threat posture] SA-15 (b)-2 [organization and service provider- defined security requirements]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-1 (b) (1) [at least annually] SC-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-7 (4) (e) [at least every ninety (90) days or whenever there is a change in the threat environment that warrants a review of the exceptions]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-8 [confidentiality AND integrity]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-8 (1)-1 [prevent unauthorized disclosure of information AND detect changes to information] SC-8 (1)-1 [a hardened or alarmed carrier Protective Distribution System (PDS)]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-10 [no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-12 Guidance: Federally approved cryptography

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-13 [FIPS-validated or NSA-approved cryptography]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-15 (a) [no exceptions]

+
+ +

SC-15 Requirement: The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + SECURE NAME /ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE) + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + SECURE NAME /ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER) + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + ARCHITECTURE AND PROVISIONING FOR NAME/ADDRESS RESOLUTION SERVICE + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-28 [confidentiality AND integrity]

+
+ +

SC-28 Guidance: The organization supports the capability to use cryptographic mechanisms to protect information at rest.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-1 (b) (1) [at least annually] SI-1 (b) (2) [at least annually or whenever a significant change occurs]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-2 (c) [thirty (30) days of release of updates]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-2 (2) [at least monthly]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-3 (c) (1)-1 [at least weekly] SI-3 (c) (1)-2 [to include endpoints] SI-3 (c) (2) [to include blocking and quarantining malicious code and alerting administrator or defined security personnel near-realtime]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-4 Guidance: See US-CERT Incident Response Reporting Guidelines.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-4 (4) [continuously]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-4 (5) Guidance: In accordance with the incident response plan.

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-5 (a) [to include US-CERT] SI-5 (c) [to include system security personnel and administrators with configuration/patch-management responsibilities]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-6 (b) [to include upon system startup and/or restart and at least monthly] SI-6 (c) [to include system administrators and security personnel] SI-6 (d) [to include notification of system administrators and security personnel]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+ +

SI-7(1)-1 [selection to include security relevant events] SI-7(1)-2 [at least monthly]

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4

+
+
+
+
+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + organization-defined actions + organization-defined actions + + + organization-defined conditions for establishing shared/group accounts + organization-defined conditions for establishing shared/group accounts + + + organization-defined security policy filters + organization-defined security policy filters + + + organization-defined information flows + organization-defined information flows + + + organization-defined mechanisms and/or techniques + organization-defined mechanisms and/or techniques + + + organization-defined required separations by types of information + organization-defined required separations by types of information + + + organization-defined frequency + organization-defined frequency + + + organization-defined roles or classes of users + organization-defined roles or classes of users + + + organization-defined software + organization-defined software + + + organization-defined mobile devices + organization-defined mobile devices + + + organization-defined purging/wiping requirements/techniques + organization-defined purging/wiping requirements/techniques + + + organization-defined number + organization-defined number + + + organization-defined information resources + organization-defined information resources + + + organization-defined time period + organization-defined time period + + + organization-defined indicators of malicious code + organization-defined indicators of malicious code + + + organization-defined information system + organization-defined information system + + + organization-defined external organization + organization-defined external organization + + + organization-defined requirements + organization-defined requirements + + + organization-defined unclassified, non-national security system + organization-defined unclassified, non-national security system + + + Assignment; organization-defined boundary protection device + Assignment; organization-defined boundary protection device + + + organization-defined configuration change control element + organization-defined configuration change control element + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined frequency + organization-defined frequency + + + organization-defined restrictions + organization-defined restrictions + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined characteristic identifying individual status + organization-defined characteristic identifying individual status + + + organization-defined requirements + organization-defined requirements + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined time period + organization-defined time period + + + organization-defined information system components + organization-defined information system components + + + organization-defined classes of incidents + organization-defined classes of incidents + + + organization-defined actions to take in response to classes of incidents + organization-defined actions to take in response to classes of incidents + + + organization-defined external organizations + organization-defined external organizations + + + organization-defined incident information + organization-defined incident information + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined actions + organization-defined actions + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined procedures + organization-defined procedures + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined additional personnel screening criteria + organization-defined additional personnel screening criteria + + + organization-defined level of detail + organization-defined level of detail + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined external service providers + organization-defined external service providers + + + organization-defined locations + organization-defined locations + + + organization-defined requirements or conditions + organization-defined requirements or conditions + + + organization-defined resources + organization-defined resources + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined host-based boundary protection mechanisms + organization-defined host-based boundary protection mechanisms + + + organization-defined information system components + organization-defined information system components + + + organization-defined information security tools, mechanisms, and support components + organization-defined information security tools, mechanisms, and support components + + + organization-defined information system components + organization-defined information system components + + + organization-defined information + organization-defined information + + + organization-defined information system components + organization-defined information system components + + + organization-defined benchmarks + organization-defined benchmarks + + + organization-defined interior points within the system (e.g., subnetworks, subsystems) + organization-defined interior points within the system (e.g., subnetworks, subsystems) + + + organization-defined interior points within the system (e.g., subsystems, subnetworks) + organization-defined interior points within the system (e.g., subsystems, subnetworks) + + + organization-defined additional monitoring + organization-defined additional monitoring + + + organization-defined sources + organization-defined sources + + + organization-defined additional monitoring + organization-defined additional monitoring + + + organization-defined authorization or approval processes + organization-defined authorization or approval processes + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined host-based monitoring mechanisms + organization-defined host-based monitoring mechanisms + + + organization-defined information system components + organization-defined information system components + + + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-2 (7) (c) [disables/revokes access within a organization-specified timeframe]

+
+
+
+ + + RESTRICTIONS ON USE OF SHARED GROUPS / ACCOUNTS + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-2 (9) [organization-defined need with justification statement that explains why such accounts are necessary]

+
+ +

AC-2 (9) Required if shared/group accounts are deployed

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-2 (10) Required if shared/group accounts are deployed

+
+
+
+ + + +

NEED. If there is a significant high-impact risk of inadvertent or intentional data leakage with a system deployed in a shared-service environment, this control is justified to mitigate that risk. Similar justification applies when an organization needs to ensure data isolation between different types of information enclaves within the organization. ANALYSIS. Although this control is usually employed to control flows between different classified enclaves, it can also apply to non-classified scenarios (e.g., the need to isolate legal, personnel, health-related, financial, or other information or files deemed sensitive. SAMPLE THREAT VECTORS. Sensitive free-text information passes from the personnel department to the rest of the organization. Law-enforcement sensitive information is inadvertently pulled from the organization's general counsel case management system and passed outside the department to users without authorization to view that information. HIPAA-protected health information flows freely from the HR department to all employees. Privacy-Act information flows from an HR system into a publicly released report. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Adaptive, Manageable, Assessed, Auditable, Regulated, Controlled, Monitored, Providing Good Data Stewardship, Assured, Competent, Confidential, Data Controllable, Access-Controlled.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

CSP Insider Threat mitigation; Good housekeeping and a best business practice for the protection of the CSP and customer alike. In a cloud environment, the power (and potentially harm) of the privileged users is greatly magnified because of the scale. For that reason periodic review of privileges is important.

+
+ +

AC-6 (7)(a)-1 at a minimum, annually AC-6 (7)(a)-2 all users with privileges

+
+
+
+ + + +

This control is not part of the NIST high baseline and was added for FedRAMP at the recommendation of DoD and NIST. This is a CNSSI 1253 control.

+
+ +

AC-6 (8) [any software except software explicitly documented]

+
+
+
+ + + +

NEED. If an organization’s mobile devices carry information whose loss would have a high impact, this control is warranted in order to mitigate the risk of such loss. ANALYSIS. The technologies associated with this control are well established COTS hardware and software. SAMPLE THREAT VECTORS. Mobile device is lost, falls into the hands of people without authorization to view the information contained on the device. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Usable, Adaptive, Manageable, Agile, Supported, Assessed, Auditable, Regulated, Controlled, Monitored, Providing Good Data Stewardship, Assured, Confidential, Data Controllable, Access-Controlled, Mission Assured.

+
+ +

AC-7 (2)-1 [mobile devices as defined by organization policy] AC-7 (2)-3 [three (3)]

+
+
+
+ + + +

Recommended by High Baseline Tiger Team. vulnerabilities associated with not having a logout button are well-documented.

+
+ +

AC-12 (1) Guidance: https://www.owasp.org/index.php/Testing_for_logout_functionality_%28OTG-SESS-006%29

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

AC-17 (9) [fifteen (15) minutes]

+
+
+
+ + + +

Rationale for Selection: Best business practice for the protection of the CSP and customer alike " when not intended for use". This is an unanticipated vector for attack if present and active. While probably not an issue with data center servers and networking devices, wireless is becoming embedded in many components and devices such as printers, fax devices, copiers, scanners, communications devices, etc. There is the additional potential that wireless capabilities may become available in air conditioners, power centers, power controllers, lighting, alarm systems, etc. There is a potential that these capabilities could exist without organizational awareness. Selection drivedsawareness. It's better to perform the check than to make assumptions about what devices are in the IS.

+
+
+
+ + + +

NEED. High-impact systems warrant significantly elevated protection; one of these elevated protections is provided through simulated no-notice attacks that exercise users’ ability to detect and respond correctly to attempts to steal internal information in their possession. ANALYSIS. These controls are well understood and widely installed; COTS components keep implementation time and cost low. SAMPLE THREAT VECTORS. Cybersecurity staff do not know how to monitor, respond, and manage complex enforcement systems and subsystems. Cybersecurity staff is not properly trained to understand how the controls are to operate. Staff does not understand the event alarms/logs. Staff is not able to protect from unauthorized disclosure. Staff is careless with handling data, or unwilling to follow the established security protocols, or willing to cut corners to save time. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Assessed, Auditable, Controlled, Monitored, Providing Good Data Stewardship, Assured, Competent, Confidential.

+
+
+
+ + + +

NEED. High-impact systems warrant significantly elevated protection.

+
+ +

AT-3 (4) [malicious code indicators as defined by organization incident policy/capability]

+
+
+
+ + + +

NEED. Due to the complexity of independent systems exchanging security-related monitoring data, and high-impact systems implemented in shared-service environments, the responsible organization needs a centralized capability that integrates these various data sources into a unified whole permitting central review and analysis of diverse log data relevant to security audits. ANALYSIS. This control permits analysts and auditors to focus on their primary duty of analyzing log data, and relieves them of the usual burden of discovery, collection, validation, aggregation, and indexing of large log datasets relevant to system security. Since these latter collection tasks have been automated under this control, less time and funding will be required to execute this core audit/analysis activity. SAMPLE THREAT VECTORS. Staff does not know how to monitor or manage complex systems in a way that supports effective management decision or control. Malicious actors manipulate the system to appear as if functioning normally, when it is not. People fail to review event logs. People make unauthorized changes to event logger." RELEVANT SECURITY CONTROL ATTRIBUTES. Monitored.

+
+
+
+ + + +

This control is not part of the NIST high baseline and was added for FedRAMP.

+
+ +

AU-6 (7) [information system process; role; user]

+
+
+
+ + + +

Rationale for Selection L3-6: In support of cyber security threat / incident response activities. Supports flexibility in auditing levels based on threat level. Supports CSP integration with DoD security architecture. The sensitivity of the information at levels 3-6 warrents the adjustment of auditing levels based on threat level.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

CA-2 (3)-1 [any FedRAMP Accredited 3PAO] CA-2 (3)-1-2 [any FedRAMP Accredited 3PAO] CA-2 (3)-1-3 [the conditions of the JAB/AO in the FedRAMP Repository]

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

CA-3 (3) [boundary protections which meet the Trusted Internet Connection (TIC) requirements]

+
+ +

CA-3 (3) Guidance: Refer to Appendix H – Cloud Considerations of the TIC 2.0 Reference Architecture document.

+
+
+
+ + + +

NEED. Organization requires independent data to validate that current security monitoring continues to target the right data, and that no gaps have opened between what is currently measured and what needs to be measured given the constantly evolving threat environment. In particular, the organization determines that security management will need trend analytics tuned to the current security climate to ensure the organization’s security officials maintain general situational awareness of larger security trends that may pose a threat to the organization’s high-impact systems fielded in shared-service environments.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Rationale for De-Selection L1/2: The sensitivity of the information at these levels may not require a information security representative to be a member of the organization-defined configuration change control element. Rationale for Selection L3-6: This is a best business practice for the protection of the CSP and customer alike in that the security representative will be more aware of IA issues that configuration changes can introduce and he/she can more easily provide IA guidance for issues spotted.

+
+ +

CM-3 (4) Configuration control board (CCB) or similar (as defined in CM-3)

+
+
+
+ + + +

Rationale for SA L1: Cryptographic mechanisms are only required at this level for priviledged user (system administrator / SA) access control and the transport of privileged commands or configuration files. Not the publicly released information served at this level. Rationale for Selection L2-6: Best practice. Supplemental guidance for this CE refers primarily to the processes surrounding the management of the cryptographic mechanisms used. These processes need to be under change management that addresses security concerns to ensure they remain secure.

+
+ +

CM-3 (6) All security safeguards that rely on cryptography

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

CM-5 (5) (b) [at least quarterly]

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

NEED. High-impact systems will require special measures to ensure users cannot place the overall system at risk by installing unauthorized software. This control supports that need. ANALYSIS. Implementation of these controls is well understood, and relies on capabilities provided in COTS operating systems. SAMPLE THREAT VECTORS. The system executes malicious and harmful software. Software updates could render the system unstable or cause it to function incorrectly. Software is not designed with adequate safeguards to protect PII and other sensitive information. Users could make mistakes in following policy. Users could intentionally install unapproved/unvetted software. RELEVANT SECURITY CONTROL ATTRIBUTES. Quality Assured, Substantiated Integrity, Maintainable, Testable, Configuration Managed, Change Managed, Supported, Assessed, Auditable, Authorized, Regulated, Enforcement, Controlled, Reliable, Providing Good Data Stewardship, Assured, Confidential, Access-Controlled

+
+
+
+ + + IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | GROUP AUTHENTICATION + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-4 (4) [contractors; foreign nationals]

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

IA-5 (4) [complexity as identified in IA-5 (1) Control Enhancement Part (a)]

+
+ +

IA-5 (4) Guidance: If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

NEED. In those cases where an organization’s user accounts authenticate to more than one system, and at least one of those systems is a high-impact system implemented in a shared-service environment, then this control is warranted as a baseline capability to guard against loss of high-impact, sensitive information. ANALYSIS. Organizations can use COTS tools and techniques to implement this control in many ways. Agencies should be prepared to document their plan and approach to this control technique. THREAT VECTORS ADDRESSED. A user’s account password is cracked, permitting attackers to identify all systems to which the user has access, and to gain access to the information in those systems. RELEVANT SECURITY CONTROL ATTRIBUTES. Monitored, Assessed

+
+ +

IA-5 (8) [different authenticators on different systems]

+
+
+
+ + + +

Rationale for Selection: Best practice for authenticated web services and best business practice for the protection of the CSP and customer alike. ECSB sees this as a significant value add toward the protection of customer accounts on SaaS or customer service / managent interfaces/portals. L1 Rationale for SA: No authenticators are required for user access to public informationl. Info sensitivity does not warrant. However this CE would be required priviledged user access to manage the system server(s) containing public information.

+
+
+
+ + + +

NEED. Organization requires near real-time subsystem reconfiguration for high-impact systems, especially those deployed wholly or partially into shared-service environments. This dynamic reconfiguration is required for core infrastructure components such as routers, firewalls, messaging gateways, or access control/authentication servers, especially when these core components are under cyber-attack.

+
+ +

IR-4 (2) [all network, data storage, and computing devices]

+
+
+
+ + + +

NEED. Due to the direct connection between system function and critical mission/business capability, the system requires Continuity-of-Operations (COOP) controls.

+
+
+
+ + + +

NEED. High-impact systems will require special measures to ensure security incidents are correctly and effectively handled in a timely manner. This high-level control supports that need, and is therefore warranted as a baseline for high-impact systems in shared-service environments. ANALYSIS. Implementation of this general control is well understood among Departments and Agencies. However, it may require special funding and time to implement in a shared service environment, where response roles and responsibilities demand vigilant analysis and definition. SAMPLE THREAT VECTORS. Insiders gain access to information for which they have no authorization. Insiders push sensitive information to outside networks not authorized to receive it. Insiders violate agency information-security policies. Insider actions are not monitored. RELEVANT SECURITY CONTROL ATTRIBUTES. Agile, Owned, Enforcement

+
+
+
+ + + +

This control was recommended ecommended by the High Baseline Tiger Team.

+
+ +

IR-4 (8) [external organizations including consumer incident responders and network defenders and the appropriate CIRT/CERT (such as US-CERT, DOD CERT, IC CERT)]

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

IR-9 (2) [at least annually]

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Rationale for Selection: Best practice business practice for the protection of the CSP and customer alike. Protects against unauthorized access and compromise of the CSP infrastructure. See Supplemental Guidance

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

PS-3 (3) (b) [personnel screening criteria – as required by specific information]

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

RA-5 (6) Guidance: include in Continuous Monitoring ISSO digest/report to JAB/AO

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

RA-5 (8) Requirements: This enhancement is required for all high vulnerability scan findings. Guidance: While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability.

+
+
+
+ + + +

NEED. Organizations commonly run vulnerability scanning tools against diverse enterprise systems and subsystems. These tools are often attuned to the specific subsystems, and often provided by different manufacturers. Because there is no single-vendor consolidation of all scanning tools, organizations need to correlate the outputs of these tools in order to triangulate on potential threats that may be related, or identical at their source. When the security impact is high a shared-service environment may increase the number of independent scanning tools, implementation of this control is warranted.

+
+ +

RA-5 (10) Guidance: If multiple tools are not used, this control is not applicable.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-4 (8) [at least the minimum requirement as defined in control CA-7]

+
+ +

SA-4 (8) Guidance: CSP must use the same security standards regardless of where the system component or information system service is acquired.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-9 (4)-2 [all external systems where Federal information is processed or stored]

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-9 (5)-1 [information processing, information data, AND information services]

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-11 (1) Requirement: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

SA-11 (8) Requirement: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

NEED. High-impact systems warrant careful attention to scenarios associated with exfiltration of sensitive organizational information. Different systems and implementation will trigger different scenarios, but regardless of the specific system context, organizations are warranted in establishing this control for high-impact systems with subsystems deployed into shared-service environments.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-7(12)-1 [Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall]

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-7 (13) Requirement: The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets. Guidance: Examples include: information security tools, mechanisms, and support components such as, but not limited to PKI, patching infrastructure, cyber defense tools, special purpose gateway, vulnerability tracking systems, internet access points (IAPs); network element and data center administrative/management traffic; Demilitarized Zones (DMZs), Server farms/computing centers, centralized audit log servers etc.

+
+
+
+ + + +

NEED. High-impact systems warrant careful attention to situations where specific sources or methods become suspect. Such situations can involve specific user accounts, messages, message payloads, data, applications, or even entire subsystems. Under these circumstances, a capability for dynamic segregation is highly justified.

+
+
+
+ + + CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT | SYMMETRIC KEYS + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-12 (2) [NIST FIPS-compliant]

+
+
+
+ + + CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT | ASYMMETRIC KEYS + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Rationale for Selection: Rationale for Selection for SA L1: At L1 this CE is only applicable to privileged user sessions.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+ +

SC-28 (1)-2 [all information system components storing customer data deemed sensitive]

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

NEED. When a high-impact system is implemented in a shared-service environment, organizations should ensure their sensitive data is properly protected against classic threats to the confidentiality of its sensitive information. This control partially meets that need.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

NEED. When a high-impact system is implemented in a shared-service environment, organizations should ensure their sensitive data is properly protected against classic threats to the confidentiality of sensitive information. This control partially meets that need.

+
+
+
+ + + +

Rationale for De-Selection L1-3: The information sensitivity at these levels does not seem to warrant implementation of this CE. The costs for instituting fine-grained monitoring per individual far may outweigh the risks

+
+
+
+ + + PRIVILEGED USER + +

Rationale for Selection: Best business practice for the protection of the CSP and customer alike. Given the scale of a cloud, the possible harm by an malicious insider is greatly magnified over normal systems.

+
+
+
+ + + +

NEED. When a high-impact system is implemented across networks in a shared-service environment, organizations should monitor network services to protect against unauthorized services capable of exfiltrating sensitive information. This control meets that monitoring need.

+
+
+
+ + + +

Included in FedRAMP Moderate Baseline, Rev 4

+
+
+
+ + + +

NEED. When a high-impact system is implemented across networks in a shared-service environment, organizations should aggressively monitor for symptoms that system integrity has been compromised. This control addresses that monitoring need.

+
+
+
+
+
\ No newline at end of file diff --git a/examples/FedRAMP/roundtripped/FedRAMP-LOW-crude.xml b/examples/FedRAMP/roundtripped/FedRAMP-LOW-crude.xml new file mode 100644 index 0000000000..33f63a1e40 --- /dev/null +++ b/examples/FedRAMP/roundtripped/FedRAMP-LOW-crude.xml @@ -0,0 +1,1692 @@ + + FedRAMP LOW Baseline PROFILE (extracted and aligned, no edits) + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined information system account types + organization-defined information system account types + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined procedures or conditions + organization-defined procedures or conditions + + + organization-defined frequency + organization-defined frequency + + + organization-defined number + organization-defined number + + + organization-defined time period + organization-defined time period + + + organization-defined time period + organization-defined time period + + + organization-defined delay algorithm + organization-defined delay algorithm + + + organization-defined system use notification message or banner + organization-defined system use notification message or banner + + + organization-defined conditions + organization-defined conditions + + + organization-defined user actions + organization-defined user actions + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined auditable events + organization-defined auditable events + + + organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event + organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event + + + organization-defined audit record storage requirements + organization-defined audit record storage requirements + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records) + organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records) + + + organization-defined frequency + organization-defined frequency + + + organization-defined inappropriate or unusual activity + organization-defined inappropriate or unusual activity + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined granularity of time measurement + organization-defined granularity of time measurement + + + organization-defined time period consistent with records retention policy + organization-defined time period consistent with records retention policy + + + organization-defined information system components + organization-defined information system components + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined individuals or roles + organization-defined individuals or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined metrics + organization-defined metrics + + + organization-defined frequencies + organization-defined frequencies + + + organization-defined frequencies + organization-defined frequencies + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined information system components or classes of components + organization-defined information system components or classes of components + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined security configuration checklists + organization-defined security configuration checklists + + + organization-defined information system components + organization-defined information system components + + + organization-defined operational requirements + organization-defined operational requirements + + + organization-defined prohibited or restricted functions, ports, protocols, and/or services + organization-defined prohibited or restricted functions, ports, protocols, and/or services + + + organization-defined information deemed necessary to achieve effective information system component accountability + organization-defined information deemed necessary to achieve effective information system component accountability + + + organization-defined frequency + organization-defined frequency + + + organization-defined policies + organization-defined policies + + + organization-defined methods + organization-defined methods + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + + + organization-defined frequency + organization-defined frequency + + + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined tests + organization-defined tests + + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined time period of inactivity + organization-defined time period of inactivity + + + organization-defined time period by authenticator type + organization-defined time period by authenticator type + + + organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type + organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type + + + organization-defined number + organization-defined number + + + organization-defined numbers for lifetime minimum, lifetime maximum + organization-defined numbers for lifetime minimum, lifetime maximum + + + organization-defined number + organization-defined number + + + organization-defined token quality requirements + organization-defined token quality requirements + + + organization-defined information systems + organization-defined information systems + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined time period + organization-defined time period + + + organization-defined authorities + organization-defined authorities + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + + + organization-defined frequency + organization-defined frequency + + + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined maintenance-related information + organization-defined maintenance-related information + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined types of digital and/or non-digital media + organization-defined types of digital and/or non-digital media + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined information system media + organization-defined information system media + + + organization-defined sanitization techniques and procedures + organization-defined sanitization techniques and procedures + + + organization-defined types of information system media + organization-defined types of information system media + + + organization-defined information systems or system components + organization-defined information systems or system components + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined entry/exit points to the facility where the information system resides + organization-defined entry/exit points to the facility where the information system resides + + + organization-defined physical access control systems/devices + organization-defined physical access control systems/devices + + + organization-defined entry/exit points + organization-defined entry/exit points + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined circumstances requiring visitor escorts and monitoring + organization-defined circumstances requiring visitor escorts and monitoring + + + organization-defined physical access devices + organization-defined physical access devices + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined events or potential indications of events + organization-defined events or potential indications of events + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined acceptable levels + organization-defined acceptable levels + + + organization-defined frequency + organization-defined frequency + + + organization-defined types of information system components + organization-defined types of information system components + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening + organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening + + + organization-defined time period + organization-defined time period + + + organization-defined information security topics + organization-defined information security topics + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined transfer or reassignment actions + organization-defined transfer or reassignment actions + + + organization-defined time period following the formal transfer action + organization-defined time period following the formal transfer action + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined document + organization-defined document + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency and/or randomly in accordance with organization-defined process + organization-defined frequency and/or randomly in accordance with organization-defined process + + + organization-defined response times + organization-defined response times + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined system development life cycle + organization-defined system development life cycle + + + organization-defined actions + organization-defined actions + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined security controls + organization-defined security controls + + + organization-defined processes, methods, and techniques + organization-defined processes, methods, and techniques + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined types of denial of service attacks or references to sources for such information + organization-defined types of denial of service attacks or references to sources for such information + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined requirements for key generation, distribution, storage, access, and destruction + organization-defined requirements for key generation, distribution, storage, access, and destruction + + + organization-defined cryptographic uses and type of cryptography required for each use + organization-defined cryptographic uses and type of cryptography required for each use + + + organization-defined exceptions where remote activation is to be allowed + organization-defined exceptions where remote activation is to be allowed + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined action + organization-defined action + + + organization-defined monitoring objectives + organization-defined monitoring objectives + + + organization-defined techniques and methods + organization-defined techniques and methods + + + organization-defined information system monitoring information + organization-defined information system monitoring information + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined external organizations + organization-defined external organizations + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined elements within the organization + organization-defined elements within the organization + + + organization-defined external organizations + organization-defined external organizations + + + + +

AC-1 (b) (1) [at least every 3 years] AC-1 (b) (2) [at least annually]

+
+
+
+ + + +

AC-2 (j) [at least annually]

+
+
+
+ + + + + + +

AC-7(a) [not more than three] [fifteen minutes] AC-7(b) [locks the account/node for thirty minutes]

+
+
+
+ + + +

AC-8 (a) [see additional Requirements and Guidance] AC-8 (c) [see additional Requirements and Guidance]

+
+ +

AC-8 Requirement: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB. AC-08 Requirement: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB. AC-8 Guidance: If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. AC-8 Requirement: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB.

+
+
+
+ + + + + + + + + + + + + + + + + + +

AC-22 (d) [at least quarterly]

+
+
+
+ + + SECURITY AWARENESS AND TRAINING POLICY ANDPROCEDURES + +

AT-1 (b) (1) [at least every 3 years] AT-1 (b) (2) [at least annually]

+
+
+
+ + + +

AT-2(c) [at least annually]

+
+
+
+ + + +

AT-3 (c) [at least annually]

+
+
+
+ + + +

AT-4 (b) [At least one year]

+
+
+
+ + + +

AU-1 (b) (1) [at least every 3 years] AU-1 (b) (2) [at least annually]

+
+
+
+ + + +

AU-2 (a) [Successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes] AU-2 (d) [organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event]

+
+ +

AU-2 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

+
+
+
+ + + + + + + + + +

AU-5 (b) [organization-defined actions to be taken (overwrite oldest record)

+
+
+
+ + + +

AU-6 (a)-1 [at least weekly]

+
+ +

AU-6 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented.

+
+
+
+ + + + + + + + + +

AU-11 [at least ninety days]

+
+ +

AU-11. Requirement: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements.

+
+
+
+ + + +

AU-12 (a) [all information system and network components where audit capability is deployed/available]

+
+
+
+ + + +

CA-1 (b) (1) [at least every 3 years] CA-1 (b) (2) [at least annually]

+
+
+
+ + + +

CA-2 (b) [at least annually] CA-2 (d) [individuals or roles to include FedRAMP PMO]

+
+
+
+ + + +

CA-3 (c) [at least annually and on input from FedRAMP]

+
+
+
+ + + +

CA-5 (b) [at least monthly]

+
+ +

CA-5 Guidance: Requirement: POA&Ms must be provided at least monthly.

+
+
+
+ + + +

CA-6 (c) [at least every three years or when a significant change occurs]

+
+ +

CA-6c. Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO.

+
+
+
+ + + +

CA-7 (g) [To meet Federal and FedRAMP requirements]

+
+ +

CA-7 Requirement: Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually CA-7 Guidance: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates. Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually

+
+
+
+ + + + + + +

CM-1 (b) (1) [at least every 3 years] CM-1 (b) (2) [at least annually]

+
+
+
+ + + + + + + + + +

CM-6 (a) [United States Government Configuration Baseline (USGCB)]

+
+ +

CM-6 (a) Requirement 1: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. CM-6 (a) Requirement 2: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) validated or SCAP compatible (if validated checklists are not available). CM-6 (a) Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc

+
+
+
+ + + +

CM-7 (b) [United States Government Configuration Baseline (USGCB)]

+
+ +

CM-7 (b) Requirement: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. CM-7. Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. (Partially derived from AC-17(8).)

+
+
+
+ + + +

CM-8 (b) [at least monthly]

+
+ +

CM-8 Requirement: must be provided at least monthly or when there is a change.

+
+
+
+ + + + + + +

CM-11 (c) [Continuously (via CM-7 (5))]

+
+
+
+ + + +

CP-1 (b)(1) [at least every 3 years] CP-1 (b)(2) [at least annually]

+
+
+
+ + + +

CP-2 (d) [at least annually]

+
+ +

CP-2 Requirement: For JAB authorizations the contingency lists include designated FedRAMP personnel.

+
+
+
+ + + +

CP-3 (a) [10 days] CP-3 (c) [at least annually]

+
+
+
+ + + +

CP-4 (a)-1 [at least annually for moderate impact systems; at least every three years for low impact systems] CP-4 (a)-2 [functional exercises for moderate impact systems; classroom exercises/table top written tests for low impact systems]

+
+ +

CP-4 (a). Requirement: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing.

+
+
+
+ + + +

CP-9 (a) [daily incremental; weekly full] CP-9 (b) [daily incremental; weekly full] CP-9 (c) [daily incremental; weekly full]

+
+ +

CP-9 Requirement: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. CP-9 (a) Requirement: The service provider maintains at least three backup copies of user-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (b) Requirement: The service provider maintains at least three backup copies of system-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (c) Requirement: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online) or provides an equivalent alternative.

+
+
+
+ + + + + + +

IA-1 (b) (1) [at least every 3 years] IA-1 (b) (2) [at least annually]

+
+
+
+ + + + + + + + + +

IA-2 (12) Guidance: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12.

+
+
+
+ + + +

IA-4 (d) [at least two years] IA-4 (e) [ninety days for user identifiers] (See additional requirements and guidance)

+
+ +

IA-4 (e) Requirement: The service provider defines time period of inactivity for device identifiers. Guidance: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.

+
+
+
+ + + +

IA-5 (g) [to include sixty days for passwords]

+
+
+
+ + + +

IA-5 (1) (a) [case sensitive, minimum of twelve characters, and at least one each of upper-case letters, lower-case letters, numbers, and special characters] IA-5 (1) (b) [at least one] IA-5 (1) (d) [one day minimum, sixty day maximum] IA-5 (1) (e) [twenty four]

+
+
+
+ + + + + + + + + + + + IDENTIFICATION AND AUTHENTICATION (NON- ORGANIZATIONAL USERS) + + + + + + + + + + + + + + + + + +

IR-1 (b) (1) [at least every 3 years] IR-1 (b) (2) [at least annually]

+
+
+
+ + + +

IR-2 (c) [at least annually]

+
+
+
+ + + +

IR-4 Requirement: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system.

+
+
+
+ + + + + + +

IR-6 (a) [US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)]

+
+ +

IR-6 Requirement: Reports security incident information according to FedRAMP Incident Communications Procedure.

+
+
+
+ + + + + + +

IR-8 (b) [see additional FedRAMP Requirements and Guidance] IR-8 (c) [at least annually] IR-8 (e) [see additional FedRAMP Requirements and Guidance]

+
+ +

IR-8 (b) Additional FedRAMP Requirements and Guidance: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. IR-8 (e) Additional FedRAMP Requirements and Guidance: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

+
+
+
+ + + +

MA-1 (b) (1) [at least every 3 years] MA-1 (b) (2) [at least annually]

+
+
+
+ + + + + + + + + + + + +

MP-1 (b) (1) [at least every 3 years] MP-1 (b) (2) [at least annually]

+
+
+
+ + + + + + + + + + + + +

PE-1 (b) (1) [at least every 3 years] PE-1 (b) (2) [at least annually]

+
+
+
+ + + +

PE-2 (c) [at least annually]

+
+
+
+ + + +

PE-3 (a) (2) [CSP defined physical access control systems/devices AND guards] PE-3 (d) [in all circumstances within restricted access area where the information system resides] PE-3 (f) [at least annually] PE-3 (g) [at least annually]

+
+
+
+ + + +

PE-6 (b) [at least monthly]

+
+
+
+ + + +

PE-8 (a) [for a minimum of one year] PE-8 (b) [at least monthly]

+
+
+
+ + + + + + + + + +

PE-14 (a) [consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments] PE-14 (b) [continuously]

+
+ +

PE-14 (a). Requirements: The service provider measures temperature at server inlets and humidity levels by dew point.

+
+
+
+ + + + + + +

PE-16 [all information system components]

+
+
+
+ + + +

PL-1 (b) (1) [at least every 3 years] PL-1 (b) (2) [at least annually]

+
+
+
+ + + +

PL-2 (c) [at least annually]

+
+
+
+ + + +

PL-4 (c) [At least every 3 years]

+
+
+
+ + + +

PS-1 (b) (1) [at least every 3 years] PS-1 (b) (2) [at least annually]

+
+
+
+ + + +

PS-2 (c) [at least every three years]

+
+
+
+ + + +

PS-3 (b) [for national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year There is no reinvestigation for other moderate risk positions or any low risk positions]

+
+
+
+ + + +

PS-4 (a) [same day]

+
+
+
+ + + +

PS-5 (d)-2 [five days of the time period following the formal transfer action (DoD 24 hours)]

+
+
+
+ + + +

PS-6 (b) [at least annually] PS-6 (c) (2) [at least annually]

+
+
+
+ + + +

PS-7 (d)-2 [organization-defined time period – same day]

+
+
+
+ + + + + + +

RA-1 (b) (1) [at least every 3 years] RA-1 (b) (2) [at least annually]

+
+
+
+ + + + + + +

RA-3 (b) [security assessment report] RA-3 (c) [at least every three (3) years or when a significant change occurs] RA-3 (d) [to include all Authoring Officials and FedRAMP ISSOs] RA-3 (e) [at least every three (3) years or when a significant change occurs]

+
+ +

RA-3 Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F.

+
+
+
+ + + +

RA-5 (a) [monthly operating system/infrastructure; monthly web applications and databases] RA-5 (d) [high-risk vulnerabilities mitigated within thirty days from date of discovery; moderate-risk vulnerabilities mitigated within ninety days from date of discovery]

+
+ +

RA-5 (a) Requirement: an accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually. RA-5 (e) Requirement: to include the Risk Executive; for JAB authorizations to include FedRAMP

+
+
+
+ + + +

SA-1 (b) (1) [at least every 3 years] SA-1 (b) (2) [at least annually]

+
+
+
+ + + + + + + + + +

SA-4 Guidance: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See http://www.niap-ccevs.org/vpl or http://www.commoncriteriaportal.org/products.html.

+
+
+
+ + + + + + +

SA-9 (a) [FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system] SA-9 (c) [Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored]

+
+
+
+ + + +

SC-1 (b) (1) [at least every 3 years] SC-1 (b) (2) [at least annually]

+
+
+
+ + + + + + + + + +

SC-12 Guidance: Federally approved cryptography

+
+
+
+ + + +

SC-13 [FIPS-validated or NSA-approved cryptography]

+
+
+
+ + + +

SC-15 (a) [no exceptions]

+
+ +

SC-15 Additional FedRAMP Requirements and Guidance: Requirement: The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use.

+
+
+
+ + + SECURE NAME /ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE) + + + + + SECURE NAME /ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER) + + + + + ARCHITECTURE AND PROVISIONING FOR NAME/ADDRESS RESOLUTION SERVICE + + + + + + + + +

SI-1 (b) (1) [at least every 3 years] SI-1 (b) (2) [at least annually]

+
+
+
+ + + +

SI-2 (c) [within 30 days of release of updates]

+
+
+
+ + + +

SI-3 (c) (1)-1 [at least weekly] SI-3 (c) (1)-2 [to include endpoints] SI-3 (c) (2) [to include alerting administrator or defined security personnel]

+
+
+
+ + + +

SI-4 Guidance: See US-CERT Incident Response Reporting Guidelines.

+
+
+
+ + + +

SI-5 (a) [to include US-CERT] SI-5 (c) [to include system security personnel and administrators with configuration/patch-management responsibilities]

+
+
+
+ + + +
+ + + + + + + organization-defined level of independence + organization-defined level of independence + + + organization-defined security safeguards + organization-defined security safeguards + + + + +

CA-2(1) Requirement: Must use an accredited 3PAO for JAB authorization

+
+
+
+ + + +
+
\ No newline at end of file diff --git a/examples/FedRAMP/roundtripped/FedRAMP-MODERATE-crude.xml b/examples/FedRAMP/roundtripped/FedRAMP-MODERATE-crude.xml new file mode 100644 index 0000000000..80275b3990 --- /dev/null +++ b/examples/FedRAMP/roundtripped/FedRAMP-MODERATE-crude.xml @@ -0,0 +1,3440 @@ + + FedRAMP MODERATE Baseline PROFILE (extracted and aligned, no edits) + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined information system account types + organization-defined information system account types + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined procedures or conditions + organization-defined procedures or conditions + + + organization-defined frequency + organization-defined frequency + + + organization-defined time period for each type of account + organization-defined time period for each type of account + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined information flow control policies + organization-defined information flow control policies + + + organization-defined duties of individuals + organization-defined duties of individuals + + + organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information + organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information + + + organization-defined security functions or security-relevant information + organization-defined security functions or security-relevant information + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined number + organization-defined number + + + organization-defined time period + organization-defined time period + + + organization-defined time period + organization-defined time period + + + organization-defined delay algorithm + organization-defined delay algorithm + + + organization-defined system use notification message or banner + organization-defined system use notification message or banner + + + organization-defined conditions + organization-defined conditions + + + organization-defined time period + organization-defined time period + + + organization-defined conditions or trigger events requiring session disconnect + organization-defined conditions or trigger events requiring session disconnect + + + organization-defined user actions + organization-defined user actions + + + organization-defined number + organization-defined number + + + organization-defined needs + organization-defined needs + + + organization-defined mobile devices + organization-defined mobile devices + + + organization-defined information sharing circumstances where user discretion is required + organization-defined information sharing circumstances where user discretion is required + + + organization-defined automated mechanisms or manual processes + organization-defined automated mechanisms or manual processes + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined auditable events + organization-defined auditable events + + + organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event + organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event + + + organization-defined frequency + organization-defined frequency + + + organization-defined additional, more detailed information + organization-defined additional, more detailed information + + + organization-defined audit record storage requirements + organization-defined audit record storage requirements + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records) + organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records) + + + organization-defined frequency + organization-defined frequency + + + organization-defined inappropriate or unusual activity + organization-defined inappropriate or unusual activity + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined audit fields within audit records + organization-defined audit fields within audit records + + + organization-defined granularity of time measurement + organization-defined granularity of time measurement + + + organization-defined frequency + organization-defined frequency + + + organization-defined authoritative time source + organization-defined authoritative time source + + + organization-defined time period + organization-defined time period + + + organization-defined subset of privileged users + organization-defined subset of privileged users + + + organization-defined time period consistent with records retention policy + organization-defined time period consistent with records retention policy + + + organization-defined information system components + organization-defined information system components + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined individuals or roles + organization-defined individuals or roles + + + organization-defined level of independence + organization-defined level of independence + + + organization-defined frequency + organization-defined frequency + + + organization-defined information systems + organization-defined information systems + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined metrics + organization-defined metrics + + + organization-defined frequencies + organization-defined frequencies + + + organization-defined frequencies + organization-defined frequencies + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined level of independence + organization-defined level of independence + + + organization-defined information system components or classes of components + organization-defined information system components or classes of components + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + Assignment organization-defined circumstances + Assignment organization-defined circumstances + + + organization-defined previous versions of baseline configurations of the information system + organization-defined previous versions of baseline configurations of the information system + + + organization-defined information systems, system components, or devices + organization-defined information systems, system components, or devices + + + organization-defined configurations + organization-defined configurations + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined time period + organization-defined time period + + + organization-defined configuration change control element (e.g., committee, board) + organization-defined configuration change control element (e.g., committee, board) + + + organization-defined frequency + organization-defined frequency + + + organization-defined configuration change conditions + organization-defined configuration change conditions + + + organization-defined security configuration checklists + organization-defined security configuration checklists + + + organization-defined information system components + organization-defined information system components + + + organization-defined operational requirements + organization-defined operational requirements + + + organization-defined prohibited or restricted functions, ports, protocols, and/or services + organization-defined prohibited or restricted functions, ports, protocols, and/or services + + + organization-defined frequency + organization-defined frequency + + + organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure + organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure + + + organization-defined policies regarding software program usage and restrictions + organization-defined policies regarding software program usage and restrictions + + + organization-defined information deemed necessary to achieve effective information system component accountability + organization-defined information deemed necessary to achieve effective information system component accountability + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined policies + organization-defined policies + + + organization-defined methods + organization-defined methods + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + + + organization-defined frequency + organization-defined frequency + + + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + + + organization-defined time period + organization-defined time period + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined tests + organization-defined tests + + + organization-defined information system operations + organization-defined information system operations + + + organization-defined time period consistent with recovery time and recovery point objectives + organization-defined time period consistent with recovery time and recovery point objectives + + + organization-defined information system operations + organization-defined information system operations + + + organization-defined time period + organization-defined time period + + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined strength of mechanism requirements + organization-defined strength of mechanism requirements + + + organization-defined specific and/or types of devices + organization-defined specific and/or types of devices + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined time period of inactivity + organization-defined time period of inactivity + + + organization-defined time period by authenticator type + organization-defined time period by authenticator type + + + organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type + organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type + + + organization-defined number + organization-defined number + + + organization-defined numbers for lifetime minimum, lifetime maximum + organization-defined numbers for lifetime minimum, lifetime maximum + + + organization-defined number + organization-defined number + + + organization-defined types of and/or specific authenticators + organization-defined types of and/or specific authenticators + + + organization-defined registration authority + organization-defined registration authority + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined token quality requirements + organization-defined token quality requirements + + + organization-defined information systems + organization-defined information systems + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined tests + organization-defined tests + + + organization-defined time period + organization-defined time period + + + organization-defined authorities + organization-defined authorities + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + + + organization-defined frequency + organization-defined frequency + + + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined maintenance-related information + organization-defined maintenance-related information + + + organization-defined information system components + organization-defined information system components + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined types of digital and/or non-digital media + organization-defined types of digital and/or non-digital media + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined types of information system media + organization-defined types of information system media + + + organization-defined controlled areas + organization-defined controlled areas + + + organization-defined types of digital and/or non-digital media + organization-defined types of digital and/or non-digital media + + + organization-defined controlled areas + organization-defined controlled areas + + + organization-defined types of information system media + organization-defined types of information system media + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined information system media + organization-defined information system media + + + organization-defined sanitization techniques and procedures + organization-defined sanitization techniques and procedures + + + organization-defined types of information system media + organization-defined types of information system media + + + organization-defined information systems or system components + organization-defined information systems or system components + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined entry/exit points to the facility where the information system resides + organization-defined entry/exit points to the facility where the information system resides + + + organization-defined physical access control systems/devices + organization-defined physical access control systems/devices + + + organization-defined entry/exit points + organization-defined entry/exit points + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined circumstances requiring visitor escorts and monitoring + organization-defined circumstances requiring visitor escorts and monitoring + + + organization-defined physical access devices + organization-defined physical access devices + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined information system distribution and transmission lines + organization-defined information system distribution and transmission lines + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined frequency + organization-defined frequency + + + organization-defined events or potential indications of events + organization-defined events or potential indications of events + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined location by information system or system component + organization-defined location by information system or system component + + + organization-defined acceptable levels + organization-defined acceptable levels + + + organization-defined frequency + organization-defined frequency + + + organization-defined types of information system components + organization-defined types of information system components + + + organization-defined security controls + organization-defined security controls + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined individuals or groups + organization-defined individuals or groups + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening + organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening + + + organization-defined time period + organization-defined time period + + + organization-defined information security topics + organization-defined information security topics + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined transfer or reassignment actions + organization-defined transfer or reassignment actions + + + organization-defined time period following the formal transfer action + organization-defined time period following the formal transfer action + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined document + organization-defined document + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency and/or randomly in accordance with organization-defined process + organization-defined frequency and/or randomly in accordance with organization-defined process + + + organization-defined response times + organization-defined response times + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-identified information system components + organization-identified information system components + + + organization-defined vulnerability scanning activities + organization-defined vulnerability scanning activities + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined system development life cycle + organization-defined system development life cycle + + + organization-defined design/implementation information + organization-defined design/implementation information + + + organization-defined level of detail + organization-defined level of detail + + + organization-defined actions + organization-defined actions + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined security controls + organization-defined security controls + + + organization-defined processes, methods, and techniques + organization-defined processes, methods, and techniques + + + organization-defined external information system services + organization-defined external information system services + + + organization-defined configuration items under configuration management + organization-defined configuration items under configuration management + + + organization-defined personnel + organization-defined personnel + + + organization-defined depth and coverage + organization-defined depth and coverage + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined types of denial of service attacks or references to sources for such information + organization-defined types of denial of service attacks or references to sources for such information + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined frequency + organization-defined frequency + + + organization-defined alternative physical safeguards + organization-defined alternative physical safeguards + + + organization-defined time period + organization-defined time period + + + organization-defined requirements for key generation, distribution, storage, access, and destruction + organization-defined requirements for key generation, distribution, storage, access, and destruction + + + organization-defined cryptographic uses and type of cryptography required for each use + organization-defined cryptographic uses and type of cryptography required for each use + + + organization-defined exceptions where remote activation is to be allowed + organization-defined exceptions where remote activation is to be allowed + + + organization-defined certificate policy + organization-defined certificate policy + + + organization-defined information at rest + organization-defined information at rest + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined action + organization-defined action + + + organization-defined monitoring objectives + organization-defined monitoring objectives + + + organization-defined techniques and methods + organization-defined techniques and methods + + + organization-defined information system monitoring information + organization-defined information system monitoring information + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined compromise indicators + organization-defined compromise indicators + + + organization-defined external organizations + organization-defined external organizations + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined elements within the organization + organization-defined elements within the organization + + + organization-defined external organizations + organization-defined external organizations + + + organization-defined software, firmware, and information + organization-defined software, firmware, and information + + + organization-defined software, firmware, and information + organization-defined software, firmware, and information + + + organization-defined transitional states or security-relevant events + organization-defined transitional states or security-relevant events + + + organization-defined frequency + organization-defined frequency + + + organization-defined security-relevant changes to the information system + organization-defined security-relevant changes to the information system + + + organization-defined information inputs + organization-defined information inputs + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined security safeguards + organization-defined security safeguards + + + + +

AC-1 (b) (1) [at least every 3 years] AC-1 (b) (2) [at least annually]

+
+
+
+ + + +

AC-2 (j) [at least annually]

+
+
+
+ + + + + + +

AC-2 (2) [no more than 30 days for temporary and emergency account types]

+
+
+
+ + + +

AC-2 (3) [90 days for user accounts]

+
+
+
+ + + + + + + + + + + + +

AC-5 Additional FedRAMP Requirements and Guidance: Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP.

+
+
+
+ + + + + + + + + +

AC-6 (2) [all security functions]

+
+ +

AC-6 (2) Guidance: Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions.

+
+
+
+ + + + + + + + + + + + +

AC-7(a) [not more than three] [fifteen minutes] AC-7(b) [locks the account/node for thirty minutes]

+
+
+
+ + + +

AC-8 (a) [see additional Requirements and Guidance] AC-8 (c) [see additional Requirements and Guidance]

+
+ +

AC-8 Requirement: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB. AC-08 Requirement: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB. AC-8 Guidance: If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. AC-8 Requirement: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB.

+
+
+
+ + + +

AC-11(a) [fifteen minutes]

+
+
+
+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

AC-22 (d) [at least quarterly]

+
+
+
+ + + SECURITY AWARENESS AND TRAINING POLICY ANDPROCEDURES + +

AT-1 (b) (1) [at least every 3 years] AT-1 (b) (2) [at least annually]

+
+
+
+ + + +

AT-2(c) [at least annually]

+
+
+
+ + + + + + +

AT-3 (c) [at least annually]

+
+
+
+ + + +

AT-4 (b) [At least one year]

+
+
+
+ + + +

AU-1 (b) (1) [at least every 3 years] AU-1 (b) (2) [at least annually]

+
+
+
+ + + +

AU-2 (a) [Successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes] AU-2 (d) [organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event]

+
+ +

AU-2 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

+
+
+
+ + + +

AU-2 (3) [annually or whenever there is a change in the threat environment]

+
+ +

AU-2 (3) Guidance: Annually or whenever changes in the threat environment are communicated to the service provider by the JAB.

+
+
+
+ + + + + + +

AU-3 (1) [Assignment: organization-defined additional, more detailed information] Parameter: [session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon]

+
+ +

AU-3 (1). Requirement: The service provider defines audit record types. The audit record types are approved and accepted by the JAB/AO. Guidance: For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.

+
+
+
+ + + + + + +

AU-5 (b) [organization-defined actions to be taken (overwrite oldest record)

+
+
+
+ + + +

AU-6 (a)-1 [at least weekly]

+
+ +

AU-6 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented.

+
+
+
+ + + + + + + + + + + + + + + + + + +

AU-8 (1) [http://tfnistgov/tf-cgi/serverscgi] [At least hourly]

+
+ +

AU-8 (1) Requirement: The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server. AU-8 (1) Requirement: The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server. AU-8 (1) Guidance: Synchronization of system clocks improves the accuracy of log analysis.

+
+
+
+ + + + + + + + + +

AU-11 [at least ninety days]

+
+ +

AU-11. Requirement: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements.

+
+
+
+ + + +

AU-12 (a) [all information system and network components where audit capability is deployed/available]

+
+
+
+ + + +

CA-1 (b) (1) [at least every 3 years] CA-1 (b) (2) [at least annually]

+
+
+
+ + + +

CA-2 (b) [at least annually] CA-2 (d) [individuals or roles to include FedRAMP PMO]

+
+
+
+ + + +

CA-2(1) Requirement: Must use an accredited 3PAO for JAB authorization

+
+
+
+ + + +

CA-3 (c) [at least annually and on input from FedRAMP]

+
+
+
+ + + +

CA-3 (5) For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing

+
+
+
+ + + +

CA-5 (b) [at least monthly]

+
+ +

CA-5 Guidance: Requirement: POA&Ms must be provided at least monthly.

+
+
+
+ + + +

CA-6 (c) [at least every three years or when a significant change occurs]

+
+ +

CA-6c. Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO.

+
+
+
+ + + +

CA-7 (g) [To meet Federal and FedRAMP requirements]

+
+ +

CA-7 Requirement: Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually CA-7 Guidance: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates. Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually

+
+
+
+ + + + + + + + + +

CM-1 (b) (1) [at least every 3 years] CM-1 (b) (2) [at least annually]

+
+
+
+ + + + + + +

CM-2 (1) (a) [at least annually or when a significant change occurs] CM-2 (1) (b) [to include when directed by the JAB]

+
+
+
+ + + + + + + + + +

CM-3 Requirement: The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO.

+
+
+
+ + + + + + + + + +

CM-6 (a) [United States Government Configuration Baseline (USGCB)]

+
+ +

CM-6 (a) Requirement 1: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. CM-6 (a) Requirement 2: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) validated or SCAP compatible (if validated checklists are not available). CM-6 (a) Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc

+
+
+
+ + + +

CM-7 (b) [United States Government Configuration Baseline (USGCB)]

+
+ +

CM-7 (b) Requirement: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. CM-7. Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. (Partially derived from AC-17(8).)

+
+
+
+ + + +

CM-7 (1) (a) [at least monthly]

+
+
+
+ + + +

CM-7(2) Guidance: This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run.

+
+
+
+ + + +

CM-8 (b) [at least monthly]

+
+ +

CM-8 Requirement: must be provided at least monthly or when there is a change.

+
+
+
+ + + + + + +

CM-8 (3) (a) [Continuously, using automated mechanisms with a maximum five-minute delay in detection]

+
+
+
+ + + + + + + + + + + + +

CM-11 (c) [Continuously (via CM-7 (5))]

+
+
+
+ + + +

CP-1 (b)(1) [at least every 3 years] CP-1 (b)(2) [at least annually]

+
+
+
+ + + +

CP-2 (d) [at least annually]

+
+ +

CP-2 Requirement: For JAB authorizations the contingency lists include designated FedRAMP personnel.

+
+
+
+ + + + + + + + + + + + +

CP-3 (a) [10 days] CP-3 (c) [at least annually]

+
+
+
+ + + +

CP-4 (a)-1 [at least annually for moderate impact systems; at least every three years for low impact systems] CP-4 (a)-2 [functional exercises for moderate impact systems; classroom exercises/table top written tests for low impact systems]

+
+ +

CP-4 (a). Requirement: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing.

+
+
+
+ + + + + + + + + + + + + + + +

CP-7 (a). Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

+
+
+
+ + + +

CP-7 (1) Guidance: The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant.

+
+
+
+ + + + + + + + + +

CP-8 Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

+
+
+
+ + + + + + + + + +

CP-9 (a) [daily incremental; weekly full] CP-9 (b) [daily incremental; weekly full] CP-9 (c) [daily incremental; weekly full]

+
+ +

CP-9 Requirement: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. CP-9 (a) Requirement: The service provider maintains at least three backup copies of user-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (b) Requirement: The service provider maintains at least three backup copies of system-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (c) Requirement: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online) or provides an equivalent alternative.

+
+
+
+ + + +

CP-9 (1) [at least annually]

+
+
+
+ + + + + + + + + +

IA-1 (b) (1) [at least every 3 years] IA-1 (b) (2) [at least annually]

+
+
+
+ + + + + + + + + + + + + + + + + + +

IA-2 (11) [FIPS 140-2, NIAP Certification, or NSA approval]

+
+ +

IA-2 (11) Guidance: PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials.

+
+
+
+ + + +

IA-2 (12) Guidance: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12.

+
+
+
+ + + + + + +

IA-4 (d) [at least two years] IA-4 (e) [ninety days for user identifiers] (See additional requirements and guidance)

+
+ +

IA-4 (e) Requirement: The service provider defines time period of inactivity for device identifiers. Guidance: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.

+
+
+
+ + + +

IA-5 (g) [to include sixty days for passwords]

+
+
+
+ + + +

IA-5 (1) (a) [case sensitive, minimum of twelve characters, and at least one each of upper-case letters, lower-case letters, numbers, and special characters] IA-5 (1) (b) [at least one] IA-5 (1) (d) [one day minimum, sixty day maximum] IA-5 (1) (e) [twenty four]

+
+
+
+ + + + + + +

IA-5 (3)-1 [All hardware/biometric (multifactor authenticators] IA-5 (3)-2 [in person]

+
+
+
+ + + + + + + + + + + + IDENTIFICATION AND AUTHENTICATION (NON- ORGANIZATIONAL USERS) + + + + + + + + + + + + + + + + + +

IR-1 (b) (1) [at least every 3 years] IR-1 (b) (2) [at least annually]

+
+
+
+ + + +

IR-2 (c) [at least annually]

+
+
+
+ + + +

IR-3-1 [at least annually] IR-3-2 [see additional FedRAMP Requirements and Guidance]

+
+ +

IR-3-2 Requirement 1: The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). IR-3-2 Requirement 2: For JAB Authorization, the service provider provides test plans to the JAB/AO annually. IR-3-2 Requirement 3: Test plans are approved and accepted by the Authorizing Official (AO) prior to test commencing.

+
+
+
+ + + + + + +

IR-4 Requirement: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system.

+
+
+
+ + + + + + + + + +

IR-6 (a) [US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)]

+
+ +

IR-6 Requirement: Reports security incident information according to FedRAMP Incident Communications Procedure.

+
+
+
+ + + + + + + + + + + + +

IR-8 (b) [see additional FedRAMP Requirements and Guidance] IR-8 (c) [at least annually] IR-8 (e) [see additional FedRAMP Requirements and Guidance]

+
+ +

IR-8 (b) Additional FedRAMP Requirements and Guidance: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. IR-8 (e) Additional FedRAMP Requirements and Guidance: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

+
+
+
+ + + +

MA-1 (b) (1) [at least every 3 years] MA-1 (b) (2) [at least annually]

+
+
+
+ + + + + + + + + + + + + + + + + + + + + + + + + + + +

MP-1 (b) (1) [at least every 3 years] MP-1 (b) (2) [at least annually]

+
+
+
+ + + + + + +

MP-3 (b) [no removable media types]

+
+ +

MP-3 (b) Guidance: Second parameter not-applicable

+
+
+
+ + + +

MP-4 (a)-1 [all types of digital and non-digital media with sensitive information] MP-4 (a)-2 [FedRAMP Assignment: see additional FedRAMP requirements and guidance]

+
+ +

MP-4 (a) Additional FedRAMP Requirements and Guidance: Requirement: The service provider defines controlled areas within facilities where the information and information system reside.

+
+
+
+ + + +

MP-5 (a) [all media with sensitive information] [prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container]

+
+ +

MP-5 (a) Additional FedRAMP Requirements and Guidance: Requirement: The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB.

+
+
+
+ + + + + + + + + + + + + + + +

PE-1 (b) (1) [at least every 3 years] PE-1 (b) (2) [at least annually]

+
+
+
+ + + +

PE-2 (c) [at least annually]

+
+
+
+ + + +

PE-3 (a) (2) [CSP defined physical access control systems/devices AND guards] PE-3 (d) [in all circumstances within restricted access area where the information system resides] PE-3 (f) [at least annually] PE-3 (g) [at least annually]

+
+
+
+ + + + + + + + + +

PE-6 (b) [at least monthly]

+
+
+
+ + + + + + +

PE-8 (a) [for a minimum of one year] PE-8 (b) [at least monthly]

+
+
+
+ + + + + + + + + + + + + + + + + + + + + +

PE-14 (a) [consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments] PE-14 (b) [continuously]

+
+ +

PE-14 (a). Requirements: The service provider measures temperature at server inlets and humidity levels by dew point.

+
+
+
+ + + + + + +

PE-16 [all information system components]

+
+
+
+ + + + + + +

PL-1 (b) (1) [at least every 3 years] PL-1 (b) (2) [at least annually]

+
+
+
+ + + +

PL-2 (c) [at least annually]

+
+
+
+ + + + + + +

PL-4 (c) [At least every 3 years]

+
+
+
+ + + + + + +

PL-8 (b) [At least annually or when a significant change occurs]

+
+ +

PL-8 (b) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.

+
+
+
+ + + +

PS-1 (b) (1) [at least every 3 years] PS-1 (b) (2) [at least annually]

+
+
+
+ + + +

PS-2 (c) [at least every three years]

+
+
+
+ + + +

PS-3 (b) [for national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year There is no reinvestigation for other moderate risk positions or any low risk positions]

+
+
+
+ + + +

PS-4 (a) [same day]

+
+
+
+ + + +

PS-5 (d)-2 [five days of the time period following the formal transfer action (DoD 24 hours)]

+
+
+
+ + + +

PS-6 (b) [at least annually] PS-6 (c) (2) [at least annually]

+
+
+
+ + + +

PS-7 (d)-2 [organization-defined time period – same day]

+
+
+
+ + + + + + +

RA-1 (b) (1) [at least every 3 years] RA-1 (b) (2) [at least annually]

+
+
+
+ + + + + + +

RA-3 (b) [security assessment report] RA-3 (c) [at least every three (3) years or when a significant change occurs] RA-3 (e) [at least every three (3) years or when a significant change occurs]

+
+ +

RA-3 Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. RA-3 (d) Requirement: Include all Authoring Officials and FedRAMP ISSOs.

+
+
+
+ + + +

RA-5 (a) [monthly operating system/infrastructure; monthly web applications and databases] RA-5 (d) [high-risk vulnerabilities mitigated within thirty days from date of discovery; moderate-risk vulnerabilities mitigated within ninety days from date of discovery]

+
+ +

RA-5 (a) Requirement: an accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually. RA-5 (e) Requirement: to include the Risk Executive; for JAB authorizations to include FedRAMP

+
+
+
+ + + + + + +

RA-5 (2) [prior to a new scan]

+
+
+
+ + + +

RA-5 (5)-1 [operating systems / web applications / databases] RA-5 (5)-2 [all scans]

+
+
+
+ + + +

SA-1 (b) (1) [at least every 3 years] SA-1 (b) (2) [at least annually]

+
+
+
+ + + + + + + + + +

SA-4 Guidance: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See http://www.niap-ccevs.org/vpl or http://www.commoncriteriaportal.org/products.html.

+
+
+
+ + + + + + +

SA-4 (2)-1 [to include security-relevant external system interfaces and high-level design]

+
+
+
+ + + + + + + + + + + + + + + +

SA-9 (a) [FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system] SA-9 (c) [Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored]

+
+
+
+ + + +

SA-9 (2) [All external systems where Federal information is processed or stored]

+
+
+
+ + + +

SA-10 (a) [development, implementation, AND operation]

+
+ +

SA-10 (e) Requirement: for JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP.

+
+
+
+ + + + + + +

SC-1 (b) (1) [at least every 3 years] SC-1 (b) (2) [at least annually]

+
+
+
+ + + + + + + + + + + + + + + + + + +

SC-7 (4) (e) [at least annually]

+
+
+
+ + + + + + + + + +

SC-8 [confidentiality AND integrity]

+
+
+
+ + + +

SC-8 (1)-1 [prevent unauthorized disclosure of information AND detect changes to information] SC-8 (1)-1 [a hardened or alarmed carrier Protective Distribution System (PDS)]

+
+
+
+ + + +

SC-10 [no longer than 30 minutes for RAS-based sessions or no longer than 60 minutes for non-interactive user sessions]

+
+
+
+ + + +

SC-12 Guidance: Federally approved cryptography

+
+
+
+ + + +

SC-13 [FIPS-validated or NSA-approved cryptography]

+
+
+
+ + + +

SC-15 (a) [no exceptions]

+
+ +

SC-15 Additional FedRAMP Requirements and Guidance: Requirement: The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use.

+
+
+
+ + + + + + + + + + + + SECURE NAME /ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE) + + + + + SECURE NAME /ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER) + + + + + ARCHITECTURE AND PROVISIONING FOR NAME/ADDRESS RESOLUTION SERVICE + + + + + + + + +

SC-28 [confidentiality AND integrity]

+
+ +

SC-28 Guidance: The organization supports the capability to use cryptographic mechanisms to protect information at rest.

+
+
+
+ + + + + + +

SI-1 (b) (1) [at least every 3 years] SI-1 (b) (2) [at least annually]

+
+
+
+ + + +

SI-2 (c) [within 30 days of release of updates]

+
+
+
+ + + +

SI-2 (2) [at least monthly]

+
+
+
+ + + +

SI-3 (c) (1)-1 [at least weekly] SI-3 (c) (1)-2 [to include endpoints] SI-3 (c) (2) [to include alerting administrator or defined security personnel]

+
+
+
+ + + + + + + + + +

SI-4 Guidance: See US-CERT Incident Response Reporting Guidelines.

+
+
+
+ + + + + + +

SI-4 (4) [continuously]

+
+
+
+ + + +

SI-4 (5) Guidance: In accordance with the incident response plan.

+
+
+
+ + + +

SI-5 (a) [to include US-CERT] SI-5 (c) [to include system security personnel and administrators with configuration/patch-management responsibilities]

+
+
+
+ + + + + + +

SI-7 (1) [Selection to include security relevant events and at least monthly]

+
+
+
+ + + + + + + + + + + + + + + + + + + + + + + + +
+ + + + + + + + + + + + + + + + + + + + + + + + + organization-defined time-period of expected inactivity or description of when to log out + organization-defined time-period of expected inactivity or description of when to log out + + + organization-defined atypical usage + organization-defined atypical usage + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined account and/or account type + organization-defined account and/or account type + + + organization-defined number + organization-defined number + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + + organization-defined other forms of security assessment + organization-defined other forms of security assessment + + + organization-defined frequency + organization-defined frequency + + + organization-defined information systems or system components + organization-defined information systems or system components + + + organization-defined software and firmware components + organization-defined software and firmware components + + + organization-defined information system components + organization-defined information system components + + + organization-defined software programs authorized to execute on the information system + organization-defined software programs authorized to execute on the information system + + + organization-defined frequency + organization-defined frequency + + + organization-defined critical information system software and other security-related information + organization-defined critical information system software and other security-related information + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined emergency responders + organization-defined emergency responders + + + organization-defined internal communications traffic + organization-defined internal communications traffic + + + organization-defined external networks + organization-defined external networks + + + organization-defined security functions + organization-defined security functions + + + organization-defined system transitional states + organization-defined system transitional states + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined alternative action(s) + organization-defined alternative action(s) + + + + +

AC-2(5) should use a shorter timeframe than AC-12.

+
+
+
+ + + +

AC-2 (12)(a) and AC-2 (12)(b) Additional FedRAMP Requirements and Guidance: Required for privileged accounts.

+
+
+
+ + + +

AC-10 [three (3) sessions for privileged access and two (2) sessions for non-privileged access]

+
+
+
+ + + +

AU-9 (2) [at least weekly]

+
+
+
+ + + +

CA-2 (2) [at least annually]

+
+ +

CA-2 (2) Requirement: To include 'announced', 'vulnerability scanning'

+
+
+
+ + + +

CA-8-1 [at least annually]

+
+
+
+ + + + + + + + + +

CM-5 (3) Guidance: If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized.

+
+
+
+ + + + + + +

CM-7(5) (c) [ at least Annually or when there is a change]

+
+
+
+ + + + + + + + + +

MA-3 (3) (d) [the information owner explicitly authorizing removal of the equipment from the facility]

+
+
+
+ + + +

MA-5 (1) Requirement: Only MA-5 (1)(a)(1) is required by FedRAMP Moderate Baseline

+
+
+
+ + + +

MP-6 (2) [At least annually]

+
+ +

MP-6 (2) Guidance: Equipment and procedures may be tested or validated for effectiveness

+
+
+
+ + + + + + + + + + + + +

SI-6 (b) [to include upon system startup and/or restart and at least monthly] SI-6 (c) [to include system administrators and security personnel] SI-6 (d) [to include notification of system administrators and security personnel]

+
+
+
+
+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + organization-defined actions + organization-defined actions + + + organization-defined conditions for establishing shared/group accounts + organization-defined conditions for establishing shared/group accounts + + + organization-defined mechanisms and/or techniques + organization-defined mechanisms and/or techniques + + + organization-defined required separations by types of information + organization-defined required separations by types of information + + + organization-defined time period + organization-defined time period + + + organization-defined information system + organization-defined information system + + + organization-defined external organization + organization-defined external organization + + + organization-defined requirements + organization-defined requirements + + + organization-defined unclassified, non-national security system + organization-defined unclassified, non-national security system + + + Assignment; organization-defined boundary protection device + Assignment; organization-defined boundary protection device + + + organization-defined frequency + organization-defined frequency + + + organization-defined restrictions + organization-defined restrictions + + + organization-defined characteristic identifying individual status + organization-defined characteristic identifying individual status + + + organization-defined requirements + organization-defined requirements + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined actions + organization-defined actions + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined procedures + organization-defined procedures + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined additional personnel screening criteria + organization-defined additional personnel screening criteria + + + organization-defined level of detail + organization-defined level of detail + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined external service providers + organization-defined external service providers + + + organization-defined locations + organization-defined locations + + + organization-defined requirements or conditions + organization-defined requirements or conditions + + + organization-defined resources + organization-defined resources + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined host-based boundary protection mechanisms + organization-defined host-based boundary protection mechanisms + + + organization-defined information system components + organization-defined information system components + + + organization-defined information security tools, mechanisms, and support components + organization-defined information security tools, mechanisms, and support components + + + organization-defined information + organization-defined information + + + organization-defined information system components + organization-defined information system components + + + organization-defined benchmarks + organization-defined benchmarks + + + organization-defined host-based monitoring mechanisms + organization-defined host-based monitoring mechanisms + + + organization-defined information system components + organization-defined information system components + + + + + + + RESTRICTIONS ON USE OF SHARED GROUPS / ACCOUNTS + +

AC-2 (9) Required if shared/group accounts are deployed

+
+
+
+ + + +

AC-2 (10) Required if shared/group accounts are deployed

+
+
+
+ + + + + + +

AC-17 (9) [no greater than 15 minutes]

+
+
+
+ + + +

CA-2 (3)-1 [any FedRAMP Accredited 3PAO] CA-2 (3)-1-2 [any FedRAMP Accredited 3PAO] CA-2 (3)-1-3 [the conditions of a Authorizing Official in the FedRAMP Repository]

+
+
+
+ + + +

CA-3 (3)-2 [Boundary Protections which meet the Trusted Internet Connection (TIC) requirements]

+
+ +

CA-3(3) Guidance: Refer to Appendix H – Cloud Considerations of the TIC 2.0 Reference Architecture document.

+
+
+
+ + + + + + +

CM-5 (5) (b) [at least quarterly]

+
+
+
+ + + + + + IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | GROUP AUTHENTICATION + + + + + +

IA-4 (4) [contractors; foreign nationals]

+
+
+
+ + + +

IA-5 (4) Additional FedRAMP Requirements and Guidance: Guidance: If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators.

+
+
+
+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +

PS-3 (3) (b) [personnel screening criteria – as required by specific information]

+
+
+
+ + + + + + +

RA-5 (6) Guidance: include in Continuous Monitoring ISSO digest/report to JAB/AO

+
+
+
+ + + +

RA-5 (8) Requirements: This enhancement is required for all high vulnerability scan findings. Guidance: While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability.

+
+
+
+ + + +

SA-4 (8) [at least the minimum requirement as defined in control CA-7]

+
+ +

SA-4 (8) Guidance: CSP must use the same security standards regardless of where the system component or information system service is acquired.

+
+
+
+ + + + + + + + +

SA-9 (4)-2 [All external systems where Federal information is processed or stored]

+
+
+
+ + + +

SA-9 (5)-1 [information processing, information data, AND information services]

+
+
+
+ + + + + + +

SA-11 (1) Requirement: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

+
+
+
+ + + + + + +

SA-11 (8) Requirement: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

+
+
+
+ + + + + + + + + +

SC-7 (13) Requirement: The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets.

+
+
+
+ + + CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT | SYMMETRIC KEYS + +

SC-12 (2) [NIST FIPS-compliant]

+
+
+
+ + + CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT | ASYMMETRIC KEYS + + + + + + + + + + + + + + + + + + + + + + + +
+
\ No newline at end of file diff --git a/examples/SP800-53/SP800-53-HIGH-baseline.json b/examples/SP800-53/SP800-53-HIGH-baseline.json new file mode 100644 index 0000000000..903f16b7a6 --- /dev/null +++ b/examples/SP800-53/SP800-53-HIGH-baseline.json @@ -0,0 +1,1042 @@ +{ + "id": "uuid-10b7a962-089d-420e-901d-2828a2e8d540", + "title": "SP800-53 HIGH BASELINE IMPACT", + "invocations": [ + { + "href": "SP800-53-rev4-catalog.json", + "include": { + "calls": [ + { + "controlId": "ac.1" + }, + { + "controlId": "ac.2" + }, + { + "subcontrolId": "ac.2.1." + }, + { + "subcontrolId": "ac.2.2." + }, + { + "subcontrolId": "ac.2.3." + }, + { + "subcontrolId": "ac.2.4." + }, + { + "subcontrolId": "ac.2.5." + }, + { + "subcontrolId": "ac.2.11." + }, + { + "subcontrolId": "ac.2.12." + }, + { + "subcontrolId": "ac.2.13." + }, + { + "controlId": "ac.3" + }, + { + "controlId": "ac.4" + }, + { + "controlId": "ac.5" + }, + { + "controlId": "ac.6" + }, + { + "subcontrolId": "ac.6.1." + }, + { + "subcontrolId": "ac.6.2." + }, + { + "subcontrolId": "ac.6.3." + }, + { + "subcontrolId": "ac.6.5." + }, + { + "subcontrolId": "ac.6.9." + }, + { + "subcontrolId": "ac.6.10." + }, + { + "controlId": "ac.7" + }, + { + "controlId": "ac.8" + }, + { + "controlId": "ac.10" + }, + { + "controlId": "ac.11" + }, + { + "subcontrolId": "ac.11.1." + }, + { + "controlId": "ac.12" + }, + { + "controlId": "ac.14" + }, + { + "controlId": "ac.17" + }, + { + "subcontrolId": "ac.17.1." + }, + { + "subcontrolId": "ac.17.2." + }, + { + "subcontrolId": "ac.17.3." + }, + { + "subcontrolId": "ac.17.4." + }, + { + "controlId": "ac.18" + }, + { + "subcontrolId": "ac.18.1." + }, + { + "subcontrolId": "ac.18.4." + }, + { + "subcontrolId": "ac.18.5." + }, + { + "controlId": "ac.19" + }, + { + "subcontrolId": "ac.19.5." + }, + { + "controlId": "ac.20" + }, + { + "subcontrolId": "ac.20.1." + }, + { + "subcontrolId": "ac.20.2." + }, + { + "controlId": "ac.21" + }, + { + "controlId": "ac.22" + }, + { + "controlId": "at.1" + }, + { + "controlId": "at.2" + }, + { + "subcontrolId": "at.2.2." + }, + { + "controlId": "at.3" + }, + { + "controlId": "at.4" + }, + { + "controlId": "au.1" + }, + { + "controlId": "au.2" + }, + { + "subcontrolId": "au.2.3." + }, + { + "controlId": "au.3" + }, + { + "subcontrolId": "au.3.1." + }, + { + "subcontrolId": "au.3.2." + }, + { + "controlId": "au.4" + }, + { + "controlId": "au.5" + }, + { + "subcontrolId": "au.5.1." + }, + { + "subcontrolId": "au.5.2." + }, + { + "controlId": "au.6" + }, + { + "subcontrolId": "au.6.1." + }, + { + "subcontrolId": "au.6.3." + }, + { + "subcontrolId": "au.6.5." + }, + { + "subcontrolId": "au.6.6." + }, + { + "controlId": "au.7" + }, + { + "subcontrolId": "au.7.1." + }, + { + "controlId": "au.8" + }, + { + "subcontrolId": "au.8.1." + }, + { + "controlId": "au.9" + }, + { + "subcontrolId": "au.9.2." + }, + { + "subcontrolId": "au.9.3." + }, + { + "subcontrolId": "au.9.4." + }, + { + "controlId": "au.10" + }, + { + "controlId": "au.11" + }, + { + "controlId": "au.12" + }, + { + "subcontrolId": "au.12.1." + }, + { + "subcontrolId": "au.12.3." + }, + { + "controlId": "ca.1" + }, + { + "controlId": "ca.2" + }, + { + "subcontrolId": "ca.2.1." + }, + { + "subcontrolId": "ca.2.2." + }, + { + "controlId": "ca.3" + }, + { + "subcontrolId": "ca.3.5." + }, + { + "controlId": "ca.5" + }, + { + "controlId": "ca.6" + }, + { + "controlId": "ca.7" + }, + { + "subcontrolId": "ca.7.1." + }, + { + "controlId": "ca.8" + }, + { + "controlId": "ca.9" + }, + { + "controlId": "cm.1" + }, + { + "controlId": "cm.2" + }, + { + "subcontrolId": "cm.2.1." + }, + { + "subcontrolId": "cm.2.2." + }, + { + "subcontrolId": "cm.2.3." + }, + { + "subcontrolId": "cm.2.7." + }, + { + "controlId": "cm.3" + }, + { + "subcontrolId": "cm.3.1." + }, + { + "subcontrolId": "cm.3.2." + }, + { + "controlId": "cm.4" + }, + { + "subcontrolId": "cm.4.1." + }, + { + "controlId": "cm.5" + }, + { + "subcontrolId": "cm.5.1." + }, + { + "subcontrolId": "cm.5.2." + }, + { + "subcontrolId": "cm.5.3." + }, + { + "controlId": "cm.6" + }, + { + "subcontrolId": "cm.6.1." + }, + { + "subcontrolId": "cm.6.2." + }, + { + "controlId": "cm.7" + }, + { + "subcontrolId": "cm.7.1." + }, + { + "subcontrolId": "cm.7.2." + }, + { + "subcontrolId": "cm.7.5." + }, + { + "controlId": "cm.8" + }, + { + "subcontrolId": "cm.8.1." + }, + { + "subcontrolId": "cm.8.2." + }, + { + "subcontrolId": "cm.8.3." + }, + { + "subcontrolId": "cm.8.4." + }, + { + "subcontrolId": "cm.8.5." + }, + { + "controlId": "cm.9" + }, + { + "controlId": "cm.10" + }, + { + "controlId": "cm.11" + }, + { + "controlId": "cp.1" + }, + { + "controlId": "cp.2" + }, + { + "subcontrolId": "cp.2.1." + }, + { + "subcontrolId": "cp.2.2." + }, + { + "subcontrolId": "cp.2.3." + }, + { + "subcontrolId": "cp.2.4." + }, + { + "subcontrolId": "cp.2.5." + }, + { + "subcontrolId": "cp.2.8." + }, + { + "controlId": "cp.3" + }, + { + "subcontrolId": "cp.3.1." + }, + { + "controlId": "cp.4" + }, + { + "subcontrolId": "cp.4.1." + }, + { + "subcontrolId": "cp.4.2." + }, + { + "controlId": "cp.6" + }, + { + "subcontrolId": "cp.6.1." + }, + { + "subcontrolId": "cp.6.2." + }, + { + "subcontrolId": "cp.6.3." + }, + { + "controlId": "cp.7" + }, + { + "subcontrolId": "cp.7.1." + }, + { + "subcontrolId": "cp.7.2." + }, + { + "subcontrolId": "cp.7.3." + }, + { + "subcontrolId": "cp.7.4." + }, + { + "controlId": "cp.8" + }, + { + "subcontrolId": "cp.8.1." + }, + { + "subcontrolId": "cp.8.2." + }, + { + "subcontrolId": "cp.8.3." + }, + { + "subcontrolId": "cp.8.4." + }, + { + "controlId": "cp.9" + }, + { + "subcontrolId": "cp.9.1." + }, + { + "subcontrolId": "cp.9.2." + }, + { + "subcontrolId": "cp.9.3." + }, + { + "subcontrolId": "cp.9.5." + }, + { + "controlId": "cp.10" + }, + { + "subcontrolId": "cp.10.2." + }, + { + "subcontrolId": "cp.10.4." + }, + { + "controlId": "ia.1" + }, + { + "controlId": "ia.2" + }, + { + "subcontrolId": "ia.2.1." + }, + { + "subcontrolId": "ia.2.2." + }, + { + "subcontrolId": 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"controlId": "sa.1" + }, + { + "controlId": "sa.2" + }, + { + "controlId": "sa.3" + }, + { + "controlId": "sa.4" + }, + { + "subcontrolId": "sa.4.1." + }, + { + "subcontrolId": "sa.4.2." + }, + { + "subcontrolId": "sa.4.9." + }, + { + "subcontrolId": "sa.4.10." + }, + { + "controlId": "sa.5" + }, + { + "controlId": "sa.8" + }, + { + "controlId": "sa.9" + }, + { + "subcontrolId": "sa.9.2." + }, + { + "controlId": "sa.10" + }, + { + "controlId": "sa.11" + }, + { + "controlId": "sc.1" + }, + { + "controlId": "sc.2" + }, + { + "controlId": "sc.4" + }, + { + "controlId": "sc.5" + }, + { + "controlId": "sc.7" + }, + { + "subcontrolId": "sc.7.3." + }, + { + "subcontrolId": "sc.7.4." + }, + { + "subcontrolId": "sc.7.5." + }, + { + "subcontrolId": "sc.7.7." + }, + { + "controlId": "sc.8" + }, + { + "subcontrolId": "sc.8.1." + }, + { + "controlId": "sc.10" + }, + { + "controlId": "sc.12" + }, + { + "controlId": "sc.13" + }, + { + "controlId": "sc.15" + }, + { + "controlId": "sc.17" + }, + { + "controlId": "sc.18" + }, + { + "controlId": "sc.19" + }, + { + "controlId": "sc.20" + }, + { + "controlId": "sc.21" + }, + { + "controlId": "sc.22" + }, + { + "controlId": "sc.23" + }, + { + "controlId": "sc.28" + }, + { + "controlId": "sc.39" + }, + { + "controlId": "si.1" + }, + { + "controlId": "si.2" + }, + { + "subcontrolId": "si.2.2." + }, + { + "controlId": "si.3" + }, + { + "subcontrolId": "si.3.1." + }, + { + "subcontrolId": "si.3.2." + }, + { + "controlId": "si.4" + }, + { + "subcontrolId": "si.4.2." + }, + { + "subcontrolId": "si.4.4." + }, + { + "subcontrolId": "si.4.5." + }, + { + "controlId": "si.5" + }, + { + "controlId": "si.7" + }, + { + "subcontrolId": "si.7.1." + }, + { + "subcontrolId": "si.7.7." + }, + { + "controlId": "si.8" + }, + { + "subcontrolId": "si.8.1." + }, + { + "subcontrolId": "si.8.2." + }, + { + "controlId": "si.10" + }, + { + "controlId": "si.11" + }, + { + "controlId": "si.12" + }, + { + "controlId": "si.16" + } + ] + } + } + ] +} \ No newline at end of file diff --git a/examples/SP800-53/SP800-53-oscal-declarations.json b/examples/SP800-53/SP800-53-oscal-declarations.json new file mode 100644 index 0000000000..3fbcfabe2d --- /dev/null +++ b/examples/SP800-53/SP800-53-oscal-declarations.json @@ -0,0 +1,196 @@ +{ + "declarations": { + "propertyDeclarations": [ + { + "class": "name", + "context": "SP800-53", + "singleton": true, + "required": true, + "regex": "^(AC|AT|AU|CA|CM|CP|IA|IR|MA|MP|PE|PL|PM|PS|RA|SA|SC|SI)[\\d\\.\\-]*$" + }, + { + "class": "priority", + "context": "SP800-53", + "singleton": true, + "values": [ + "P1", + "P2", + "P0", + "P3" + ] + }, + { + "class": "baseline-impact", + "context": "SP800-53", + "values": [ + "LOW", + "MODERATE", + "HIGH" + ] + }, + { + "class": "name", + "context": "SP800-53-enhancement", + "singleton": true, + "required": true, + "calc": [ + { + "inheritances": [ + true + ], + "autonum": [ + "(1)" + ], + "value": " " + } + ] + }, + { + "class": "baseline-impact", + "context": "SP800-53-enhancement", + "values": [ + "LOW", + "MODERATE", + "HIGH" + ] + }, + { + "class": "name", + "context": "item", + "singleton": true, + "required": true, + "calc": [ + { + "inheritances": [ + true + ], + "autonum": [ + "a." + ] + }, + { + "inheritances": [ + true + ], + "autonum": [ + "(a)" + ] + }, + { + "inheritances": [ + true + ], + "autonum": [ + "1." + ] + }, + { + "inheritances": [ + true + ], + "autonum": [ + "(1)" + ] + } + ] + }, + { + "class": "description", + "context": "item", + "singleton": true, + "required": true + }, + { + "class": "name", + "context": "objective", + "singleton": true + }, + { + "class": "method", + "context": "assessment", + "singleton": true, + "required": true, + "values": [ + "EXAMINE", + "INTERVIEW", + "TEST" + ] + } + ], + "partDeclarations": [ + { + "class": "statement", + "context": "SP800-53", + "singleton": true, + "required": true + }, + { + "class": "guidance", + "context": "SP800-53", + "singleton": true + }, + { + "class": "objective", + "context": "SP800-53", + "singleton": true, + "required": true + }, + { + "class": "assessment", + "context": "SP800-53" + }, + { + "class": "statement", + "context": "SP800-53-enhancement", + "singleton": true, + "required": true + }, + { + "class": "guidance", + "context": "SP800-53-enhancement", + "singleton": true + }, + { + "class": "objective", + "context": "SP800-53-enhancement", + "singleton": true, + "required": true + }, + { + "class": "assessment", + "context": "SP800-53-enhancement" + }, + { + "class": "description", + "context": "statement", + "singleton": true, + "required": true + }, + { + "class": "item", + "context": "statement" + }, + { + "class": "item", + "context": "item" + }, + { + "class": "objective", + "context": "objective", + "required": true + } + ], + "paragraphDeclarations": [ + { + "class": "decision", + "context": "objective", + "singleton": true + }, + { + "class": "object", + "context": "assessment", + "required": true + } + ] + } +} \ No newline at end of file diff --git a/examples/SP800-53/SP800-53-rev4-catalog.json b/examples/SP800-53/SP800-53-rev4-catalog.json new file mode 100644 index 0000000000..5f1f831bbb --- /dev/null +++ b/examples/SP800-53/SP800-53-rev4-catalog.json @@ -0,0 +1,137909 @@ +{ + "catalog": { + "title": "NIST SP800-53 rev 4", + "declarations": { + "href": "SP800-53-oscal-declarations.xml" + }, + "groups": [ + { + "class": "family", + "title": "ACCESS CONTROL", + "controls": [ + { + "class": "SP800-53", + "id": "ac.1", + "title": "ACCESS CONTROL POLICY AND PROCEDURES", + "params": [ + { + "id": "ac-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ac-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ac-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AC-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ac-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAn access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the access control policy and associated access controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ac-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAccess control policy \u003cinsert param-id=\"ac-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eAccess control procedures \u003cinsert param-id=\"ac-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.a.1.", + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an access control policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the access control policy are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the access control policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.2.", + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the access control policy and associated access control controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.b.1.", + "props": [ + { + "class": "name", + "value": "AC-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current access control policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current access control policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.b.2.", + "props": [ + { + "class": "name", + "value": "AC-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current access control procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current access control procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.2", + "title": "ACCOUNT MANAGEMENT", + "params": [ + { + "id": "ac-2_a", + "desc": "organization-defined information system account types", + "value": "organization-defined information system account types" + }, + { + "id": "ac-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ac-2_c", + "desc": "organization-defined procedures or conditions", + "value": "organization-defined procedures or conditions" + }, + { + "id": "ac-2_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies and selects the following types of information system accounts to support organizational missions/business functions: \u003cinsert param-id=\"ac-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eAssigns account managers for information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2b." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes conditions for group and role membership;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2c." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eSpecifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2d." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2e.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires approvals by \u003cinsert param-id=\"ac-2_b\"/\u003e for requests to create information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2e." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2f.", + "prose": [ + "\u003cp class=\"description\"\u003eCreates, enables, modifies, disables, and removes information system accounts in accordance with \u003cinsert param-id=\"ac-2_c\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2f." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2g.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors the use of information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2g." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2h.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies account managers:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-2h.1.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen accounts are no longer required;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-2h.2.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen users are terminated or transferred; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h.2." + } + ] + }, + { + "class": "item", + "id": "sms_ac-2h.3.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen individual information system usage or need-to-know changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ac-2i.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes access to the information system based on:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-2i.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA valid access authorization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-2i.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIntended system usage; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i.2." + } + ] + }, + { + "class": "item", + "id": "sms_ac-2i.3.", + "prose": [ + "\u003cp class=\"description\"\u003eOther attributes as required by the organization or associated missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ac-2j.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews accounts for compliance with account management requirements \u003cinsert param-id=\"ac-2_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2j." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2k.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2k." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.10" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.20" + }, + { + "href": "#au.9" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.11" + }, + { + "href": "#ma.3" + }, + { + "href": "#ma.4" + }, + { + "href": "#ma.5" + }, + { + "href": "#pl.4" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.a.", + "props": [ + { + "class": "name", + "value": "AC-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system account types to be identified and selected to support organizational missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies and selects organization-defined information system account types to support organizational missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eassigns account managers for information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes conditions for group and role membership;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003especifies for each account (as required):\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorized users of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003egroup and role membership;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess authorizations (i.e., privileges);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.d.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eother attributes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.e.", + "props": [ + { + "class": "name", + "value": "AC-2(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles required to approve requests to create information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires approvals by organization-defined personnel or roles for requests to create information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(e)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.", + "props": [ + { + "class": "name", + "value": "AC-2(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines procedures or conditions to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.f.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreate information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eenable information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003emodify information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisable information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremove information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][e]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ein accordance with organization-defined procedures or conditions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.f.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreates information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eenables information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003emodifies information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisables information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][e]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.g.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors the use of information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(g)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.h.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies account managers:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(h)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.h.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen accounts are no longer required;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(h)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.h.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen users are terminated or transferred;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(h)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.h.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen individual information system usage or need to know changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(h)(3)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.i.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes access to the information system based on;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(i)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.i.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ea valid access authorization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(i)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.i.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eintended system usage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(i)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.i.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eother attributes as required by the organization or associated missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(i)(3)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.j.", + "props": [ + { + "class": "name", + "value": "AC-2(j)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.j.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review accounts for compliance with account management requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(j)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.j.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews accounts for compliance with account management requirements with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(j)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.k.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(k)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of active system accounts along with the name of the individual associated with each account\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of conditions for group and role membership\u003c/p\u003e", + "\u003cp class=\"object\"\u003enotifications or records of recently transferred, separated, or terminated employees\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of recently disabled information system accounts along with the name of the individual associated with each account\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccount management compliance reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes account management on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for implementing account management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.2.1.", + "title": "AUTOMATED SYSTEM ACCOUNT MANAGEMENT", + "props": [ + { + "class": "name", + "value": "AC-2 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to support the management of information system accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to support the management of information system accounts.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.2.", + "title": "REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-2 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically [Selection: removes; disables] temporary and emergency accounts after \u003cinsert param-id=\"ac-2_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period after which the information system automatically removes or disables temporary and emergency accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system automatically removes or disables temporary and emergency accounts after the organization-defined time period for each type of account.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of temporary accounts removed and/or disabled\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of emergency accounts removed and/or disabled\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_e", + "desc": "organization-defined time period for each type of account", + "value": "organization-defined time period for each type of account" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.3.", + "title": "DISABLE INACTIVE ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-2 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically disables inactive accounts after \u003cinsert param-id=\"ac-2_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period after which the information system automatically disables inactive accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system automatically disables inactive accounts after the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of temporary accounts removed and/or disabled\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of emergency accounts removed and/or disabled\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.4.", + "title": "AUTOMATED AUDIT ACTIONS", + "props": [ + { + "class": "name", + "value": "AC-2 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies \u003cinsert param-id=\"ac-2_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system automatically audits the following account actions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.4.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eenabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoval;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][e]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be notified of the following account actions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.4.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eenabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][d]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoval;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][e]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system notifies organization-defined personnel or roles of the following account actions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.4.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eenabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisabling; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][d]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoval.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][e]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003enotifications/alerts of account creation, modification, enabling, disabling, and removal actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.5.", + "title": "INACTIVITY LOGOUT", + "props": [ + { + "class": "name", + "value": "AC-2 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that users log out when \u003cinsert param-id=\"ac-2_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.23" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines either the time period of expected inactivity that requires users to log out or the description of when users are required to log out; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that users log out when the organization-defined time period of inactivity is reached or in accordance with organization-defined description of when to log out.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity violation reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eusers that must comply with inactivity logout policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ac-2_h", + "desc": "organization-defined time-period of expected inactivity or description of when to log out", + "value": "organization-defined time-period of expected inactivity or description of when to log out" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.6.", + "title": "DYNAMIC PRIVILEGE MANAGEMENT", + "props": [ + { + "class": "name", + "value": "AC-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements the following dynamic privilege management capabilities: \u003cinsert param-id=\"ac-2_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, dynamic access control approaches (e.g., service-oriented architectures) rely on run time access control decisions facilitated by dynamic privilege management. While user identities may remain relatively constant over time, user privileges may change more frequently based on ongoing mission/business requirements and operational needs of organizations. Dynamic privilege management can include, for example, the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also refer to mechanisms that change the privileges of users based on dynamic rules as opposed to editing specific user profiles. This type of privilege management includes, for example, automatic adjustments of privileges if users are operating out of their normal work times, or if information systems are under duress or in emergency maintenance situations. This control enhancement also includes the ancillary effects of privilege changes, for example, the potential changes to encryption keys used for communications. Dynamic privilege management can support requirements for information system resiliency.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a list of dynamic privilege management capabilities to be implemented by the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements the organization-defined list of dynamic privilege management capabilities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of dynamic privilege management capabilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system implementing dynamic privilege management capabilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_i", + "desc": "organization-defined list of dynamic privilege management capabilities", + "value": "organization-defined list of dynamic privilege management capabilities" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.7.", + "title": "ROLE-BASED SCHEMES", + "props": [ + { + "class": "name", + "value": "AC-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-2.7.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-2.7.b.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors privileged role assignments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (7)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-2.7.c.", + "prose": [ + "\u003cp class=\"description\"\u003eTakes \u003cinsert param-id=\"ac-2_j\"/\u003e when privileged role assignments are no longer appropriate.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (7)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.7.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(7)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors privileged role assignments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(7)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.7.c.", + "props": [ + { + "class": "name", + "value": "AC-2(7)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.7.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines actions to be taken when privileged role assignments are no longer appropriate; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(7)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.7.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etakes organization-defined actions when privileged role assignments are no longer appropriate.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(7)(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of privileged user accounts and associated role\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of actions taken when privileged role assignments are no longer appropriate\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit tracking and monitoring reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms monitoring privileged role assignments\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_j", + "desc": "organization-defined actions", + "value": "organization-defined actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.8.", + "title": "DYNAMIC ACCOUNT CREATION", + "props": [ + { + "class": "name", + "value": "AC-2 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system creates \u003cinsert param-id=\"ac-2_k\"/\u003e dynamically.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic approaches for creating information system accounts (e.g., as implemented within service-oriented architectures) rely on establishing accounts (identities) at run time for entities that were previously unknown. Organizations plan for dynamic creation of information system accounts by establishing trust relationships and mechanisms with the appropriate authorities to validate related authorizations and privileges.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system accounts to be created by the information system dynamically; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system creates organization-defined information system accounts dynamically.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(8)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_k", + "desc": "organization-defined information system accounts", + "value": "organization-defined information system accounts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.9.", + "title": "RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-2 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization only permits the use of shared/group accounts that meet \u003cinsert param-id=\"ac-2_l\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines conditions for establishing shared/group accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eonly permits the use of shared/group accounts that meet organization-defined conditions for establishing shared/group accounts.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of shared/group accounts and associated role\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing management of shared/group accounts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_l", + "desc": "organization-defined conditions for establishing shared/group accounts", + "value": "organization-defined conditions for establishing shared/group accounts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.10.", + "title": "SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION", + "props": [ + { + "class": "name", + "value": "AC-2 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system terminates shared/group account credentials when members leave the group.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system terminates shared/group account credentials when members leave the group.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccount access termination records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.11.", + "title": "USAGE CONDITIONS", + "props": [ + { + "class": "name", + "value": "AC-2 (11)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces \u003cinsert param-id=\"ac-2_m\"/\u003e for \u003cinsert param-id=\"ac-2_n\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines circumstances and/or usage conditions to be enforced for information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system accounts for which organization-defined circumstances and/or usage conditions are to be enforced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(11)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.11.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces organization-defined circumstances and/or usage conditions for organization-defined information system accounts.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(11)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of information system accounts and associated assignments of usage circumstances and/or usage conditions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_m", + "desc": "organization-defined circumstances and/or usage conditions", + "value": "organization-defined circumstances and/or usage conditions" + }, + { + "id": "ac-2_n", + "desc": "organization-defined information system accounts", + "value": "organization-defined information system accounts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.12.", + "title": "ACCOUNT MONITORING / ATYPICAL USAGE", + "props": [ + { + "class": "name", + "value": "AC-2 (12)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-2.12.a.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors information system accounts for \u003cinsert param-id=\"ac-2_o\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (12)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-2.12.b.", + "prose": [ + "\u003cp class=\"description\"\u003eReports atypical usage of information system accounts to \u003cinsert param-id=\"ac-2_p\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (12)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAtypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.12.a.", + "props": [ + { + "class": "name", + "value": "AC-2(12)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.12.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines atypical usage to be monitored for information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(12)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.12.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors information system accounts for organization-defined atypical usage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(12)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.12.b.", + "props": [ + { + "class": "name", + "value": "AC-2(12)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.12.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom atypical usage of information system accounts are to be reported; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(12)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.12.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports atypical usage of information system accounts to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(12)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit tracking and monitoring reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_o", + "desc": "organization-defined atypical usage", + "value": "organization-defined atypical usage" + }, + { + "id": "ac-2_p", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.13.", + "title": "DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AC-2 (13)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization disables accounts of users posing a significant risk within \u003cinsert param-id=\"ac-2_q\"/\u003e of discovery of the risk.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUsers posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which accounts are disabled upon discovery of a significant risk posed by users of such accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edisables accounts of users posing a significant risk within the organization-defined time period of discovery of the risk.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(13)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of disabled accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of user activities posing significant organizational risk\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_q", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.3", + "title": "ACCESS ENFORCEMENT", + "props": [ + { + "class": "name", + "value": "AC-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAccess control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.16" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.20" + }, + { + "href": "#ac.21" + }, + { + "href": "#ac.22" + }, + { + "href": "#au.9" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.11" + }, + { + "href": "#ma.3" + }, + { + "href": "#ma.4" + }, + { + "href": "#ma.5" + }, + { + "href": "#pe.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of approved authorizations (user privileges)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.3.1.", + "title": "RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.2.", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "AC-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces dual authorization for \u003cinsert param-id=\"ac-3_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDual authorization mechanisms require the approval of two authorized individuals in order to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.9" + }, + { + "href": "#mp.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines privileged commands and/or other actions for which dual authorization is to be enforced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces dual authorization for organization-defined privileged commands and/or other organization-defined actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement and dual authorization\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of privileged commands requiring dual authorization\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of actions requiring dual authorization\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of approved authorizations (user privileges)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eDual authorization mechanisms implementing access control policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_a", + "desc": "organization-defined privileged commands and/or other organization-defined actions", + "value": "organization-defined privileged commands and/or other organization-defined actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.3.", + "title": "MANDATORY ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "AC-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces \u003cinsert param-id=\"ac-3_b\"/\u003e over all subjects and objects where the policy:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-3.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eIs uniformly enforced across all subjects and objects within the boundary of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-3.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eSpecifies that a subject that has been granted access to information is constrained from doing any of the following;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)" + } + ], + "parts": [ + { + "class": "item", + "id": "s_sms_ac-3.3.b.1.", + "prose": [ + "\u003cp class=\"description\"\u003ePassing the information to unauthorized subjects or objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(1)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ac-3.3.b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eGranting its privileges to other subjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(2)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ac-3.3.b.3.", + "prose": [ + "\u003cp class=\"description\"\u003eChanging one or more security attributes on subjects, objects, the information system, or information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(3)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ac-3.3.b.4.", + "prose": [ + "\u003cp class=\"description\"\u003eChoosing the security attributes and attribute values to be associated with newly created or modified objects; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(4)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ac-3.3.b.5.", + "prose": [ + "\u003cp class=\"description\"\u003eChanging the rules governing access control; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(5)" + } + ] + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-3.3.c.", + "prose": [ + "\u003cp class=\"description\"\u003eSpecifies that \u003cinsert param-id=\"ac-3_c\"/\u003e may explicitly be granted \u003cinsert param-id=\"ac-3_d\"/\u003e such that they are not limited by some or all of the above constraints.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMandatory access control as defined in this control enhancement is synonymous with nondiscretionary access control, and is not constrained only to certain historical uses (e.g., implementations using the Bell-LaPadula Model). The above class of mandatory access control policies constrains what actions subjects can take with information obtained from data objects for which they have already been granted access, thus preventing the subjects from passing the information to unauthorized subjects and objects. This class of mandatory access control policies also constrains what actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the information system has control. Otherwise, the access control policy can be circumvented. This enforcement typically is provided via an implementation that meets the reference monitor concept (see AC-25). The policy is bounded by the information system boundary (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes a policy regarding access to sensitive/classified information and some users of the information system are not authorized access to all sensitive/classified information resident in the information system. This control can operate in conjunction with AC-3 (4). A subject that is constrained in its operation by policies governed by this control is still able to operate under the less rigorous constraints of AC-3 (4), but policies governed by this control take precedence over the less rigorous constraints of AC-3 (4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity label, AC-3 (4) permits the subject to pass the information to any subject with the same sensitivity label as the subject.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.25" + }, + { + "href": "#sc.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines mandatory access control policies to be enforced over all subjects and objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines subjects over which organization-defined mandatory access control policies are to be enforced;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines objects over which organization-defined mandatory access control policies are to be enforced;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines subjects that may explicitly be granted privileges such that they are not limited by the constraints specified elsewhere within this control;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.5.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines privileges that may be granted to organization-defined subjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[5]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces organization-defined mandatory access control policies over all subjects and objects where the policy specifies that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.3.6.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe policy is uniformly enforced across all subjects and objects within the boundary of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea subject that has been granted access to information is constrained from doing any of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003epassing the information to unauthorized subjects or objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(1)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003egranting its privileges to other subjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(2)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003echanging one or more security attributes on:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esubjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)[a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eobjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)[b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)[c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003esystem components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)[d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.4.", + "prose": [ + "\u003cp class=\"decision\"\u003echoosing the security attributes and attribute values to be associated with newly created or modified objects; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(4)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.5.", + "prose": [ + "\u003cp class=\"decision\"\u003echanging the rules governing access control; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(5)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined subjects may explicitly be granted organization-defined privileges such that they are not limited by some or all of the above constraints.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](c)" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003emandatory access control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing mandatory access control\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_b", + "desc": "organization-defined mandatory access control policy", + "value": "organization-defined mandatory access control policy" + }, + { + "id": "ac-3_c", + "desc": "organization-defined subjects", + "value": "organization-defined subjects" + }, + { + "id": "ac-3_d", + "desc": "organization-defined privileges (i.e., they are trusted subjects)", + "value": "organization-defined privileges (i.e., they are trusted subjects)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.4.", + "title": "DISCRETIONARY ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "AC-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces \u003cinsert param-id=\"ac-3_e\"/\u003e over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-3.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003ePass the information to any other subjects or objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-3.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eGrant its privileges to other subjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-3.4.c.", + "prose": [ + "\u003cp class=\"description\"\u003eChange security attributes on subjects, objects, the information system, or the information system�s components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-3.4.d.", + "prose": [ + "\u003cp class=\"description\"\u003eChoose the security attributes to be associated with newly created or revised objects; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(d)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-3.4.e.", + "prose": [ + "\u003cp class=\"description\"\u003eChange the rules governing access control.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3 (3). A subject that is constrained in its operation by policies governed by AC-3 (3) is still able to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3 (3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3 (4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines discretionary access control policies to be enforced over defined subjects and objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces organization-defined discretionary access control policies over defined subjects and objects where the policy specifies that a subject has been granted access to information and can do one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.4.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epass the information to any other subjects or objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003egrant its privileges to other subjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003echange security attributes on:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.4.2.c.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esubjects,\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)[a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.c.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eobjects,\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)[b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.c.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)[c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.c.d.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system’s components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)[d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003echoose the security attributes to be associated with newly created or revised objects; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](d)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.e.", + "prose": [ + "\u003cp class=\"decision\"\u003echange the rules governing access control.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](e)" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003ediscretionary access control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing discretionary access control policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_e", + "desc": "organization-defined discretionary access control policy", + "value": "organization-defined discretionary access control policy" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.5.", + "title": "SECURITY-RELEVANT INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents access to \u003cinsert param-id=\"ac-3_f\"/\u003e except during secure, non-operable system states.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity-relevant information is any information within information systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the isolation of code and data. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Secure, non-operable system states include the times in which information systems are not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shut down).\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security-relevant information to which the information system prevents access except during secure, non-operable system states; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents access to organization-defined security-relevant information except during secure, non-operable system states.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms preventing access to security-relevant information within the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_f", + "desc": "organization-defined security-relevant information", + "value": "organization-defined security-relevant information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.6.", + "title": "PROTECTION OF USER AND SYSTEM INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-4 and SC-28\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.4" + }, + { + "href": "#sc.28" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.7.", + "title": "ROLE-BASED ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "AC-3 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces a role-based access control policy over defined subjects and objects and controls access based upon \u003cinsert param-id=\"ac-3_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRole-based access control (RBAC) is an access control policy that restricts information system access to authorized users. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on organizational information systems associated with the organization-defined roles. When users are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3 (3) define the scope of the subjects and objects covered by the policy.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines roles to control information system access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines users authorized to assume the organization-defined roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(7)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.7.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system controls access based on organization-defined roles and users authorized to assume such roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(7)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.7.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces a role-based access control policy over defined:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(7)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.7.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esubjects, and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(7)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.7.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eobjects.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(7)[4][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003erole-based access control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan, information system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of roles, users, and associated privileges required to control information system access\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing role-based access control policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_g", + "desc": "organization-defined roles and users authorized to assume such roles", + "value": "organization-defined roles and users authorized to assume such roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.8.", + "title": "REVOCATION OF ACCESS AUTHORIZATIONS", + "props": [ + { + "class": "name", + "value": "AC-3 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on \u003cinsert param-id=\"ac-3_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRevocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object (e.g., file) is opened or until the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations can provide alternative approaches on how to make revocations immediate if information systems cannot provide such capability and immediate revocation is necessary.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines rules governing the timing of revocations of access authorizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on organization-defined rules governing the timing of revocations of access authorizations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(8)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules governing revocation of access authorizations, information system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_h", + "desc": "organization-defined rules governing the timing of revocations of access authorizations", + "value": "organization-defined rules governing the timing of revocations of access authorizations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.9.", + "title": "CONTROLLED RELEASE", + "props": [ + { + "class": "name", + "value": "AC-3 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system does not release information outside of the established system boundary unless:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-3.9.a.", + "prose": [ + "\u003cp class=\"description\"\u003eThe receiving \u003cinsert param-id=\"ac-3_i\"/\u003e provides \u003cinsert param-id=\"ac-3_j\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (9)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-3.9.b.", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"ac-3_k\"/\u003e are used to validate the appropriateness of the information designated for release.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (9)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems can only protect organizational information within the confines of established system boundaries. Additional security safeguards may be needed to ensure that such information is adequately protected once it is passed beyond the established information system boundaries. Examples of information leaving the system boundary include transmitting information to an external information system or printing the information on one of its printers. In cases where the information system is unable to make a determination of the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external information systems are providing adequate security. The means used to determine the adequacy of the security provided by external information systems include, for example, conducting inspections or periodic testing, establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires information systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the information system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the information system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular information system or organization.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the information system or system component authorized to receive information released outside of the established system boundary of the information system releasing such information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be provided by organization-defined information system or system component receiving information released from an information system outside of the established system boundary;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(9)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.9.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be used to validate the appropriateness of the information designated for release;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(9)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.9.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system does not release information outside of the established system boundary unless:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(9)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.9.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe receiving organization-defined information system or system component provides organization-defined security safeguards; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(9)[4](a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.9.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization-defined security safeguards are used to validate the appropriateness of the information designated for release.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(9)[4](b)" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards provided by receiving information system or system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards validating appropriateness of information designated for release\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_i", + "desc": "organization-defined information system or system component", + "value": "organization-defined information system or system component" + }, + { + "id": "ac-3_j", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "ac-3_k", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.10.", + "title": "AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS", + "props": [ + { + "class": "name", + "value": "AC-3 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs an audited override of automated access control mechanisms under \u003cinsert param-id=\"ac-3_l\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines conditions under which to employ an audited override of automated access control mechanisms; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys an audited override of automated access control mechanisms under organization-defined conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(10)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econditions for employing audited override of automated access control mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_l", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.4", + "title": "INFORMATION FLOW ENFORCEMENT", + "params": [ + { + "id": "ac-4_a", + "desc": "organization-defined information flow control policies", + "value": "organization-defined information flow control policies" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on \u003cinsert param-id=\"ac-4_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.21" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.7" + }, + { + "href": "#sa.8" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.18" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-4-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information flow control policies to control the flow of information within the system and between interconnected systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-4-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on organization-defined information flow control policies.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system baseline configuration\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information flow authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.4.1.", + "title": "OBJECT SECURITY ATTRIBUTES", + "props": [ + { + "class": "name", + "value": "AC-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system uses \u003cinsert param-id=\"ac-4_b\"/\u003e associated with \u003cinsert param-id=\"ac-4_c\"/\u003e to enforce \u003cinsert param-id=\"ac-4_d\"/\u003e as a basis for flow control decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation flow enforcement mechanisms compare security attributes associated with information (data content and data structure) and source/destination objects, and respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. Security attributes can also include, for example, source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security attributes can be used, for example, to control the release of certain types of information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information flow control policies as a basis for flow control decisions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security attributes to be associated with information, source, and destination objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the following objects to be associated with organization-defined security attributes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(1)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.1.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(1)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.1.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esource;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(1)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.1.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edestination; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(1)[3][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system uses organization-defined security attributes associated with organization-defined information, source, and destination objects to enforce organization-defined information flow control policies as a basis for flow control decisions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(1)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security attributes and associated information, source, and destination objects enforcing information flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_b", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + }, + { + "id": "ac-4_c", + "desc": "organization-defined information, source, and destination objects", + "value": "organization-defined information, source, and destination objects" + }, + { + "id": "ac-4_d", + "desc": "organization-defined information flow control policies", + "value": "organization-defined information flow control policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.2.", + "title": "PROCESSING DOMAINS", + "props": [ + { + "class": "name", + "value": "AC-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system uses protected processing domains to enforce \u003cinsert param-id=\"ac-4_e\"/\u003e as a basis for flow control decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWithin information systems, protected processing domains are processing spaces that have controlled interactions with other processing spaces, thus enabling control of information flows between these spaces and to/from data/information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, information system processes are assigned to domains; information is identified by types; and information flows are controlled based on allowed information accesses (determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information flow control policies as a basis for flow control decisions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system uses protected processing domains to enforce organization-defined information flow control policies as a basis for flow control decisions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_e", + "desc": "organization-defined information flow control policies", + "value": "organization-defined information flow control policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.3.", + "title": "DYNAMIC INFORMATION FLOW CONTROL", + "props": [ + { + "class": "name", + "value": "AC-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces dynamic information flow control based on \u003cinsert param-id=\"ac-4_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational policies regarding dynamic information flow control include, for example, allowing or disallowing information flows based on changing conditions or mission/operational considerations. Changing conditions include, for example, changes in organizational risk tolerance due to changes in the immediacy of mission/business needs, changes in the threat environment, and detection of potentially harmful or adverse events.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines policies to enforce dynamic information flow control; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces dynamic information flow control based on organization-defined policies.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_f", + "desc": "organization-defined policies", + "value": "organization-defined policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.4.", + "title": "CONTENT CHECK ENCRYPTED INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents encrypted information from bypassing content-checking mechanisms by [Selection (one or more): decrypting the information; blocking the flow of the encrypted information; terminating communications sessions attempting to pass encrypted information; \u003cinsert param-id=\"ac-4_g\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a procedure or method to be employed to prevent encrypted information from bypassing content-checking mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents encrypted information from bypassing content-checking mechanisms by doing one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(4)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.4.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edecrypting the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(4)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.4.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eblocking the flow of the encrypted information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(4)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.4.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eterminating communications sessions attempting to pass encrypted information; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(4)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.4.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploying the organization-defined procedure or method.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(4)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_g", + "desc": "organization-defined procedure or method", + "value": "organization-defined procedure or method" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.5.", + "title": "EMBEDDED DATA TYPES", + "props": [ + { + "class": "name", + "value": "AC-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces \u003cinsert param-id=\"ac-4_h\"/\u003e on embedding data types within other data types.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEmbedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes, for example, inserting executable files as objects within word processing files, inserting references or descriptive information into a media file, and compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines limitations to be enforced on embedding data types within other data types; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces organization-defined limitations on embedding data types within other data types.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of limitations to be enforced on embedding data types within other data types\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_h", + "desc": "organization-defined limitations", + "value": "organization-defined limitations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.6.", + "title": "METADATA", + "props": [ + { + "class": "name", + "value": "AC-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces information flow control based on \u003cinsert param-id=\"ac-4_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMetadata is information used to describe the characteristics of data. Metadata can include structural metadata describing data structures (e.g., data format, syntax, and semantics) or descriptive metadata describing data contents (e.g., age, location, telephone number). Enforcing allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata with regard to data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., ensuring sufficiently strong binding techniques with appropriate levels of assurance).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines metadata to be used as a means of enforcing information flow control; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces information flow control based on organization-defined metadata.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etypes of metadata used to enforce information flow control decisions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_i", + "desc": "organization-defined metadata", + "value": "organization-defined metadata" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.7.", + "title": "ONE-WAY FLOW MECHANISMS", + "props": [ + { + "class": "name", + "value": "AC-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces \u003cinsert param-id=\"ac-4_j\"/\u003e using hardware mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines one-way information flows to be enforced by the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces organization-defined one-way information flows using hardware mechanisms.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(7)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware mechanisms and associated configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eHardware mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_j", + "desc": "organization-defined one-way information flows", + "value": "organization-defined one-way information flows" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.8.", + "title": "SECURITY POLICY FILTERS", + "props": [ + { + "class": "name", + "value": "AC-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces information flow control using \u003cinsert param-id=\"ac-4_k\"/\u003e as a basis for flow control decisions for \u003cinsert param-id=\"ac-4_l\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganization-defined security policy filters can address data structures and content. For example, security policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security policy filters for data content can check for specific words (e.g., dirty/clean word filters), enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data typically refers to digital information without a particular data structure or with a data structure that does not facilitate the development of rule sets to address the particular sensitivity of the information conveyed by the data or the associated flow enforcement decisions. Unstructured data consists of: (i) bitmap objects that are inherently non language-based (i.e., image, video, or audio files); and (ii) textual objects that are based on written or printed languages (e.g., commercial off-the-shelf word processing documents, spreadsheets, or emails). Organizations can implement more than one security policy filter to meet information flow control objectives (e.g., employing clean word lists in conjunction with dirty word lists may help to reduce false positives).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security policy filters to be used as a basis for enforcing flow control decisions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information flows for which flow control decisions are to be applied and enforced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.8.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces information flow control using organization-defined security policy filters as a basis for flow control decisions for organization-defined information flows.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(8)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security policy filters regulating flow control decisions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_k", + "desc": "organization-defined security policy filters", + "value": "organization-defined security policy filters" + }, + { + "id": "ac-4_l", + "desc": "organization-defined information flows", + "value": "organization-defined information flows" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.9.", + "title": "HUMAN REVIEWS", + "props": [ + { + "class": "name", + "value": "AC-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces the use of human reviews for \u003cinsert param-id=\"ac-4_m\"/\u003e under the following conditions: \u003cinsert param-id=\"ac-4_n\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations define security policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of, or as a complement to, automated security policy filtering. Human reviews may also be employed as deemed necessary by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information flows requiring the use of human reviews;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines conditions under which the use of human reviews for organization-defined information flows is to be enforced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(9)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.9.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces the use of human reviews for organization-defined information flows under organization-defined conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(9)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of human reviews regarding information flows\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of conditions requiring human reviews for information flows\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms enforcing the use of human reviews\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_m", + "desc": "organization-defined information flows", + "value": "organization-defined information flows" + }, + { + "id": "ac-4_n", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.10.", + "title": "ENABLE / DISABLE SECURITY POLICY FILTERS", + "props": [ + { + "class": "name", + "value": "AC-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability for privileged administrators to enable/disable \u003cinsert param-id=\"ac-4_o\"/\u003e under the following conditions: \u003cinsert param-id=\"ac-4_p\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor example, as allowed by the information system authorization, administrators can enable security policy filters to accommodate approved data types.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security policy filters that privileged administrators have the capability to enable/disable;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization-defined conditions under which privileged administrators have the capability to enable/disable organization-defined security policy filters; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(10)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.10.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the capability for privileged administrators to enable/disable organization-defined security policy filters under organization-defined conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(10)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow information policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security policy filters enabled/disabled by privileged administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for enabling/disabling security policy filters\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_o", + "desc": "organization-defined security policy filters", + "value": "organization-defined security policy filters" + }, + { + "id": "ac-4_p", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.11.", + "title": "CONFIGURATION OF SECURITY POLICY FILTERS", + "props": [ + { + "class": "name", + "value": "AC-4 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability for privileged administrators to configure \u003cinsert param-id=\"ac-4_q\"/\u003e to support different security policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor example, to reflect changes in security policies, administrators can change the list of �dirty words� that security policy mechanisms check in accordance with the definitions provided by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security policy filters that privileged administrators have the capability to configure to support different security policies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the capability for privileged administrators to configure organization-defined security policy filters to support different security policies.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(11)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security policy filters\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for configuring security policy filters\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_q", + "desc": "organization-defined security policy filters", + "value": "organization-defined security policy filters" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.12.", + "title": "DATA TYPE IDENTIFIERS", + "props": [ + { + "class": "name", + "value": "AC-4 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, when transferring information between different security domains, uses \u003cinsert param-id=\"ac-4_r\"/\u003e to validate data essential for information flow decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData type identifiers include, for example, filenames, file types, file signatures/tokens, and multiple internal file signatures/tokens. Information systems may allow transfer of data only if compliant with data type format specifications.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines data type identifiers to be used, when transferring information between different security domains, to validate data essential for information flow decisions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, when transferring information between different security domains, uses organization-defined data type identifiers to validate data essential for information flow decisions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(12)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of data type identifiers\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_r", + "desc": "organization-defined data type identifiers", + "value": "organization-defined data type identifiers" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.13.", + "title": "DECOMPOSITION INTO POLICY-RELEVANT SUBCOMPONENTS", + "props": [ + { + "class": "name", + "value": "AC-4 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, when transferring information between different security domains, decomposes information into \u003cinsert param-id=\"ac-4_s\"/\u003e for submission to policy enforcement mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePolicy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security domains. Parsing transfer files facilitates policy decisions on source, destination, certificates, classification, attachments, and other security-related component differentiators.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines policy-relevant subcomponents to decompose information for submission to policy enforcement mechanisms when transferring such information between different security domains; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, when transferring information between different security domains, decomposes information into organization-defined policy-relevant subcomponents for submission to policy enforcement mechanisms.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(13)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_s", + "desc": "organization-defined policy-relevant subcomponents", + "value": "organization-defined policy-relevant subcomponents" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.14.", + "title": "SECURITY POLICY FILTER CONSTRAINTS", + "props": [ + { + "class": "name", + "value": "AC-4 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, when transferring information between different security domains, implements \u003cinsert param-id=\"ac-4_t\"/\u003e requiring fully enumerated formats that restrict data structure and content.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData structure and content restrictions reduce the range of potential malicious and/or unsanctioned content in cross-domain transactions. Security policy filters that restrict data structures include, for example, restricting file sizes and field lengths. Data content policy filters include, for example: (i) encoding formats for character sets (e.g., Universal Character Set Transformation Formats, American Standard Code for Information Interchange); (ii) restricting character data fields to only contain alpha-numeric characters; (iii) prohibiting special characters; and (iv) validating schema structures.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.14.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security policy filters to be implemented that require fully enumerated formats restricting data structure and content when transferring information between different security domains; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(14)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.14.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, when transferring information between different security domains, implements organization-defined security policy filters requiring fully enumerated formats that restrict data structure and content.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(14)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security policy filters\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of data content policy filters\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_t", + "desc": "organization-defined security policy filters", + "value": "organization-defined security policy filters" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.15.", + "title": "DETECTION OF UNSANCTIONED INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-4 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, when transferring information between different security domains, examines the information for the presence of \u003cinsert param-id=\"ac-4_u\"/\u003e and prohibits the transfer of such information in accordance with the \u003cinsert param-id=\"ac-4_v\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetection of unsanctioned information includes, for example, checking all information to be transferred for malicious code and dirty words.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.15.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines unsanctioned information to be detected when transferring information between different security domains;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(15)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.15.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the security policy that requires the transfer of organization-defined unsanctioned information between different security domains to be prohibited when the presence of such information is detected; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(15)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.15.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, when transferring information between different security domains, examines the information for the presence of organization-defined unsanctioned information and prohibits the transfer of such information in accordance with the organization-defined security policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(15)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of unsanctioned information types and associated information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_u", + "desc": "organized-defined unsanctioned information", + "value": "organized-defined unsanctioned information" + }, + { + "id": "ac-4_v", + "desc": "organization-defined security policy", + "value": "organization-defined security policy" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.16.", + "title": "INFORMATION TRANSFERS ON INTERCONNECTED SYSTEMS", + "props": [ + { + "class": "name", + "value": "AC-4 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.17.", + "title": "DOMAIN AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "AC-4 (17)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system uniquely identifies and authenticates source and destination points by [Selection (one or more): organization, system, application, individual] for information transfer.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAttribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in information systems, allows the forensic reconstruction of events when required, and encourages policy compliance by attributing policy violations to specific organizations/individuals. Successful domain authentication requires that information system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system uniquely identifies and authenticates: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.17.1.", + "props": [ + { + "class": "name", + "value": "AC-4(17)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.17.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esource points for information transfer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(17)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.17.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edestination points for information transfer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(17)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.17.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eby one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(17)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.17.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(17)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.17.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esystem;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(17)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.17.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eapplication; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(17)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.17.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eindividual.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(17)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing source and destination domain identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.18.", + "title": "SECURITY ATTRIBUTE BINDING", + "props": [ + { + "class": "name", + "value": "AC-4 (18)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system binds security attributes to information using \u003cinsert param-id=\"ac-4_w\"/\u003e to facilitate information flow policy enforcement.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBinding techniques implemented by information systems affect the strength of security attribute binding to information. Binding strength and the assurance associated with binding techniques play an important part in the trust organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#sc.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.18.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines binding techniques to be used to facilitate information flow policy enforcement; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(18)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.18.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system binds security attributes to information using organization-defined binding techniques to facilitate information flow policy enforcement.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(18)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of binding techniques to bind security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_w", + "desc": "organization-defined binding techniques", + "value": "organization-defined binding techniques" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.19.", + "title": "VALIDATION OF METADATA", + "props": [ + { + "class": "name", + "value": "AC-4 (19)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires the validation of metadata and the data to which the metadata applies. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions, considering metadata and the data to which the metadata applies as part of the payload. All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security policy filtering criteria applied to metadata and data payloads\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.20.", + "title": "APPROVED SOLUTIONS", + "props": [ + { + "class": "name", + "value": "AC-4 (20)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"ac-4_x\"/\u003e to control the flow of \u003cinsert param-id=\"ac-4_y\"/\u003e across security domains.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The Unified Cross Domain Management Office (UCDMO) provides a baseline listing of approved cross-domain solutions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.20.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines solutions in approved configurations to control the flow of information across security domains;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(20)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.20.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information for which organization-defined solutions in approved configurations are to be employed to control the flow of such information across security domains; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(20)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.20.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined solutions in approved configurations to control the flow of organization-defined information across security domains.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(20)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of solutions in approved configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapproved configuration baselines\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_x", + "desc": "organization-defined solutions in approved configurations", + "value": "organization-defined solutions in approved configurations" + }, + { + "id": "ac-4_y", + "desc": "organization-defined information", + "value": "organization-defined information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.21.", + "title": "PHYSICAL / LOGICAL SEPARATION OF INFORMATION FLOWS", + "props": [ + { + "class": "name", + "value": "AC-4 (21)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system separates information flows logically or physically using \u003cinsert param-id=\"ac-4_z\"/\u003e to accomplish \u003cinsert param-id=\"ac-4_aa\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEnforcing the separation of information flows by type can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths perhaps not otherwise achievable. Types of separable information include, for example, inbound and outbound communications traffic, service requests and responses, and information of differing security categories.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.21.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the required separations of information flows by types of information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(21)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.21.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the mechanisms and/or techniques to be used to separate information flows logically or physically; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(21)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.21.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system separates information flows logically or physically using organization-defined mechanisms and/or techniques to accomplish organization-defined required separations by types of information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(21)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of required separation of information flows by information types\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of mechanisms and/or techniques used to logically or physically separate information flows\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_z", + "desc": "organization-defined mechanisms and/or techniques", + "value": "organization-defined mechanisms and/or techniques" + }, + { + "id": "ac-4_aa", + "desc": "organization-defined required separations by types of information", + "value": "organization-defined required separations by types of information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.22.", + "title": "ACCESS ONLY", + "props": [ + { + "class": "name", + "value": "AC-4 (22)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe information system, for example, provides a desktop for users to access each connected security domain without providing any mechanisms to allow transfer of information between the different security domains.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.5", + "title": "SEPARATION OF DUTIES", + "params": [ + { + "id": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "organization-defined duties of individuals" + } + ], + "props": [ + { + "class": "name", + "value": "AC-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eSeparates \u003cinsert param-id=\"ac-5_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments separation of duties of individuals; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5b." + } + ] + }, + { + "class": "item", + "id": "smm_ac-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines information system access authorizations to support separation of duties.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSeparation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example: (i) dividing mission functions and information system support functions among different individuals and/or roles; (ii) conducting information system support functions with different individuals (e.g., system management, programming, configuration management, quality assurance and testing, and network security); and (iii) ensuring security personnel administering access control functions do not also administer audit functions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + }, + { + "href": "#ps.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-5.a.", + "props": [ + { + "class": "name", + "value": "AC-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines duties of individuals to be separated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eseparates organization-defined duties of individuals;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments separation of duties; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-5.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system access authorizations to support separation of duties.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing divisions of responsibility and separation of duties\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of divisions of responsibility and separation of duties\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing separation of duties policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.6", + "title": "LEAST PRIVILEGE", + "props": [ + { + "class": "name", + "value": "AC-6" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ least privilege for specific duties and information systems. The principle of least privilege is also applied to information system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions/business functions. Organizations consider the creation of additional processes, roles, and information system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.7" + }, + { + "href": "#pl.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs the principle of least privilege, allowing only authorized access for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of assigned access authorizations (user privileges)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.6.1.", + "title": "AUTHORIZE ACCESS TO SECURITY FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization explicitly authorizes access to \u003cinsert param-id=\"ac-6_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security-relevant information for which access must be explicitly authorized;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security functions deployed in:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ehardware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.1.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[2][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eexplicitly authorizes access to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.1.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined security functions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.1.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity-relevant information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-6_a", + "desc": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information", + "value": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.2.", + "title": "NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that users of information system accounts, or roles, with access to \u003cinsert param-id=\"ac-6_b\"/\u003e, use non-privileged accounts or roles, when accessing nonsecurity functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security functions or security-relevant information to which users of information system accounts, or roles, have access; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that users of information system accounts, or roles, with access to organization-defined security functions or security-relevant information, use non-privileged accounts, or roles, when accessing nonsecurity functions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system-generated security functions or security-relevant information assigned to information system accounts or roles\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-6_b", + "desc": "organization-defined security functions or security-relevant information", + "value": "organization-defined security functions or security-relevant information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.3.", + "title": "NETWORK ACCESS TO PRIVILEGED COMMANDS", + "props": [ + { + "class": "name", + "value": "AC-6 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization authorizes network access to \u003cinsert param-id=\"ac-6_c\"/\u003e only for \u003cinsert param-id=\"ac-6_d\"/\u003e and documents the rationale for such access in the security plan for the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNetwork access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines privileged commands to which network access is to be authorized only for compelling operational needs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines compelling operational needs for which network access to organization-defined privileged commands are to be solely authorized;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes network access to organization-defined privileged commands only for organization-defined compelling operational needs; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments the rationale for authorized network access to organization-defined privileged commands in the security plan for the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(3)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of operational needs for authorizing network access to privileged commands\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-6_c", + "desc": "organization-defined privileged commands", + "value": "organization-defined privileged commands" + }, + { + "id": "ac-6_d", + "desc": "organization-defined compelling operational needs", + "value": "organization-defined compelling operational needs" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.4.", + "title": "SEPARATE PROCESSING DOMAINS", + "props": [ + { + "class": "name", + "value": "AC-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides separate processing domains to enable finer-grained allocation of user privileges.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProviding separate processing domains for finer-grained allocation of user privileges includes, for example: (i) using virtualization techniques to allow additional privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying actual machine; (ii) employing hardware and/or software domain separation mechanisms; and (iii) implementing separate physical domains.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.30" + }, + { + "href": "#sc.32" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides separate processing domains to enable finer-grained allocation of user privileges.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.5.", + "title": "PRIVILEGED ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-6 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization restricts privileged accounts on the information system to \u003cinsert param-id=\"ac-6_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided organizations retain the ability to control information system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles for which privileged accounts on the information system are to be restricted; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricts privileged accounts on the information system to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system-generated privileged accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system administration personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-6_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.6.", + "title": "PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS", + "props": [ + { + "class": "name", + "value": "AC-6 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits privileged access to the information system by non-organizational users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ia.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization prohibits privileged access to the information system by non-organizational users. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system-generated privileged accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of non-organizational users\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms prohibiting privileged access to the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.7.", + "title": "REVIEW OF USER PRIVILEGES", + "props": [ + { + "class": "name", + "value": "AC-6 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-6.7.a.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews \u003cinsert param-id=\"ac-6_f\"/\u003e the privileges assigned to \u003cinsert param-id=\"ac-6_g\"/\u003e to validate the need for such privileges; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-6.7.b.", + "prose": [ + "\u003cp class=\"description\"\u003eReassigns or removes privileges, if necessary, to correctly reflect organizational mission/business needs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6 (7)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe need for certain assigned user privileges may change over time reflecting changes in organizational missions/business function, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.7.a.", + "props": [ + { + "class": "name", + "value": "AC-6(7)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines roles or classes of users to which privileges are assigned;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(7)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the privileges assigned to organization-defined roles or classes of users to validate the need for such privileges;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(7)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.7.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the privileges assigned to organization-defined roles or classes of users with the organization-defined frequency to validate the need for such privileges; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(7)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereassigns or removes privileges, if necessary, to correctly reflect organizational missions/business needs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(7)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system-generated roles or classes of users and assigned privileges\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evalidation reviews of privileges assigned to roles or classes or users\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of privilege removals or reassignments for roles or classes of users\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing review of user privileges\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-6_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ac-6_g", + "desc": "organization-defined roles or classes of users", + "value": "organization-defined roles or classes of users" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.8.", + "title": "PRIVILEGE LEVELS FOR CODE EXECUTION", + "props": [ + { + "class": "name", + "value": "AC-6 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents \u003cinsert param-id=\"ac-6_h\"/\u003e from executing at higher privilege levels than users executing the software.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, software applications/programs need to execute with elevated privileges to perform required functions. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines software that should not execute at higher privilege levels than users executing the software; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents organization-defined software from executing at higher privilege levels than users executing the software.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(8)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of software that should not execute at higher privilege levels than users executing software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions for software execution\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-6_h", + "desc": "organization-defined software", + "value": "organization-defined software" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.9.", + "title": "AUDITING USE OF PRIVILEGED FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (9)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system audits the execution of privileged functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMisuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised information system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat (APT).\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system audits the execution of privileged functions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of privileged functions to be audited\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of audited events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms auditing the execution of least privilege functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.10.", + "title": "PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (10)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged functions include, for example, establishing information system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system prevents non-privileged users from executing privileged functions to include:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edisabling implemented security safeguards/countermeasures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecircumventing security safeguards/countermeasures; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(10)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.10.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ealtering implemented security safeguards/countermeasures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(10)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of privileged functions and associated user account assignments\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions for non-privileged users\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.7", + "title": "UNSUCCESSFUL LOGON ATTEMPTS", + "params": [ + { + "id": "ac-7_a", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "id": "ac-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "ac-7_c", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "ac-7_d", + "desc": "organization-defined delay algorithm", + "value": "organization-defined delay algorithm" + } + ], + "props": [ + { + "class": "name", + "value": "AC-7" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-7a.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces a limit of \u003cinsert param-id=\"ac-7_a\"/\u003e consecutive invalid logon attempts by a user during a \u003cinsert param-id=\"ac-7_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-7b.", + "prose": [ + "\u003cp class=\"description\"\u003eAutomatically [Selection: locks the account/node for an \u003cinsert param-id=\"ac-7_c\"/\u003e; locks the account/node until released by an administrator; delays next logon prompt according to \u003cinsert param-id=\"ac-7_d\"/\u003e] when the maximum number of unsuccessful attempts is exceeded.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by information systems are usually temporary and automatically release after a predetermined time period established by organizations. If a delay algorithm is selected, organizations may choose to employ different algorithms for different information system components based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.9" + }, + { + "href": "#ac.14" + }, + { + "href": "#ia.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-7.a.", + "props": [ + { + "class": "name", + "value": "AC-7(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the number of consecutive invalid logon attempts allowed to the information system by a user during an organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period allowed by a user of the information system for an organization-defined number of consecutive invalid logon attempts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-7.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces a limit of organization-defined number of consecutive invalid logon attempts by a user during an organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-7.b.", + "props": [ + { + "class": "name", + "value": "AC-7(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-7.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines account/node lockout time period or logon delay algorithm to be automatically enforced by the information system when the maximum number of unsuccessful logon attempts is exceeded;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-7.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, when the maximum number of unsuccessful logon attempts is exceeded, automatically:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-7.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003elocks the account/node for the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-7.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003elocks the account/node until released by an administrator; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(b)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-7.b.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edelays next logon prompt according to the organization-defined delay algorithm.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(b)[2][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing unsuccessful logon attempts\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for unsuccessful logon attempts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.7.1.", + "title": "AUTOMATIC ACCOUNT LOCK", + "props": [ + { + "class": "name", + "value": "AC-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.7.2.", + "title": "PURGE / WIPE MOBILE DEVICE", + "props": [ + { + "class": "name", + "value": "AC-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system purges/wipes information from \u003cinsert param-id=\"ac-7_e\"/\u003e based on \u003cinsert param-id=\"ac-7_f\"/\u003e after \u003cinsert param-id=\"ac-7_g\"/\u003e consecutive, unsuccessful device logon attempts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies only to mobile devices for which a logon occurs (e.g., personal digital assistants, smart phones, tablets). The logon is to the mobile device, not to any one account on the device. Therefore, successful logons to any accounts on mobile devices reset the unsuccessful logon count to zero. Organizations define information to be purged/wiped carefully in order to avoid over purging/wiping which may result in devices becoming unusable. Purging/wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#mp.5" + }, + { + "href": "#mp.6" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-7.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines mobile devices to be purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-7.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines purging/wiping requirements/techniques to be used when organization-defined mobile devices are purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-7.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the number of consecutive, unsuccessful logon attempts allowed for accessing mobile devices before the information system purges/wipes information from such devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-7.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system purges/wipes information from organization-defined mobile devices based on organization-defined purging/wiping requirements/techniques after organization-defined number of consecutive, unsuccessful logon attempts.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing unsuccessful login attempts on mobile devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of mobile devices to be purged/wiped after organization-defined consecutive, unsuccessful device logon attempts\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of purging/wiping requirements or techniques for mobile devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for unsuccessful device logon attempts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-7_e", + "desc": "organization-defined mobile devices", + "value": "organization-defined mobile devices" + }, + { + "id": "ac-7_f", + "desc": "organization-defined purging/wiping requirements/techniques", + "value": "organization-defined purging/wiping requirements/techniques" + }, + { + "id": "ac-7_g", + "desc": "organization-defined number", + "value": "organization-defined number" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.8", + "title": "SYSTEM USE NOTIFICATION", + "params": [ + { + "id": "ac-8_a", + "desc": "organization-defined system use notification message or banner", + "value": "organization-defined system use notification message or banner" + }, + { + "id": "ac-8_b", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eDisplays to users \u003cinsert param-id=\"ac-8_a\"/\u003e before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-8a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eUsers are accessing a U.S. Government information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-8a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eInformation system usage may be monitored, recorded, and subject to audit;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a.2." + } + ] + }, + { + "class": "item", + "id": "sms_ac-8a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eUnauthorized use of the information system is prohibited and subject to criminal and civil penalties; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a.3." + } + ] + }, + { + "class": "item", + "id": "sms_ac-8a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eUse of the information system indicates consent to monitoring and recording;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ac-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eRetains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8b." + } + ] + }, + { + "class": "item", + "id": "smm_ac-8c.", + "prose": [ + "\u003cp class=\"description\"\u003eFor publicly accessible systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8c." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-8c.1.", + "prose": [ + "\u003cp class=\"description\"\u003eDisplays system use information \u003cinsert param-id=\"ac-8_b\"/\u003e, before granting further access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8c.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-8c.2.", + "prose": [ + "\u003cp class=\"description\"\u003eDisplays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8c.2." + } + ] + }, + { + "class": "item", + "id": "sms_ac-8c.3.", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes a description of the authorized uses of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8c.3." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem use notifications can be implemented using messages or warning banners displayed before individuals log in to information systems. System use notifications are used only for access via logon interfaces with human users and are not required when such human interfaces do not exist. Organizations consider system use notification messages/banners displayed in multiple languages based on specific organizational needs and the demographics of information system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-8.a.", + "props": [ + { + "class": "name", + "value": "AC-8(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-8.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a system use notification message or banner to be displayed by the information system to users before granting access to the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system displays to users the organization-defined system use notification message or banner before granting access to the information system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance, and states that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-8.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eusers are accessing a U.S. Government information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(a)[2](1)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation system usage may be monitored, recorded, and subject to audit;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(a)[2](2)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eunauthorized use of the information system is prohibited and subject to criminal and civil penalties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(a)[2](3)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.a.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003euse of the information system indicates consent to monitoring and recording;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(a)[2](4)" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.c.", + "prose": [ + "\u003cp class=\"decision\"\u003efor publicly accessible systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-8.c.1.", + "props": [ + { + "class": "name", + "value": "AC-8(c)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-8.c.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines conditions for system use to be displayed by the information system before granting further access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(c)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.c.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system displays organization-defined conditions before granting further access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(c)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(c)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system includes a description of the authorized uses of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(c)(3)" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprivacy and security policies, procedures addressing system use notification\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumented approval of information system use notification messages or banners\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003euser acknowledgements of notification message or banner\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system use notification messages\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for providing legal advice\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing system use notification\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.9", + "title": "PREVIOUS LOGON (ACCESS) NOTIFICATION", + "props": [ + { + "class": "name", + "value": "AC-9" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control is applicable to logons to information systems via human user interfaces and logons to systems that occur in other types of architectures (e.g., service-oriented architectures).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.7" + }, + { + "href": "#pl.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system notification messages\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.9.1.", + "title": "UNSUCCESSFUL LOGONS", + "props": [ + { + "class": "name", + "value": "AC-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.9.2.", + "title": "SUCCESSFUL / UNSUCCESSFUL LOGONS", + "props": [ + { + "class": "name", + "value": "AC-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system notifies the user of the number of [Selection: successful logons/accesses; unsuccessful logon/access attempts; both] during \u003cinsert param-id=\"ac-9_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-9.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period within which the information system must notify the user of the number of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(2)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-9.2.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esuccessful logons/accesses; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(2)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-9.2.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eunsuccessful logon/access attempts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(2)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-9.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, during the organization-defined time period, notifies the user of the number of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(2)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-9.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esuccessful logons/accesses; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(2)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-9.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eunsuccessful logon/access attempts.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(2)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-9_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.9.3.", + "title": "NOTIFICATION OF ACCOUNT CHANGES", + "props": [ + { + "class": "name", + "value": "AC-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system notifies the user of changes to \u003cinsert param-id=\"ac-9_b\"/\u003e during \u003cinsert param-id=\"ac-9_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-9.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security-related characteristics/parameters of a user’s account;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-9.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period within which changes to organization-defined security-related characteristics/parameters of a user’s account must occur; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-9.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system notifies the user of changes to organization-defined security-related characteristics/parameters of the user’s account during the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-9_b", + "desc": "organization-defined security-related characteristics/parameters of the user�s account", + "value": "organization-defined security-related characteristics/parameters of the user�s account" + }, + { + "id": "ac-9_c", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.9.4.", + "title": "ADDITIONAL LOGON INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system notifies the user, upon successful logon (access), of the following additional information: \u003cinsert param-id=\"ac-9_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement permits organizations to specify additional information to be provided to users upon logon including, for example, the location of last logon. User location is defined as that information which can be determined by information systems, for example, IP addresses from which network logons occurred, device identifiers, or notifications of local logons.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-9.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information to be included in addition to the date and time of the last logon (access); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-9.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system notifies the user, upon successful logon (access), of the organization-defined information to be included in addition to the date and time of the last logon (access).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-9_d", + "desc": "organization-defined information to be included in addition to the date and time of the last logon (access)", + "value": "organization-defined information to be included in addition to the date and time of the last logon (access)" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.10", + "title": "CONCURRENT SESSION CONTROL", + "params": [ + { + "id": "ac-10_a", + "desc": "organization-defined account and/or account type", + "value": "organization-defined account and/or account type" + }, + { + "id": "ac-10_b", + "desc": "organization-defined number", + "value": "organization-defined number" + } + ], + "props": [ + { + "class": "name", + "value": "AC-10" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system limits the number of concurrent sessions for each \u003cinsert param-id=\"ac-10_a\"/\u003e to \u003cinsert param-id=\"ac-10_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may define the maximum number of concurrent sessions for information system accounts globally, by account type (e.g., privileged user, non-privileged user, domain, specific application), by account, or a combination. For example, organizations may limit the number of concurrent sessions for system administrators or individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003e Determine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-10-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines account and/or account types for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-10[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-10-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the number of concurrent sessions to be allowed for each organization-defined account and/or account type; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-10[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-10-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system limits the number of concurrent sessions for each organization-defined account and/or account type to the organization-defined number of concurrent sessions allowed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-10[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing concurrent session control\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for concurrent session control\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.11", + "title": "SESSION LOCK", + "params": [ + { + "id": "ac-11_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "AC-11" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-11a.", + "prose": [ + "\u003cp class=\"description\"\u003ePrevents further access to the system by initiating a session lock after \u003cinsert param-id=\"ac-11_a\"/\u003e of inactivity or upon receiving a request from a user; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-11a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-11b.", + "prose": [ + "\u003cp class=\"description\"\u003eRetains the session lock until the user reestablishes access using established identification and authentication procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-11b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSession locks are temporary actions taken when users stop work and move away from the immediate vicinity of information systems but do not want to log out because of the temporary nature of their absences. Session locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Session locks are not an acceptable substitute for logging out of information systems, for example, if organizations require users to log out at the end of workdays.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003e Determine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-11.a.", + "props": [ + { + "class": "name", + "value": "AC-11(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-11.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period of user inactivity after which the information system initiates a session lock;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-11(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-11.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents further access to the system by initiating a session lock after organization-defined time period of user inactivity or upon receiving a request from a user; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-11(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-11.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system retains the session lock until the user reestablishes access using established identification and authentication procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-11(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session lock\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for session lock\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.11.1.", + "title": "PATTERN-HIDING DISPLAYS", + "props": [ + { + "class": "name", + "value": "AC-11 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePublicly viewable images can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the additional caveat that none of the images convey sensitive information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session lock\u003c/p\u003e", + "\u003cp class=\"object\"\u003edisplay screen with session lock activated\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system session lock mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2006/m06-16.pdf", + "value": "OMB Memorandum 06-16" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.12", + "title": "SESSION TERMINATION", + "params": [ + { + "id": "ac-12_a", + "desc": "organization-defined conditions or trigger events requiring session disconnect", + "value": "organization-defined conditions or trigger events requiring session disconnect" + } + ], + "props": [ + { + "class": "name", + "value": "AC-12" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically terminates a user session after \u003cinsert param-id=\"ac-12_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the termination of user-initiated logical sessions in contrast to SC-10 which addresses the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user�s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on information system use.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.10" + }, + { + "href": "#sc.23" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-12-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines conditions or trigger events requiring session disconnect; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-12[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-12-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system automatically terminates a user session after organization-defined conditions or trigger events requiring session disconnect occurs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-12[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session termination\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of conditions or trigger events requiring session disconnect\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing user session termination\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.12.1.", + "title": "USER-INITIATED LOGOUTS / MESSAGE DISPLAYS", + "props": [ + { + "class": "name", + "value": "AC-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-12.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to \u003cinsert param-id=\"ac-12_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-12 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-12.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eDisplays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-12 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web-based services. Logout messages for web page access, for example, can be displayed after authenticated sessions have been terminated. However, for some types of interactive sessions including, for example, file transfer protocol (FTP) sessions, information systems typically send logout messages as final messages prior to terminating sessions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-12.1.a.", + "props": [ + { + "class": "name", + "value": "AC-12(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-12.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information resources for which user authentication is required to gain access to such resources;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-12(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-12.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to organization-defined information resources; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-12(1)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-12.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system displays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-12(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session termination\u003c/p\u003e", + "\u003cp class=\"object\"\u003euser logout messages\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system session lock mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-12_b", + "desc": "organization-defined information resources", + "value": "organization-defined information resources" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.13", + "title": "SUPERVISION AND REVIEW - ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "AC-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-2 and AU-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#au.6" + } + ] + }, + { + "class": "SP800-53", + "id": "ac.14", + "title": "PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION", + "params": [ + { + "id": "ac-14_a", + "desc": "organization-defined user actions", + "value": "organization-defined user actions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-14" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-14a.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies \u003cinsert param-id=\"ac-14_a\"/\u003e that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-14a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-14b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-14b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses situations in which organizations determine that no identification or authentication is required in organizational information systems. Organizations may allow a limited number of user actions without identification or authentication including, for example, when individuals access public websites or other publicly accessible federal information systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational information systems without identification and authentication and thus, the values for assignment statements can be none.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#ia.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-14.a.", + "props": [ + { + "class": "name", + "value": "AC-14(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-14.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-14(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-14.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies organization-defined user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-14(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-14.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-14(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing permitted actions without identification or authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of user actions that can be performed without identification or authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.14.1.", + "title": "NECESSARY USES", + "props": [ + { + "class": "name", + "value": "AC-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-14\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.14" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.15", + "title": "AUTOMATED MARKING", + "props": [ + { + "class": "name", + "value": "AC-15" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-3\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.3" + } + ] + }, + { + "class": "SP800-53", + "id": "ac.16", + "title": "SECURITY ATTRIBUTES", + "params": [ + { + "id": "ac-16_a", + "desc": "organization-defined types of security attributes", + "value": "organization-defined types of security attributes" + }, + { + "id": "ac-16_b", + "desc": "organization-defined security attribute values", + "value": "organization-defined security attribute values" + }, + { + "id": "ac-16_c", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + }, + { + "id": "ac-16_d", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + }, + { + "id": "ac-16_e", + "desc": "organization-defined values or ranges", + "value": "organization-defined values or ranges" + } + ], + "props": [ + { + "class": "name", + "value": "AC-16" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-16a.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides the means to associate \u003cinsert param-id=\"ac-16_a\"/\u003e having \u003cinsert param-id=\"ac-16_b\"/\u003e with information in storage, in process, and/or in transmission;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-16b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the security attribute associations are made and retained with the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16b." + } + ] + }, + { + "class": "item", + "id": "smm_ac-16c.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes the permitted \u003cinsert param-id=\"ac-16_c\"/\u003e for \u003cinsert param-id=\"ac-16_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16c." + } + ] + }, + { + "class": "item", + "id": "smm_ac-16d.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines the permitted \u003cinsert param-id=\"ac-16_e\"/\u003e for each of the established security attributes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. These attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the information system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security attributes to subjects and objects is referred to as binding and is typically inclusive of setting the attribute value and the attribute type. Security attributes when bound to data/information, enables the enforcement of information security policies for access control and information flow control, either through organizational processes or information system functions or mechanisms. The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Organizations can define the types of attributes needed for selected information systems to support missions/business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings could include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations can ensure that the security attribute values are meaningful and relevant. The term security labeling refers to the association of security attributes with subjects and objects represented by internal data structures within organizational information systems, to enable information system-based enforcement of information security policies. Security labels include, for example, access authorizations, data life cycle protection (i.e., encryption and data expiration), nationality, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. The term security marking refers to the association of security attributes with objects in a human-readable form, to enable organizational process-based enforcement of information security policies. The AC-16 base control represents the requirement for user-based attribute association (marking). The enhancements to AC-16 represent additional requirements including information system-based attribute association (labeling). Types of attributes include, for example, classification level for objects and clearance (access authorization) level for subjects. An example of a value for both of these attribute types is Top Secret.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.21" + }, + { + "href": "#au.2" + }, + { + "href": "#au.10" + }, + { + "href": "#sc.16" + }, + { + "href": "#mp.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-16.a.", + "props": [ + { + "class": "name", + "value": "AC-16(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-16.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of security attributes to be associated with information:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-16.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ein storage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ein process; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.a.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ein transmission;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security attribute values for organization-defined types of security attributes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the means to associate organization-defined types of security attributes having organization-defined security attribute values with information:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-16.a.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ein storage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.a.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ein process; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.a.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ein transmission;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the security attribute associations are made and retained with the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.c.", + "props": [ + { + "class": "name", + "value": "AC-16(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-16.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems for which the permitted organization-defined security attributes are to be established;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security attributes that are permitted for organization-defined information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes the permitted organization-defined security attributes for organization-defined information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(c)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.d.", + "props": [ + { + "class": "name", + "value": "AC-16(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-16.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines values or ranges for each of the established security attributes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines the permitted organization-defined values or ranges for each of the established security attributes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the association of security attributes to information in storage, in process, and in transmission\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational capability supporting and maintaining the association of security attributes to information in storage, in process, and in transmission\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.16.1.", + "title": "DYNAMIC ATTRIBUTE ASSOCIATION", + "props": [ + { + "class": "name", + "value": "AC-16 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system dynamically associates security attributes with \u003cinsert param-id=\"ac-16_f\"/\u003e in accordance with \u003cinsert param-id=\"ac-16_g\"/\u003e as information is created and combined.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic association of security attributes is appropriate whenever the security characteristics of information changes over time. Security attributes may change, for example, due to information aggregation issues (i.e., the security characteristics of individual information elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), and changes in the security category of information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-16.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines subjects and objects to which security attributes are to be dynamically associated as information is created and combined;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security policies requiring the information system to dynamically associate security attributes with organization-defined subjects and objects; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system dynamically associates security attributes with organization-defined subjects and objects in accordance with organization-defined security policies as information is created and combined.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing dynamic association of security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing dynamic association of security attributes to information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-16_f", + "desc": "organization-defined subjects and objects", + "value": "organization-defined subjects and objects" + }, + { + "id": "ac-16_g", + "desc": "organization-defined security policies", + "value": "organization-defined security policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.2.", + "title": "ATTRIBUTE VALUE CHANGES BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AC-16 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security attributes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#au.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides authorized individuals (or processes acting on behalf on individuals) the capability to define or change the value of associated security attributes. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the change of security attribute values\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of individuals authorized to change security attributes\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for changing values of security attributes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms permitting changes to values of security attributes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.3.", + "title": "MAINTENANCE OF ATTRIBUTE ASSOCIATIONS BY INFORMATION SYSTEM", + "props": [ + { + "class": "name", + "value": "AC-16 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system maintains the association and integrity of \u003cinsert param-id=\"ac-16_h\"/\u003e to \u003cinsert param-id=\"ac-16_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMaintaining the association and integrity of security attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. Automated policy actions include, for example, access control decisions or information flow control decisions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-16.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security attributes to be associated with organization-defined subjects and objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines subjects and objects requiring the association and integrity of security attributes to such subjects and objects to be maintained; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system maintains the association and integrity of organization-defined security attributes to organization-defined subjects and objects.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the association of security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms maintaining association and integrity of security attributes to information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-16_h", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + }, + { + "id": "ac-16_i", + "desc": "organization-defined subjects and objects", + "value": "organization-defined subjects and objects" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.4.", + "title": "ASSOCIATION OF ATTRIBUTES BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AC-16 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system supports the association of \u003cinsert param-id=\"ac-16_j\"/\u003e with \u003cinsert param-id=\"ac-16_k\"/\u003e by authorized individuals (or processes acting on behalf of individuals).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe support provided by information systems can vary to include: (i) prompting users to select specific security attributes to be associated with specific information objects; (ii) employing automated mechanisms for categorizing information with appropriate attributes based on defined policies; or (iii) ensuring that the combination of selected security attributes selected is valid. Organizations consider the creation, deletion, or modification of security attributes when defining auditable events.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-16.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security attributes to be associated with subjects and objects by authorized individuals (or processes acting on behalf of individuals);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines subjects and objects requiring the association of organization-defined security attributes by authorized individuals (or processes acting on behalf of individuals); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system supports the association of organization-defined security attributes with organization-defined subjects and objects by authorized individuals (or processes acting on behalf of individuals).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(4)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the association of security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of users authorized to associate security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for associating security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting user associations of security attributes to information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-16_j", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + }, + { + "id": "ac-16_k", + "desc": "organization-defined subjects and objects", + "value": "organization-defined subjects and objects" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.5.", + "title": "ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES", + "props": [ + { + "class": "name", + "value": "AC-16 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify \u003cinsert param-id=\"ac-16_l\"/\u003e using \u003cinsert param-id=\"ac-16_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system outputs include, for example, pages, screens, or equivalent. Information system output devices include, for example, printers and video displays on computer workstations, notebook computers, and personal digital assistants.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-16.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization identifies special dissemination, handling, or distribution instructions to be used for each object that the information system transmits to output devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization identifies human-readable, standard naming conventions for the security attributes to be displayed in human-readable form on each object that the information system transmits to output devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify organization-identified special dissemination, handling, or distribution instructions using organization-identified human readable, standard naming conventions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing display of security attributes in human-readable form\u003c/p\u003e", + "\u003cp class=\"object\"\u003especial dissemination, handling, or distribution instructions\u003c/p\u003e", + "\u003cp class=\"object\"\u003etypes of human-readable, standard naming conventions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem output devices displaying security attributes in human-readable form on each object\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-16_l", + "desc": "organization-identified special dissemination, handling, or distribution instructions", + "value": "organization-identified special dissemination, handling, or distribution instructions" + }, + { + "id": "ac-16_m", + "desc": "organization-identified human-readable, standard naming conventions", + "value": "organization-identified human-readable, standard naming conventions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.6.", + "title": "MAINTENANCE OF ATTRIBUTE ASSOCIATION BY ORGANIZATION", + "props": [ + { + "class": "name", + "value": "AC-16 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization allows personnel to associate, and maintain the association of \u003cinsert param-id=\"ac-16_n\"/\u003e with \u003cinsert param-id=\"ac-16_o\"/\u003e in accordance with \u003cinsert param-id=\"ac-16_p\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires individual users (as opposed to the information system) to maintain associations of security attributes with subjects and objects.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-16.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security attributes to be associated with subjects and objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines subjects and objects to be associated with organization-defined security attributes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(6)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.6.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security policies to allow personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(6)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.6.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eallows personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects in accordance with organization-defined security policies.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(6)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing association of security attributes with subjects and objects\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for associating and maintaining association of security attributes with subjects and objects\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting associations of security attributes to subjects and objects\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-16_n", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + }, + { + "id": "ac-16_o", + "desc": "organization-defined subjects and objects", + "value": "organization-defined subjects and objects" + }, + { + "id": "ac-16_p", + "desc": "organization-defined security policies", + "value": "organization-defined security policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.7.", + "title": "CONSISTENT ATTRIBUTE INTERPRETATION", + "props": [ + { + "class": "name", + "value": "AC-16 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides a consistent interpretation of security attributes transmitted between distributed information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn order to enforce security policies across multiple components in distributed information systems (e.g., distributed database management systems, cloud-based systems, and service-oriented architectures), organizations provide a consistent interpretation of security attributes that are used in access enforcement and flow enforcement decisions. Organizations establish agreements and processes to ensure that all distributed information system components implement security attributes with consistent interpretations in automated access/flow enforcement actions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides a consistent interpretation of security attributes transmitted between distributed information system components. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing consistent interpretation of security attributes transmitted between distributed information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for providing consistent interpretation of security attributes used in access enforcement and information flow enforcement actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access enforcement and information flow enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.8.", + "title": "ASSOCIATION TECHNIQUES / TECHNOLOGIES", + "props": [ + { + "class": "name", + "value": "AC-16 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"ac-16_q\"/\u003e with \u003cinsert param-id=\"ac-16_r\"/\u003e in associating security attributes to information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe association (i.e., binding) of security attributes to information within information systems is of significant importance with regard to conducting automated access enforcement and flow enforcement actions. The association of such security attributes can be accomplished with technologies/techniques providing different levels of assurance. For example, information systems can cryptographically bind security attributes to information using digital signatures with the supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-16.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines techniques or technologies to be implemented in associating security attributes to information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines level of assurance to be provided when the information system implements organization-defined technologies or technologies to associate security attributes to information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.8.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined techniques or technologies with organization-defined level of assurance in associating security attributes to information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(8)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing association of security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for associating security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing techniques or technologies associating security attributes to information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-16_q", + "desc": "organization-defined techniques or technologies", + "value": "organization-defined techniques or technologies" + }, + { + "id": "ac-16_r", + "desc": "organization-defined level of assurance", + "value": "organization-defined level of assurance" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.9.", + "title": "ATTRIBUTE REASSIGNMENT", + "props": [ + { + "class": "name", + "value": "AC-16 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using \u003cinsert param-id=\"ac-16_s\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eValidated re-grading mechanisms are employed by organizations to provide the requisite levels of assurance for security attribute reassignment activities. The validation is facilitated by ensuring that re-grading mechanisms are single purpose and of limited function. Since security attribute reassignments can affect security policy enforcement actions (e.g., access/flow enforcement decisions), using trustworthy re-grading mechanisms is necessary to ensure that such mechanisms perform in a consistent/correct mode of operation.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-16.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines techniques or procedures to validate re-grading mechanisms used to reassign association of security attributes with information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using organization-defined techniques or procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing reassignment of security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for reassigning association of security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing techniques or procedures for reassigning association of security attributes to information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-16_s", + "desc": "organization-defined techniques or procedures", + "value": "organization-defined techniques or procedures" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.10.", + "title": "ATTRIBUTE CONFIGURATION BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AC-16 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals only.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration of security attributes by authorized individuals\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining or changing security attributes associated with information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing capability for defining or changing security attributes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.17", + "title": "REMOTE ACCESS", + "props": [ + { + "class": "name", + "value": "AC-17" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-17a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes and documents usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-17b.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes remote access to the information system prior to allowing such connections.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRemote access is access to organizational information systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g., employing appropriate encryption techniques for confidentiality and integrity protection) may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can affect the organizational capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to information systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.20" + }, + { + "href": "#ca.3" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.8" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.8" + }, + { + "href": "#ma.4" + }, + { + "href": "#pe.17" + }, + { + "href": "#pl.4" + }, + { + "href": "#sc.10" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-17.a.", + "props": [ + { + "class": "name", + "value": "AC-17(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-17.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies the types of remote access allowed to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-17.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes for each type of remote access allowed:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-17.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eusage restrictions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-17.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003econfiguration/connection requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-17.a.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplementation guidance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[2][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-17.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments for each type of remote access allowed:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-17.a.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eusage restrictions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-17.a.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003econfiguration/connection requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-17.a.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplementation guidance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-17.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes remote access to the information system prior to allowing such connections.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing remote access implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eremote access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for managing remote access connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eRemote access management capability for the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.17.1.", + "title": "AUTOMATED MONITORING / CONTROL", + "props": [ + { + "class": "name", + "value": "AC-17 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system monitors and controls remote access methods.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated monitoring and control of remote access sessions allows organizations to detect cyber attacks and also ensure ongoing compliance with remote access policies by auditing connection activities of remote users on a variety of information system components (e.g., servers, workstations, notebook computers, smart phones, and tablets).\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system monitors and controls remote access methods. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms monitoring and controlling remote access methods\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.2.", + "title": "PROTECTION OF CONFIDENTIALITY / INTEGRITY USING ENCRYPTION", + "props": [ + { + "class": "name", + "value": "AC-17 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe encryption strength of mechanism is selected based on the security categorization of the information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms protecting confidentiality and integrity of remote access sessions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.3.", + "title": "MANAGED ACCESS CONTROL POINTS", + "props": [ + { + "class": "name", + "value": "AC-17 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system routes all remote accesses through \u003cinsert param-id=\"ac-17_a\"/\u003e managed network access control points.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLimiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the Trusted Internet Connections (TIC) initiative requirements for external network connections.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-17.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the number of managed network access control points through which all remote accesses are to be routed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-17.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system routes all remote accesses through the organization-defined number of managed network access control points.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of all managed network access control points\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms routing all remote accesses through managed network access control points\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-17_a", + "desc": "organization-defined number", + "value": "organization-defined number" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.4.", + "title": "PRIVILEGED COMMANDS / ACCESS", + "props": [ + { + "class": "name", + "value": "AC-17 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-17.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes the execution of privileged commands and access to security-relevant information via remote access only for \u003cinsert param-id=\"ac-17_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-17.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments the rationale for such access in the security plan for the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17 (4)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-17.4.a.", + "props": [ + { + "class": "name", + "value": "AC-17(4)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-17.4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines needs to authorize the execution of privileged commands and access to security-relevant information via remote access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(4)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-17.4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes the execution of privileged commands and access to security-relevant information via remote access only for organization-defined needs; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(4)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-17.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments the rationale for such access in the information system security plan.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(4)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing remote access management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-17_b", + "desc": "organization-defined needs", + "value": "organization-defined needs" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.5.", + "title": "MONITORING FOR UNAUTHORIZED CONNECTIONS", + "props": [ + { + "class": "name", + "value": "AC-17 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.6.", + "title": "PROTECTION OF INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-17 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#ps.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for implementing or monitoring remote access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system users with knowledge of information about remote access mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.7.", + "title": "ADDITIONAL PROTECTION FOR SECURITY FUNCTION ACCESS", + "props": [ + { + "class": "name", + "value": "AC-17 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-3 (10)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.3.10." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.8.", + "title": "DISABLE NONSECURE NETWORK PROTOCOLS", + "props": [ + { + "class": "name", + "value": "AC-17 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.9.", + "title": "DISCONNECT / DISABLE ACCESS", + "props": [ + { + "class": "name", + "value": "AC-17 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides the capability to expeditiously disconnect or disable remote access to the information system within \u003cinsert param-id=\"ac-17_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the information system and/or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions/business functions and the need to eliminate immediate or future remote access to organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-17.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which to expeditiously disconnect or disable remote access to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-17.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the capability to expeditiously disconnect or disable remote access to the information system within the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing disconnecting or disabling remote access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan, information system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing capability to disconnect or disable remote access to information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-17_c", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-46", + "value": "NIST Special Publication 800-46" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-77", + "value": "NIST Special Publication 800-77" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-113", + "value": "NIST Special Publication 800-113" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-114", + "value": "NIST Special Publication 800-114" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-121", + "value": "NIST Special Publication 800-121" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.18", + "title": "WIRELESS ACCESS", + "props": [ + { + "class": "name", + "value": "AC-18" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-18a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes usage restrictions, configuration/connection requirements, and implementation guidance for wireless access; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-18b.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes wireless access to the information system prior to allowing such connections.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.19" + }, + { + "href": "#ca.3" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.8" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.8" + }, + { + "href": "#pl.4" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-18.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes for wireless access:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-18.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eusage restrictions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-18.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econfiguration/connection requirement;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-18.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplementation guidance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-18.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes wireless access to the information system prior to allowing such connections.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless access implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewireless access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for managing wireless access connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eWireless access management capability for the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.18.1.", + "title": "AUTHENTICATION AND ENCRYPTION", + "props": [ + { + "class": "name", + "value": "AC-18 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects wireless access to the system using authentication of [Selection (one or more): users; devices] and encryption.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system protects wireless access to the system using encryption and one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-18.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthentication of users; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-18.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthentication of devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing wireless access protections to the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.18.2.", + "title": "MONITORING UNAUTHORIZED CONNECTIONS", + "props": [ + { + "class": "name", + "value": "AC-18 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.18.3.", + "title": "DISABLE WIRELESS NETWORKING", + "props": [ + { + "class": "name", + "value": "AC-18 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms managing the disabling of wireless networking capabilities internally embedded within information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.18.4.", + "title": "RESTRICT CONFIGURATIONS BY USERS", + "props": [ + { + "class": "name", + "value": "AC-18 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies and explicitly authorizes users allowed to independently configure wireless networking capabilities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#sc.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-18.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies users allowed to independently configure wireless networking capabilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-18.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eexplicitly authorizes the identified users allowed to independently configure wireless networking capabilities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms authorizing independent user configuration of wireless networking capabilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.18.5.", + "title": "ANTENNAS / TRANSMISSION POWER LEVELS", + "props": [ + { + "class": "name", + "value": "AC-18 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization selects radio antennas and calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eActions that may be taken by organizations to limit unauthorized use of wireless communications outside of organization-controlled boundaries include, for example: (i) reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be used by adversaries outside of the physical perimeters of organizations; (ii) employing measures such as TEMPEST to control wireless emanations; and (iii) using directional/beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational information systems as well as other systems that may be operating in the area.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-18.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eselects radio antennas to reduce the probability that usable signals can be received outside of organization-controlled boundaries; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-18.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecalibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eWireless access capability protecting usable signals from unauthorized access outside organization-controlled boundaries\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-48", + "value": "NIST Special Publication 800-48" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-94", + "value": "NIST Special Publication 800-94" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-97", + "value": "NIST Special Publication 800-97" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.19", + "title": "ACCESS CONTROL FOR MOBILE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-19" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-19a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-19b.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes the connection of mobile devices to organizational information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA mobile device is a computing device that: (i) has a small form factor such that it can easily be carried by a single individual; (ii) is designed to operate without a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, non-removable or removable data storage; and (iv) includes a self-contained power source. Mobile devices may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually in close proximity to the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of desktop systems, depending upon the nature and intended purpose of the device. Due to the large variety of mobile devices with different technical characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards and countermeasures for mobile devices are reflected in other security controls in the catalog allocated in the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some degree of overlap in the requirements articulated by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.7" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.20" + }, + { + "href": "#ca.9" + }, + { + "href": "#cm.2" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#pl.4" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.43" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003e Determine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-19.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes for organization-controlled mobile devices:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-19.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eusage restrictions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-19.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econfiguration/connection requirement;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-19.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplementation guidance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-19.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes the connection of mobile devices to organizational information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access control for mobile device usage (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorizations for mobile device connections to organizational information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel using mobile devices to access organizational information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control capability authorizing mobile device connections to organizational information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.19.1.", + "title": "USE OF WRITABLE / PORTABLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-19 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.19.2.", + "title": "USE OF PERSONALLY OWNED PORTABLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-19 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.19.3.", + "title": "USE OF PORTABLE STORAGE DEVICES WITH NO IDENTIFIABLE OWNER", + "props": [ + { + "class": "name", + "value": "AC-19 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.19.4.", + "title": "RESTRICTIONS FOR CLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-19 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-19.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eProhibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-19.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)" + } + ], + "parts": [ + { + "class": "item", + "id": "s_sms_ac-19.4.b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eConnection of unclassified mobile devices to classified information systems is prohibited;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(1)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ac-19.4.b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eConnection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(2)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ac-19.4.b.3.", + "prose": [ + "\u003cp class=\"description\"\u003eUse of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(3)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ac-19.4.b.4.", + "prose": [ + "\u003cp class=\"description\"\u003eUnclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by \u003cinsert param-id=\"ac-19_a\"/\u003e, and if classified information is found, the incident handling policy is followed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(4)" + } + ] + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-19.4.c.", + "prose": [ + "\u003cp class=\"description\"\u003eRestricts the connection of classified mobile devices to classified information systems in accordance with \u003cinsert param-id=\"ac-19_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ca.6" + }, + { + "href": "#ir.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-19.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-19.4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003econnection of unclassified mobile devices to classified information systems is prohibited;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(1)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econnection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(2)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003euse of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(3)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.b.4.", + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(4)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-19.4.b.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security officials responsible for reviews and inspections of unclassified mobile devices and the information stored on those devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.b.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eunclassified mobile devices and the information stored on those devices are subject to random reviews/inspections by organization-defined security officials;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.b.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe incident handling policy is followed if classified information is found;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(4)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.c.", + "props": [ + { + "class": "name", + "value": "AC-19(4)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-19.4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security policies to restrict the connection of classified mobile devices to classified information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricts the connection of classified mobile devices to classified information systems in accordance with organization-defined security policies.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident handling policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access control for mobile devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidentiary documentation for random inspections and reviews of mobile devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel responsible for random reviews/inspections of mobile devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel using mobile devices in facilities containing information systems processing, storing, or transmitting classified information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms prohibiting the use of internal or external modems or wireless interfaces with mobile devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-19_a", + "desc": "organization-defined security officials", + "value": "organization-defined security officials" + }, + { + "id": "ac-19_b", + "desc": "organization-defined security policies", + "value": "organization-defined security policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.19.5.", + "title": "FULL DEVICE / CONTAINER-BASED ENCRYPTION", + "props": [ + { + "class": "name", + "value": "AC-19 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs [Selection: full-device encryption; container encryption] to protect the confidentiality and integrity of information on \u003cinsert param-id=\"ac-19_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContainer-based encryption provides a more fine-grained approach to the encryption of data/information on mobile devices, including for example, encrypting selected data structures such as files, records, or fields.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.5" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.28" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-19.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines mobile devices for which full-device encryption or container encryption is required to protect the confidentiality and integrity of information on such devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys full-device encryption or container encryption to protect the confidentiality and integrity of information on organization-defined mobile devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access control for mobile devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eencryption mechanism s and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access control responsibilities for mobile devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eEncryption mechanisms protecting confidentiality and integrity of information on mobile devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-19_c", + "desc": "organization-defined mobile devices", + "value": "organization-defined mobile devices" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2006/m06-16.pdf", + "value": "OMB Memorandum 06-16" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-114", + "value": "NIST Special Publication 800-114" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-124", + "value": "NIST Special Publication 800-124" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-164", + "value": "NIST Special Publication 800-164" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.20", + "title": "USE OF EXTERNAL INFORMATION SYSTEMS", + "props": [ + { + "class": "name", + "value": "AC-20" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-20a.", + "prose": [ + "\u003cp class=\"description\"\u003eAccess the information system from external information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-20b.", + "prose": [ + "\u003cp class=\"description\"\u003eProcess, store, or transmit organization-controlled information using external information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal information systems are information systems or components of information systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External information systems include, for example: (i) personally owned information systems/devices (e.g., notebook computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, train stations, convention centers, shopping malls, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of organizations. This control also addresses the use of external information systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) from organizational information systems. For some external information systems (i.e., information systems operated by other federal agencies, including organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Information systems within these organizations would not be considered external. These situations occur when, for example, there are pre-existing sharing/trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational information systems and over which organizations have the authority to impose rules of behavior with regard to system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending upon the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. This control does not apply to the use of external information systems to access public interfaces to organizational information systems (e.g., individuals accessing federal information through www.usa.gov). Organizations establish terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: types of applications that can be accessed on organizational information systems from external information systems; and the highest security category of information that can be processed, stored, or transmitted on external information systems. If terms and conditions with the owners of external information systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.19" + }, + { + "href": "#ca.3" + }, + { + "href": "#pl.4" + }, + { + "href": "#sa.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-20.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess the information system from the external information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-20.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprocess, store, or transmit organization-controlled information using external information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the use of external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal information systems terms and conditions\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of types of applications accessible from external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaximum security categorization for information processed, stored, or transmitted on external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining terms and conditions for use of external information systems to access organizational systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing terms and conditions on use of external information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.20.1.", + "title": "LIMITS ON AUTHORIZED USE", + "props": [ + { + "class": "name", + "value": "AC-20 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-20.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eVerifies the implementation of required security controls on the external system as specified in the organization�s information security policy and security plan; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-20.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eRetains approved information system connection or processing agreements with the organizational entity hosting the external information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement recognizes that there are circumstances where individuals using external information systems (e.g., contractors, coalition partners) need to access organizational information systems. In those situations, organizations need confidence that the external information systems contain the necessary security safeguards (i.e., security controls), so as not to compromise, damage, or otherwise harm organizational information systems. Verification that the required security controls have been implemented can be achieved, for example, by third-party, independent assessments, attestations, or other means, depending on the confidence level required by organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-20.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003everifies the implementation of required security controls on the external system as specified in the organization’s information security policy and security plan; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20(1)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-20.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains approved information system connection or processing agreements with the organizational entity hosting the external information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the use of external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system connection or processing agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccount management documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing limits on use of external information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.20.2.", + "title": "PORTABLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-20 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization [Selection: restricts; prohibits] the use of organization-controlled portable storage devices by authorized individuals on external information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLimits on the use of organization-controlled portable storage devices in external information systems include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization restricts or prohibits the use of organization-controlled portable storage devices by authorized individuals on external information systems. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the use of external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system connection or processing agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccount management documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for restricting or prohibiting use of organization-controlled storage devices on external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing restrictions on use of portable storage devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.20.3.", + "title": "NON-ORGANIZATIONALLY OWNED SYSTEMS / COMPONENTS / DEVICES", + "props": [ + { + "class": "name", + "value": "AC-20 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization [Selection: restricts; prohibits] the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNon-organizationally owned devices include devices owned by other organizations (e.g., federal/state agencies, contractors) and personally owned devices. There are risks to using non-organizationally owned devices. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, it may be such that the use of non-organizationally owned devices is allowed but restricted in some way. Restrictions include, for example: (i) requiring the implementation of organization-approved security controls prior to authorizing such connections; (ii) limiting access to certain types of information, services, or applications; (iii) using virtualization techniques to limit processing and storage activities to servers or other system components provisioned by the organization; and (iv) agreeing to terms and conditions for usage. For personally owned devices, organizations consult with the Office of the General Counsel regarding legal issues associated with using such devices in operational environments, including, for example, requirements for conducting forensic analyses during investigations after an incident.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization restricts or prohibits the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the use of external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system connection or processing agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccount management documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records, other relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for restricting or prohibiting use of non-organizationally owned information systems, system components, or devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing restrictions on the use of non-organizationally owned systems/components/devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.20.4.", + "title": "NETWORK ACCESSIBLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-20 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the use of \u003cinsert param-id=\"ac-20_a\"/\u003e in external information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNetwork accessible storage devices in external information systems include, for example, online storage devices in public, hybrid, or community cloud-based systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-20.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines network accessible storage devices to be prohibited from use in external information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-20.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the use of organization-defined network accessible storage devices in external information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing use of network accessible storage devices in external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan, information system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system connection or processing agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of network accessible storage devices prohibited from use in external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for prohibiting use of network accessible storage devices in external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms prohibiting the use of network accessible storage devices in external information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-20_a", + "desc": "organization-defined network accessible storage devices", + "value": "organization-defined network accessible storage devices" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.21", + "title": "INFORMATION SHARING", + "params": [ + { + "id": "ac-21_a", + "desc": "organization-defined information sharing circumstances where user discretion is required", + "value": "organization-defined information sharing circumstances where user discretion is required" + }, + { + "id": "ac-21_b", + "desc": "organization-defined automated mechanisms or manual processes", + "value": "organization-defined automated mechanisms or manual processes" + } + ], + "props": [ + { + "class": "name", + "value": "AC-21" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-21a.", + "prose": [ + "\u003cp class=\"description\"\u003eFacilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for \u003cinsert param-id=\"ac-21_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-21b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"ac-21_b\"/\u003e to assist users in making information sharing/collaboration decisions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to information that may be restricted in some manner (e.g., privileged medical information, contract-sensitive information, proprietary information, personally identifiable information, classified information related to special access programs or compartments) based on some formal or administrative determination. Depending on the particular information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-21.a.", + "props": [ + { + "class": "name", + "value": "AC-21(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-21.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information sharing circumstances where user discretion is required;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-21.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003efacilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for organization-defined information sharing circumstances;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-21.b.", + "props": [ + { + "class": "name", + "value": "AC-21(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-21.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines automated mechanisms or manual processes to be employed to assist users in making information sharing/collaboration decisions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-21.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined automated mechanisms or manual processes to assist users in making information sharing/collaboration decisions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user-based collaboration and information sharing (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of users authorized to make information sharing/collaboration decisions\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information sharing circumstances requiring user discretion\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel responsible for making information sharing/collaboration decisions\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms or manual process implementing access authorizations supporting information sharing/user collaboration decisions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.21.1.", + "title": "AUTOMATED DECISION SUPPORT", + "props": [ + { + "class": "name", + "value": "AC-21 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system enforces information-sharing decisions by authorized users based on: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-21.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess authorizations of sharing partners; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-21.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess restrictions on information to be shared.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user-based collaboration and information sharing (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of users authorized to make information sharing/collaboration decisions\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of sharing partners and access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of access restrictions regarding information to be shared\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access authorizations supporting information sharing/user collaboration decisions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.21.2.", + "title": "INFORMATION SEARCH AND RETRIEVAL", + "props": [ + { + "class": "name", + "value": "AC-21 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements information search and retrieval services that enforce \u003cinsert param-id=\"ac-21_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-21.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information sharing restrictions to be enforced through information search and retrieval services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-21.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements information search and retrieval services that enforce organization-defined information sharing restrictions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user-based collaboration and information sharing (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of access restrictions regarding information to be shared\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation search and retrieval records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities for information system search and retrieval services\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system search and retrieval services enforcing information sharing restrictions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-21_c", + "desc": "organization-defined information sharing restrictions", + "value": "organization-defined information sharing restrictions" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.22", + "title": "PUBLICLY ACCESSIBLE CONTENT", + "params": [ + { + "id": "ac-22_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AC-22" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-22a.", + "prose": [ + "\u003cp class=\"description\"\u003eDesignates individuals authorized to post information onto a publicly accessible information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-22b.", + "prose": [ + "\u003cp class=\"description\"\u003eTrains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22b." + } + ] + }, + { + "class": "item", + "id": "smm_ac-22c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22c." + } + ] + }, + { + "class": "item", + "id": "smm_ac-22d.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the content on the publicly accessible information system for nonpublic information \u003cinsert param-id=\"ac-22_a\"/\u003e and removes such information, if discovered.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn accordance with federal laws, Executive Orders, directives, policies, regulations, standards, and/or guidance, the general public is not authorized access to nonpublic information (e.g., information protected under the Privacy Act and proprietary information). This control addresses information systems that are controlled by the organization and accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by organizational policy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#au.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-22.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edesignates individuals authorized to post information onto a publicly accessible information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-22.b.", + "prose": [ + "\u003cp class=\"decision\"\u003etrains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-22.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-22.d.", + "props": [ + { + "class": "name", + "value": "AC-22(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-22.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the content on the publicly accessible information system for nonpublic information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-22.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the content on the publicly accessible information system for nonpublic information with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-22.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves nonpublic information from the publicly accessible information system, if discovered.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22(d)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing publicly accessible content\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of users authorized to post publicly accessible content on organizational information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining materials and/or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of publicly accessible information reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of response to nonpublic information on public websites\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem audit logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for managing publicly accessible information posted on organizational information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing management of publicly accessible content\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.23", + "title": "DATA MINING PROTECTION", + "params": [ + { + "id": "ac-23_a", + "desc": "organization-defined data mining prevention and detection techniques", + "value": "organization-defined data mining prevention and detection techniques" + }, + { + "id": "ac-23_b", + "desc": "organization-defined data storage objects", + "value": "organization-defined data storage objects" + } + ], + "props": [ + { + "class": "name", + "value": "AC-23" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"ac-23_a\"/\u003e for \u003cinsert param-id=\"ac-23_b\"/\u003e to adequately detect and protect against data mining.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData storage objects include, for example, databases, database records, and database fields. Data mining prevention and detection techniques include, for example: (i) limiting the types of responses provided to database queries; (ii) limiting the number/frequency of database queries to increase the work factor needed to determine the contents of such databases; and (iii) notifying organizational personnel when atypical database queries or accesses occur. This control focuses on the protection of organizational information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is now available as open source information residing on external sites, for example, through social networking or social media websites.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003e Determine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-23-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines data mining prevention and detection techniques to be employed for organization-defined storage objects to adequately detect and protect against data mining;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-23[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-23-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines data storage objects to be protected from data mining; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-23[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-23-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined data mining prevention and detection techniques for organization-defined data storage objects to adequately detect and protect against data mining.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-23[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing data mining techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of data storage objects against data mining\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for implementing data mining detection and prevention techniques for data storage objects\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing data mining prevention and detection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.24", + "title": "ACCESS CONTROL DECISIONS", + "params": [ + { + "id": "ac-24_a", + "desc": "organization-defined access control decisions", + "value": "organization-defined access control decisions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-24" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes procedures to ensure \u003cinsert param-id=\"ac-24_a\"/\u003e are applied to each access request prior to access enforcement.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAccess control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when information systems enforce access control decisions. While it is very common to have access control decisions and access enforcement implemented by the same entity, it is not required and it is not always an optimal implementation choice. For some architectures and distributed information systems, different entities may perform access control decisions and access enforcement.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-24-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines access control decisions to be applied to each access request prior to access control enforcement; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-24-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes procedures to ensure organization-defined access control decisions are applied to each access request prior to access control enforcement.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access control decisions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for establishing procedures regarding access control decisions to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms applying established access control decisions and procedures\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.24.1.", + "title": "TRANSMIT ACCESS AUTHORIZATION INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-24 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system transmits \u003cinsert param-id=\"ac-24_b\"/\u003e using \u003cinsert param-id=\"ac-24_c\"/\u003e to \u003cinsert param-id=\"ac-24_d\"/\u003e that enforce access control decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn distributed information systems, authorization processes and access control decisions may occur in separate parts of the systems. In such instances, authorization information is transmitted securely so timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information, supporting security attributes. This is due to the fact that in distributed information systems, there are various access control decisions that need to be made and different entities (e.g., services) make these decisions in a serial fashion, each requiring some security attributes to make the decisions. Protecting access authorization information (i.e., access control decisions) ensures that such information cannot be altered, spoofed, or otherwise compromised during transmission.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-24.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines access authorization information that the information system transmits to organization-defined information systems that enforce access control decisions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-24.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be used when the information system transmits organization-defined authorization information to organization-defined information systems that enforce access control decisions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-24.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the information systems that enforce access control decisions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-24.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system transmits organization-defined access authorization information using organization-defined security safeguards to organization-defined information systems that enforce access control decisions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24(1)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-24_b", + "desc": "organization-defined access authorization information", + "value": "organization-defined access authorization information" + }, + { + "id": "ac-24_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "ac-24_d", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.24.2.", + "title": "NO USER OR PROCESS IDENTITY", + "props": [ + { + "class": "name", + "value": "AC-24 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces access control decisions based on \u003cinsert param-id=\"ac-24_e\"/\u003e that do not include the identity of the user or process acting on behalf of the user.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions and, especially in the case of distributed information systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-24.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security attributes that support access control decisions that do not include the identity of the user or processes acting on behalf of the user; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-24.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces access control decisions based on organization-defined security attributes that do not include the identity of the user or process acting on behalf of the user.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-24_e", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.25", + "title": "REFERENCE MONITOR", + "params": [ + { + "id": "ac-25_a", + "desc": "organization-defined access control policies", + "value": "organization-defined access control policies" + } + ], + "props": [ + { + "class": "name", + "value": "AC-25" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements a reference monitor for \u003cinsert param-id=\"ac-25_a\"/\u003e that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Reference monitors typically enforce mandatory access control policies�a type of access control that restricts access to objects based on the identity of subjects or groups to which the subjects belong. The access controls are mandatory because subjects with certain privileges (i.e., access permissions) are restricted from passing those privileges on to any other subjects, either directly or indirectly�that is, the information system strictly enforces the access control policy based on the rule set established by the policy. The tamperproof property of the reference monitor prevents adversaries from compromising the functioning of the mechanism. The always invoked property prevents adversaries from bypassing the mechanism and hence violating the security policy. The smallness property helps to ensure the completeness in the analysis and testing of the mechanism to detect weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.16" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.39" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003e Determine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-25-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines access control policies for which the information system implements a reference monitor to enforce such policies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-25[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-25-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements a reference monitor for organization-defined access control policies that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-25[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "AWARENESS AND TRAINING", + "controls": [ + { + "class": "SP800-53", + "id": "at.1", + "title": "SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES", + "params": [ + { + "id": "at-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "at-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "at-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_at-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"at-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_at-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_at-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_at-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_at-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity awareness and training policy \u003cinsert param-id=\"at-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_at-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity awareness and training procedures \u003cinsert param-id=\"at-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.a.1.", + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an security awareness and training policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the security awareness and training policy are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the security awareness and training policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.2.", + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the security awareness and training policy and associated awareness and training controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.b.1.", + "props": [ + { + "class": "name", + "value": "AT-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current security awareness and training policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current security awareness and training policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.b.2.", + "props": [ + { + "class": "name", + "value": "AT-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current security awareness and training procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current security awareness and training procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security awareness and training responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-16", + "value": "NIST Special Publication 800-16" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "at.2", + "title": "SECURITY AWARENESS TRAINING", + "params": [ + { + "id": "at-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides basic security awareness training to information system users (including managers, senior executives, and contractors):\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_at-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eAs part of initial training for new users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2a." + } + ] + }, + { + "class": "item", + "id": "smm_at-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2b." + } + ] + }, + { + "class": "item", + "id": "smm_at-2c.", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"at-2_a\"/\u003e thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the appropriate content of security awareness training and security awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#at.4" + }, + { + "href": "#pl.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides basic security awareness training to information system users (including managers, senior executives, and contractors) as part of initial training for new users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_at-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides basic security awareness training to information system users (including managers, senior executives, and contractors) when required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_at-2.c.", + "props": [ + { + "class": "name", + "value": "AT-2(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide refresher security awareness training thereafter to information system users (including managers, senior executives, and contractors); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides refresher security awareness training to information users (including managers, senior executives, and contractors) with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eappropriate codes of federal regulations\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel comprising the general information system user community\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms managing security awareness training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "at.2.1.", + "title": "PRACTICAL EXERCISES", + "props": [ + { + "class": "name", + "value": "AT-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes practical exercises in security awareness training that simulate actual cyber attacks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePractical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cp.4" + }, + { + "href": "#ir.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes practical exercises in security awareness training that simulate actual cyber attacks. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel that participate in security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing cyber attack simulations in practical exercises\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.2.2.", + "title": "INSIDER THREAT", + "props": [ + { + "class": "name", + "value": "AT-2 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes security awareness training on recognizing and reporting potential indicators of insider threat.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePotential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to information not required for job performance, unexplained access to financial resources, bullying or sexual harassment of fellow employees, workplace violence, and other serious violations of organizational policies, procedures, directives, rules, or practices. Security awareness training includes how to communicate employee and management concerns regarding potential indicators of insider threat through appropriate organizational channels in accordance with established organizational policies and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.4" + }, + { + "href": "#pm.12" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes security awareness training on recognizing and reporting potential indicators of insider threat. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel that participate in security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for basic security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.gpo.gov/fdsys/granule/CFR-2009-title5-vol2/CFR-2009-title5-vol2-sec930-301/content-detail.html", + "value": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net", + "value": "Executive Order 13587" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "at.3", + "title": "ROLE-BASED SECURITY TRAINING", + "params": [ + { + "id": "at-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides role-based security training to personnel with assigned security roles and responsibilities:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_at-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eBefore authorizing access to the information system or performing assigned duties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3a." + } + ] + }, + { + "class": "item", + "id": "smm_at-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3b." + } + ] + }, + { + "class": "item", + "id": "smm_at-3c.", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"at-3_a\"/\u003e thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the appropriate content of security training based on the assigned roles and responsibilities of individuals and the specific security requirements of organizations and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include for example, policies, procedures, tools, and artifacts for the organizational security roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of organizational information security programs. Role-based security training also applies to contractors providing services to federal agencies.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.4" + }, + { + "href": "#pl.4" + }, + { + "href": "#ps.7" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides role-based security training to personnel with assigned security roles and responsibilities before authorizing access to the information system or performing assigned duties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_at-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides role-based security training to personnel with assigned security roles and responsibilities when required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_at-3.c.", + "props": [ + { + "class": "name", + "value": "AT-3(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-3.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide refresher role-based security training thereafter to personnel with assigned security roles and responsibilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-3.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides refresher role-based security training to personnel with assigned security roles and responsibilities with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecodes of federal regulations\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with assigned information system security roles and responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms managing role-based security training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "at.3.1.", + "title": "ENVIRONMENTAL CONTROLS", + "props": [ + { + "class": "name", + "value": "AT-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides \u003cinsert param-id=\"at-3_b\"/\u003e with initial and \u003cinsert param-id=\"at-3_c\"/\u003e training in the employment and operation of environmental controls.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEnvironmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the facility. Organizations identify personnel with specific roles and responsibilities associated with environmental controls requiring specialized training.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.1" + }, + { + "href": "#pe.13" + }, + { + "href": "#pe.14" + }, + { + "href": "#pe.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_at-3.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be provided with initial and refresher training in the employment and operation of environmental controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides organization-defined personnel or roles with initial and refresher training in the employment and operation of environmental controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide refresher training in the employment and operation of environmental controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides refresher training in the employment and operation of environmental controls with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(1)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for employing and operating environmental controls\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "at-3_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "at-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.3.2.", + "title": "PHYSICAL SECURITY CONTROLS", + "props": [ + { + "class": "name", + "value": "AT-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides \u003cinsert param-id=\"at-3_d\"/\u003e with initial and \u003cinsert param-id=\"at-3_e\"/\u003e training in the employment and operation of physical security controls.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring/surveillance equipment, and security guards (deployment and operating procedures). Organizations identify personnel with specific roles and responsibilities associated with physical security controls requiring specialized training.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + }, + { + "href": "#pe.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_at-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be provided with initial and refresher training in the employment and operation of physical security controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides organization-defined personnel or roles with initial and refresher training in the employment and operation of physical security controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide refresher training in the employment and operation of physical security controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides refresher training in the employment and operation of physical security controls with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for employing and operating physical security controls\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "at-3_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "at-3_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.3.3.", + "title": "PRACTICAL EXERCISES", + "props": [ + { + "class": "name", + "value": "AT-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes practical exercises in security training that reinforce training objectives.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePractical exercises may include, for example, security training for software developers that includes simulated cyber attacks exploiting common software vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted at senior leaders/executives. These types of practical exercises help developers better understand the effects of such vulnerabilities and appreciate the need for security coding standards and processes.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes practical exercises in security training that reinforce training objectives. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel that participate in security awareness training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.3.4.", + "title": "SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR", + "props": [ + { + "class": "name", + "value": "AT-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides training to its personnel on \u003cinsert param-id=\"at-3_f\"/\u003e to recognize suspicious communications and anomalous behavior in organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA well-trained workforce provides another organizational safeguard that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming in to organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to such suspicious email or web communications (e.g., not opening attachments, not clicking on embedded web links, and checking the source of email addresses). For this process to work effectively, all organizational personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in organizational information systems can potentially provide early warning for the presence of malicious code. Recognition of such anomalous behavior by organizational personnel can supplement automated malicious code detection and protection tools and systems employed by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_at-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines indicators of malicious code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides training to its personnel on organization-defined indicators of malicious code to recognize suspicious communications and anomalous behavior in organizational information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel that participate in security awareness training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "at-3_f", + "desc": "organization-defined indicators of malicious code", + "value": "organization-defined indicators of malicious code" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.gpo.gov/fdsys/granule/CFR-2009-title5-vol2/CFR-2009-title5-vol2-sec930-301/content-detail.html", + "value": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-16", + "value": "NIST Special Publication 800-16" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "at.4", + "title": "SECURITY TRAINING RECORDS", + "params": [ + { + "id": "at-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "AT-4" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_at-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments and monitors individual information system security training activities including basic security awareness training and specific information system security training; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4a." + } + ] + }, + { + "class": "item", + "id": "smm_at-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eRetains individual training records for \u003cinsert param-id=\"at-4_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDocumentation for specialized training may be maintained by individual supervisors at the option of the organization.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#pm.14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.a.", + "props": [ + { + "class": "name", + "value": "AT-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments individual information system security training activities including:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ebasic security awareness training;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-4.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003especific role-based information system security training;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors individual information system security training activities including:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ebasic security awareness training;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-4.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003especific role-based information system security training;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-4.b.", + "props": [ + { + "class": "name", + "value": "AT-4(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period to retain individual training records; 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and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_au-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_au-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_au-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAudit and accountability policy \u003cinsert param-id=\"au-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_au-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eAudit and accountability procedures \u003cinsert param-id=\"au-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-1.a.1.", + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an audit and accountability policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the audit and accountability policy are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the audit and accountability policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.2.", + "props": [ + { + "class": "name", + "value": "AU-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.b.1.", + "props": [ + { + "class": "name", + "value": "AU-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current audit and accountability policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current audit and accountability policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.b.2.", + "props": [ + { + "class": "name", + "value": "AU-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current audit and accountability procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current audit and accountability procedures in accordance with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "au.2", + "title": "AUDIT EVENTS", + "params": [ + { + "id": "au-2_a", + "desc": "organization-defined auditable events", + "value": "organization-defined auditable events" + }, + { + "id": "au-2_b", + "desc": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event", + "value": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event" + } + ], + "props": [ + { + "class": "name", + "value": "AU-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_au-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines that the information system is capable of auditing the following events: \u003cinsert param-id=\"au-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2a." + } + ] + }, + { + "class": "item", + "id": "smm_au-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2b." + } + ] + }, + { + "class": "item", + "id": "smm_au-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2c." + } + ] + }, + { + "class": "item", + "id": "smm_au-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines that the following events are to be audited within the information system: \u003cinsert param-id=\"au-2_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAn event is any observable occurrence in an organizational information system. Organizations identify audit events as those events which are significant and relevant to the security of information systems and the environments in which those systems operate in order to meet specific and ongoing audit needs. Audit events can include, for example, password changes, failed logons, or failed accesses related to information systems, administrative privilege usage, PIV credential usage, or third-party credential usage. In determining the set of auditable events, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are audited at a given point in time. For example, organizations may determine that information systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security controls and control enhancements. Organizations also include auditable events that are required by applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable events, the auditing necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented architectures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#ac.17" + }, + { + "href": "#au.3" + }, + { + "href": "#au.12" + }, + { + "href": "#ma.4" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-2.a.", + "props": [ + { + "class": "name", + "value": "AU-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the auditable events that the information system must be capable of auditing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines that the information system is capable of auditing organization-defined auditable events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_au-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_au-2.d.", + "props": [ + { + "class": "name", + "value": "AU-2(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-2.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the subset of auditable events defined in AU-2a that are to be audited within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-2.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines that the subset of auditable events defined in AU-2a are to be audited within the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-2.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines the frequency of (or situation requiring) auditing for each identified event.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(d)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information system auditing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.2.1.", + "title": "COMPILATION OF AUDIT RECORDS FROM MULTIPLE SOURCES", + "props": [ + { + "class": "name", + "value": "AU-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AU-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#au.12" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.2.2.", + "title": "SELECTION OF AUDIT EVENTS BY COMPONENT", + "props": [ + { + "class": "name", + "value": "AU-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AU-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#au.12" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.2.3.", + "title": "REVIEWS AND UPDATES", + "props": [ + { + "class": "name", + "value": "AU-2 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reviews and updates the audited events \u003cinsert param-id=\"au-2_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOver time, the events that organizations believe should be audited may change. Reviewing and updating the set of audited events periodically is necessary to ensure that the current set is still necessary and sufficient.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the audited events; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the auditable events with organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of organization-defined auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauditable events review and update records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system incident reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting review and update of auditable events\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.2.4.", + "title": "PRIVILEGED FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AU-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-6 (9)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.6.9." + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-92", + "value": "NIST Special Publication 800-92" + } + ] + }, + { + "citations": [ + { + "href": "http://idmanagement.gov", + "value": "http://idmanagement.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "au.3", + "title": "CONTENT OF AUDIT RECORDS", + "props": [ + { + "class": "name", + "value": "AU-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred).\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.8" + }, + { + "href": "#au.12" + }, + { + "href": "#si.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system generates audit records containing information that establishes: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-3-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhat type of event occurred;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-3-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen the event occurred;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-3-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhere the event occurred;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-3-4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe source of the event;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-3-5.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe outcome of the event; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3[5]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-3-6.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe identity of any individuals or subjects associated with the event.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3[6]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing content of audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of organization-defined auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system incident reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information system auditing of auditable events\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.3.1.", + "title": "ADDITIONAL AUDIT INFORMATION", + "props": [ + { + "class": "name", + "value": "AU-3 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system generates audit records containing the following additional information: \u003cinsert param-id=\"au-3_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetailed information that organizations may consider in audit records includes, for example, full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-3.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines additional, more detailed information to be contained in audit records that the information system generates; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-3.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system generates audit records containing the organization-defined additional, more detailed information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing content of audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of organization-defined auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system audit capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-3_a", + "desc": "organization-defined additional, more detailed information", + "value": "organization-defined additional, more detailed information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.3.2.", + "title": "CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT", + "props": [ + { + "class": "name", + "value": "AU-3 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides centralized management and configuration of the content to be captured in audit records generated by \u003cinsert param-id=\"au-3_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires that the content to be captured in audit records be configured from a central location (necessitating automation). Organizations coordinate the selection of required audit content to support the centralized management and configuration capability provided by the information system.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#au.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system components that generate audit records whose content is to be centrally managed and configured by the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides centralized management and configuration of the content to be captured in audit records generated by the organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing content of audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of organization-defined auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system capability implementing centralized management and configuration of audit record content\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-3_b", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.4", + "title": "AUDIT STORAGE CAPACITY", + "params": [ + { + "id": "au-4_a", + "desc": "organization-defined audit record storage requirements", + "value": "organization-defined audit record storage requirements" + } + ], + "props": [ + { + "class": "name", + "value": "AU-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization allocates audit record storage capacity in accordance with \u003cinsert param-id=\"au-4_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Allocating sufficient audit storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of auditing capability.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.5" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#au.11" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-4-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines audit record storage requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-4[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-4-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eallocates audit record storage capacity in accordance with the organization-defined audit record storage requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-4[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit storage capacity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record storage requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record storage capability for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit record storage capacity and related configuration settings\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.4.1.", + "title": "TRANSFER TO ALTERNATE STORAGE", + "props": [ + { + "class": "name", + "value": "AU-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system off-loads audit records \u003cinsert param-id=\"au-4_b\"/\u003e onto a different system or media than the system being audited.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOff-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary information system to a secondary or alternate system. It is a common process in information systems with limited audit storage capacity; the audit storage is used only in a transitory fashion until the system can communicate with the secondary or alternate system designated for storing the audit records, at which point the information is transferred.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003e Determine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-4.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the frequency to off-load audit records onto a different system or media than the system being audited; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-4(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-4.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system off-loads audit records onto a different system or media than the system being audited with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-4(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit storage capacity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transfer of information system audit records to secondary or alternate systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elogs of audit record transfers to secondary or alternate systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records transferred to secondary or alternate systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit storage capacity planning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting transfer of audit records onto a different system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-4_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.5", + "title": "RESPONSE TO AUDIT PROCESSING FAILURES", + "params": [ + { + "id": "au-5_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "au-5_b", + "desc": "organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)", + "value": "organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)" + } + ], + "props": [ + { + "class": "name", + "value": "AU-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_au-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eAlerts \u003cinsert param-id=\"au-5_a\"/\u003e in the event of an audit processing failure; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5a." + } + ] + }, + { + "class": "item", + "id": "smm_au-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eTakes the following additional actions: \u003cinsert param-id=\"au-5_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for different audit processing failures (e.g., by type, by location, by severity, or a combination of such factors). This control applies to each audit data storage repository (i.e., distinct information system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.4" + }, + { + "href": "#si.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-5.a.", + "props": [ + { + "class": "name", + "value": "AU-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the personnel or roles to be alerted in the event of an audit processing failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system alerts the organization-defined personnel or roles in the event of an audit processing failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-5.b.", + "props": [ + { + "class": "name", + "value": "AU-5(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-5.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines additional actions to be taken (e.g., shutdown information system, overwrite oldest audit records, stop generating audit records) in the event of an audit processing failure; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-5.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system takes the additional organization-defined actions in the event of an audit processing failure.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of personnel to be notified in case of an audit processing failure\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information system response to audit processing failures\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.5.1.", + "title": "AUDIT STORAGE CAPACITY", + "props": [ + { + "class": "name", + "value": "AU-5 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides a warning to \u003cinsert param-id=\"au-5_c\"/\u003e within \u003cinsert param-id=\"au-5_d\"/\u003e when allocated audit record storage volume reaches \u003cinsert param-id=\"au-5_e\"/\u003e of repository maximum audit record storage capacity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may have multiple audit data storage repositories distributed across multiple information system components, with each repository having different storage volume capacities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epersonnel to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003elocations to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(1)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period within which the information system is to provide a warning to the organization-defined personnel, roles, and/or locations when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the percentage of repository maximum audit record storage capacity that, if reached, requires a warning to be provided; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides a warning to the organization-defined personnel, roles, and/or locations within the organization-defined time period when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(1)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing audit storage limit warnings\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-5_c", + "desc": "organization-defined personnel, roles, and/or locations", + "value": "organization-defined personnel, roles, and/or locations" + }, + { + "id": "au-5_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "au-5_e", + "desc": "organization-defined percentage", + "value": "organization-defined percentage" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.5.2.", + "title": "REAL-TIME ALERTS", + "props": [ + { + "class": "name", + "value": "AU-5 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides an alert in \u003cinsert param-id=\"au-5_f\"/\u003e to \u003cinsert param-id=\"au-5_g\"/\u003e when the following audit failure events occur: \u003cinsert param-id=\"au-5_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines audit failure events requiring real-time alerts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(2)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epersonnel to be alerted when organization-defined audit failure events requiring real-time alerts occur;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(2)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles to be alerted when organization-defined audit failure events requiring real-time alerts occur; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(2)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.2.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003elocations to be alerted when organization-defined audit failure events requiring real-time alerts occur;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(2)[2][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the real-time period within which the information system is to provide an alert to the organization-defined personnel, roles, and/or locations when the organization-defined audit failure events requiring real-time alerts occur; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides an alert within the organization-defined real-time period to the organization-defined personnel, roles, and/or locations when organization-defined audit failure events requiring real-time alerts occur.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of notifications or real-time alerts when audit processing failures occur\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing real-time audit alerts when organization-defined audit failure events occur\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-5_f", + "desc": "organization-defined real-time period", + "value": "organization-defined real-time period" + }, + { + "id": "au-5_g", + "desc": "organization-defined personnel, roles, and/or locations", + "value": "organization-defined personnel, roles, and/or locations" + }, + { + "id": "au-5_h", + "desc": "organization-defined audit failure events requiring real-time alerts", + "value": "organization-defined audit failure events requiring real-time alerts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.5.3.", + "title": "CONFIGURABLE TRAFFIC VOLUME THRESHOLDS", + "props": [ + { + "class": "name", + "value": "AU-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity and [Selection: rejects; delays] network traffic above those thresholds.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations have the capability to reject or delay the processing of network communications traffic if auditing such traffic is determined to exceed the storage capacity of the information system audit function. The rejection or delay response is triggered by the established organizational traffic volume thresholds which can be adjusted based on changes to audit storage capacity.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization selects if network traffic above configurable traffic volume thresholds is to be:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(3)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.3.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erejected; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(3)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.3.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edelayed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(3)[2][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system rejects or delays network communications traffic generated above configurable traffic volume thresholds.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration of network communications traffic volume thresholds\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system capability implementing configurable traffic volume thresholds\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.5.4.", + "title": "SHUTDOWN ON FAILURE", + "props": [ + { + "class": "name", + "value": "AU-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system invokes a [Selection: full system shutdown; partial system shutdown; degraded operational mode with limited mission/business functionality available] in the event of \u003cinsert param-id=\"au-5_i\"/\u003e, unless an alternate audit capability exists.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the types of audit failures that can trigger automatic information system shutdowns or degraded operations. Because of the importance of ensuring mission/business continuity, organizations may determine that the nature of the audit failure is not so severe that it warrants a complete shutdown of the information system supporting the core organizational missions/business operations. In those instances, partial information system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization selects one of the following specific actions for the information system to invoke in the event of organization-defined audit failures:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(4)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.4.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efull system shutdown;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(4)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.4.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003epartial system shutdown; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(4)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.4.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edegraded operational mode with limited mission/business functionality available;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(4)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines audit failures that, unless an alternate audit capability exists, are to trigger the information system to invoke a specific action; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system invokes the selected specific action in the event of organization-defined audit failures, unless an alternate audit capability exists.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(4)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system capability invoking system shutdown or degraded operational mode in the event of an audit processing failure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-5_i", + "desc": "organization-defined audit failures", + "value": "organization-defined audit failures" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.6", + "title": "AUDIT REVIEW, ANALYSIS, AND REPORTING", + "params": [ + { + "id": "au-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "au-6_b", + "desc": "organization-defined inappropriate or unusual activity", + "value": "organization-defined inappropriate or unusual activity" + }, + { + "id": "au-6_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "AU-6" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_au-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and analyzes information system audit records \u003cinsert param-id=\"au-6_a\"/\u003e for indications of \u003cinsert param-id=\"au-6_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6a." + } + ] + }, + { + "class": "item", + "id": "smm_au-6b.", + "prose": [ + "\u003cp class=\"description\"\u003eReports findings to \u003cinsert param-id=\"au-6_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.17" + }, + { + "href": "#at.3" + }, + { + "href": "#au.7" + }, + { + "href": "#au.16" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.10" + }, + { + "href": "#cm.11" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.5" + }, + { + "href": "#ir.5" + }, + { + "href": "#ir.6" + }, + { + "href": "#ma.4" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.6" + }, + { + "href": "#pe.14" + }, + { + "href": "#pe.16" + }, + { + "href": "#ra.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.18" + }, + { + "href": "#sc.19" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-6.a.", + "props": [ + { + "class": "name", + "value": "AU-6(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-6.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the types of inappropriate or unusual activity to look for when information system audit records are reviewed and analyzed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-6.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and analyze information system audit records for indications of organization-defined inappropriate or unusual activity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-6.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and analyzes information system audit records for indications of organization-defined inappropriate or unusual activity with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-6.b.", + "props": [ + { + "class": "name", + "value": "AU-6(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom findings resulting from reviews and analysis of information system audit records are to be reported; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports findings to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereports of audit findings\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of actions taken in response to reviews/analyses of audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.6.1.", + "title": "PROCESS INTEGRATION", + "props": [ + { + "class": "name", + "value": "AU-6 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.12" + }, + { + "href": "#pm.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to integrate:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudit review;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ereporting processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(1)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003euses integrated audit review, analysis and reporting processes to support organizational processes for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einvestigation of suspicious activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponse to suspicious activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(1)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing investigation and response to suspicious activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms integrating audit review, analysis, and reporting processes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.2.", + "title": "AUTOMATED SECURITY ALERTS", + "props": [ + { + "class": "name", + "value": "AU-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.3.", + "title": "CORRELATE AUDIT REPOSITORIES", + "props": [ + { + "class": "name", + "value": "AU-6 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and information system) and supports cross-organization awareness.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.12" + }, + { + "href": "#ir.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records across different repositories\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting analysis and correlation of audit records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.4.", + "title": "CENTRAL REVIEW AND ANALYSIS", + "props": [ + { + "class": "name", + "value": "AU-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability to centrally review and analyze audit records from multiple components within the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms for centralized reviews and analyses include, for example, Security Information Management products.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides the capability to centrally review and analyze audit records from multiple components within the system.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system capability to centralize review and analysis of audit records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.5.", + "title": "INTEGRATION / SCANNING AND MONITORING CAPABILITIES", + "props": [ + { + "class": "name", + "value": "AU-6 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization integrates analysis of audit records with analysis of [Selection (one or more): vulnerability scanning information; performance data; information system monitoring information; \u003cinsert param-id=\"au-6_d\"/\u003e] to further enhance the ability to identify inappropriate or unusual activity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement does not require vulnerability scanning, the generation of performance data, or information system monitoring. Rather, the enhancement requires that the analysis of information being otherwise produced in these areas is integrated with the analysis of audit information. Security Event and Information Management System tools can facilitate audit record aggregation/consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans and correlating attack detection events with scanning results. Correlation with performance data can help uncover denial of service attacks or cyber attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.12" + }, + { + "href": "#ir.4" + }, + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines data/information to be collected from other sources;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eselects sources of data/information to be analyzed and integrated with the analysis of audit records from one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(5)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.5.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003evulnerability scanning information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(5)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eperformance data;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(5)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.5.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation system monitoring information; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(5)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.5.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined data/information collected from other sources; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(5)[2][d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegrates the analysis of audit records with the analysis of selected data/information to further enhance the ability to identify inappropriate or unusual activity.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrated analysis of audit records, vulnerability scanning information, performance data, network monitoring information and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing capability to integrate analysis of audit records with analysis of data/information sources\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-6_d", + "desc": "organization-defined data/information collected from other sources", + "value": "organization-defined data/information collected from other sources" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.6.", + "title": "CORRELATION WITH PHYSICAL MONITORING", + "props": [ + { + "class": "name", + "value": "AU-6 (6)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe correlation of physical audit information and audit logs from information systems may assist organizations in identifying examples of suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual�s identity for logical access to certain information systems with the additional physical security information that the individual was actually present at the facility when the logical access occurred, may prove to be useful in investigations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization correlates information from audit records with information obtained from monitoring physical access to enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation providing evidence of correlated information obtained from audit records and physical access monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing capability to correlate information from audit records with information from monitoring physical access\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.7.", + "title": "PERMITTED ACTIONS", + "props": [ + { + "class": "name", + "value": "AU-6 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization specifies the permitted actions for each [Selection (one or more): information system process; role; user] associated with the review, analysis, and reporting of audit information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations specify permitted actions for information system processes, roles, and/or users associated with the review, analysis, and reporting of audit records through account management techniques. Specifying permitted actions on audit information is a way to enforce the principle of least privilege. Permitted actions are enforced by the information system and include, for example, read, write, execute, append, and delete.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization specifies the permitted actions for each one or more of the following associated with the review, analysis and reporting of audit information:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation system process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erole; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(7)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.7.3.", + "prose": [ + "\u003cp class=\"decision\"\u003euser.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(7)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing process, role and/or user permitted actions from audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting permitted actions for review, analysis, and reporting of audit information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.8.", + "title": "FULL TEXT ANALYSIS OF PRIVILEGED COMMANDS", + "props": [ + { + "class": "name", + "value": "AU-6 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization performs a full text analysis of audited privileged commands in a physically distinct component or subsystem of the information system, or other information system that is dedicated to that analysis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires a distinct environment for the dedicated analysis of audit information related to privileged users without compromising such information on the information system where the users have elevated privileges including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and all parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes, for example, the use of pattern matching and heuristics.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.3" + }, + { + "href": "#au.9" + }, + { + "href": "#au.11" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization performs a full text analysis of audited privileged commands in:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ea physically distinct component or subsystem of the information system; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eother information system that is dedicated to that analysis.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(8)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etext analysis tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003etext analysis documentation of audited privileged commands\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing capability to perform a full text analysis of audited privilege commands\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.9.", + "title": "CORRELATION WITH INFORMATION FROM NONTECHNICAL SOURCES", + "props": [ + { + "class": "name", + "value": "AU-6 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNontechnical sources include, for example, human resources records documenting organizational policy violations (e.g., sexual harassment incidents, improper use of organizational information assets). Such information can lead organizations to a more directed analytical effort to detect potential malicious insider activity. Due to the sensitive nature of the information available from nontechnical sources, organizations limit access to such information to minimize the potential for the inadvertent release of privacy-related information to individuals that do not have a need to know. Thus, correlation of information from nontechnical sources with audit information generally occurs only when individuals are suspected of being involved in a security incident. Organizations obtain legal advice prior to initiating such actions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation providing evidence of correlated information obtained from audit records and organization-defined nontechnical sources\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information types from nontechnical sources for correlation with audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing capability to correlate information from non-technical sources\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.10.", + "title": "AUDIT LEVEL ADJUSTMENT", + "props": [ + { + "class": "name", + "value": "AU-6 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe frequency, scope, and/or depth of the audit review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003elaw enforcement information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eintelligence information; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(10)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.10.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eother credible sources of information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(10)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational risk assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity control assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting review, analysis, and reporting of audit information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.7", + "title": "AUDIT REDUCTION AND REPORT GENERATION", + "props": [ + { + "class": "name", + "value": "AU-7" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides an audit reduction and report generation capability that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_au-7a.", + "prose": [ + "\u003cp class=\"description\"\u003eSupports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7a." + } + ] + }, + { + "class": "item", + "id": "smm_au-7b.", + "prose": [ + "\u003cp class=\"description\"\u003eDoes not alter the original content or time ordering of audit records.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. Audit reduction and report generation capabilities do not always emanate from the same information system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides an audit reduction and report generation capability that supports:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-7.a.", + "props": [ + { + "class": "name", + "value": "AU-7(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eon-demand audit review;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-7.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereporting requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-7.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eafter-the-fact investigations of security incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edoes not alter the original content or time ordering of audit records.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit reduction and report generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit reduction, review, analysis, and reporting tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit reduction and report generation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit reduction and report generation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.7.1.", + "title": "AUTOMATIC PROCESSING", + "props": [ + { + "class": "name", + "value": "AU-7 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability to process audit records for events of interest based on \u003cinsert param-id=\"au-7_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEvents of interest can be identified by the content of specific audit record fields including, for example, identities of individuals, event types, event locations, event times, event dates, system resources involved, IP addresses involved, or information objects accessed. Organizations may define audit event criteria to any degree of granularity required, for example, locations selectable by general networking location (e.g., by network or subnetwork) or selectable by specific information system component.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-7.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines audit fields within audit records in order to process audit records for events of interest; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-7.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the capability to process audit records for events of interest based on the organization-defined audit fields within audit records.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit reduction and report generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit reduction, review, analysis, and reporting tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record criteria (fields) establishing events of interest\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit reduction and report generation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit reduction and report generation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-7_a", + "desc": "organization-defined audit fields within audit records", + "value": "organization-defined audit fields within audit records" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.7.2.", + "title": "AUTOMATIC SORT AND SEARCH", + "props": [ + { + "class": "name", + "value": "AU-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability to sort and search audit records for events of interest based on the content of \u003cinsert param-id=\"au-7_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSorting and searching of audit records may be based upon the contents of audit record fields, for example: (i) date/time of events; (ii) user identifiers; (iii) Internet Protocol (IP) addresses involved in the event; (iv) type of event; or (v) event success/failure.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-7.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines audit fields within audit records in order to sort and search audit records for events of interest based on content of such audit fields; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-7.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the capability to sort and search audit records for events of interest based on the content of organization-defined audit fields within audit records.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit reduction and report generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit reduction, review, analysis, and reporting tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record criteria (fields) establishing events of interest\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit reduction and report generation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit reduction and report generation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-7_b", + "desc": "organization-defined audit fields within audit records", + "value": "organization-defined audit fields within audit records" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.8", + "title": "TIME STAMPS", + "params": [ + { + "id": "au-8_a", + "desc": "organization-defined granularity of time measurement", + "value": "organization-defined granularity of time measurement" + } + ], + "props": [ + { + "class": "name", + "value": "AU-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_au-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eUses internal system clocks to generate time stamps for audit records; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8a." + } + ] + }, + { + "class": "item", + "id": "smm_au-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eRecords time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT) and meets \u003cinsert param-id=\"au-8_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTime stamps generated by the information system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.3" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-8.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system uses internal system clocks to generate time stamps for audit records;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_au-8.b.", + "props": [ + { + "class": "name", + "value": "AU-8(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-8.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-8.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the granularity of time measurement to be met when recording time stamps for audit records; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-8.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization records time stamps for audit records that meet the organization-defined granularity of time measurement.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(b)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing time stamp generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing time stamp generation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.8.1.", + "title": "SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE", + "props": [ + { + "class": "name", + "value": "AU-8 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_au-8.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eCompares the internal information system clocks \u003cinsert param-id=\"au-8_b\"/\u003e with \u003cinsert param-id=\"au-8_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_au-8.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eSynchronizes the internal system clocks to the authoritative time source when the time difference is greater than \u003cinsert param-id=\"au-8_d\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides uniformity of time stamps for information systems with multiple system clocks and systems connected over a network.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-8.1.a.", + "props": [ + { + "class": "name", + "value": "AU-8(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-8.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the authoritative time source to which internal information system clocks are to be compared;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-8.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the frequency to compare the internal information system clocks with the organization-defined authoritative time source; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(1)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-8.1.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system compares the internal information system clocks with the organization-defined authoritative time source with organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(1)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-8.1.b.", + "props": [ + { + "class": "name", + "value": "AU-8(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-8.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period that, if exceeded by the time difference between the internal system clocks and the authoritative time source, will result in the internal system clocks being synchronized to the authoritative time source; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(1)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-8.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system synchronizes the internal information system clocks to the authoritative time source when the time difference is greater than the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(1)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing time stamp generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing internal information system clock synchronization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "au-8_c", + "desc": "organization-defined authoritative time source", + "value": "organization-defined authoritative time source" + }, + { + "id": "au-8_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.8.2.", + "title": "SECONDARY AUTHORITATIVE TIME SOURCE", + "props": [ + { + "class": "name", + "value": "AU-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing time stamp generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing internal information system clock authoritative time sources\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.9", + "title": "PROTECTION OF AUDIT INFORMATION", + "props": [ + { + "class": "name", + "value": "AU-9" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects audit information and audit tools from unauthorized access, modification, and deletion.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-9-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system protects audit information from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-9-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-9-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-9-1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edeletion;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-9-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system protects audit tools from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-9-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-9-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-9-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edeletion.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation, information system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing audit information protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.9.1.", + "title": "HARDWARE WRITE-ONCE MEDIA", + "props": [ + { + "class": "name", + "value": "AU-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system writes audit trails to hardware-enforced, write-once media.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to the initial generation of audit trails (i.e., the collection of audit records that represents the audit information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. The enhancement does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes, for example, Compact Disk-Recordable (CD-R) and Digital Video Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB) drives results in write-protected, but not write-once, media.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.4" + }, + { + "href": "#au.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system writes audit trails to hardware-enforced, write-once media.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware settings\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system storage media\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media storing audit trails\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.2.", + "title": "AUDIT BACKUP ON SEPARATE PHYSICAL SYSTEMS / COMPONENTS", + "props": [ + { + "class": "name", + "value": "AU-9 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system backs up audit records \u003cinsert param-id=\"au-9_a\"/\u003e onto a physically different system or system component than the system or component being audited.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.4" + }, + { + "href": "#au.5" + }, + { + "href": "#au.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-9.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the frequency to back up audit records onto a physically different system or system component than the system or component being audited; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-9.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system backs up audit records with the organization-defined frequency, onto a physically different system or system component than the system or component being audited.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation, system or media storing backups of information system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing the backing up of audit records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-9_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.3.", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "AU-9 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to protect the integrity of audit information and audit tools.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic mechanisms used for protecting the integrity of audit information include, for example, signed hash functions using asymmetric cryptography enabling distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.10" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-9.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003euses cryptographic mechanisms to protect the integrity of audit information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-9.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003euses cryptographic mechanisms to protect the integrity of audit tools.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware settings\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation, information system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms protecting integrity of audit information and tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.4.", + "title": "ACCESS BY SUBSET OF PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "AU-9 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization authorizes access to management of audit functionality to only \u003cinsert param-id=\"au-9_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndividuals with privileged access to an information system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit activities or modifying audit records. This control enhancement requires that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-9.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a subset of privileged users to be authorized access to management of audit functionality; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-9.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes access to management of audit functionality to only the organization-defined subset of privileged users.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation, system-generated list of privileged users with access to management of audit functionality\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control list\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms managing access to audit functionality\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-9_b", + "desc": "organization-defined subset of privileged users", + "value": "organization-defined subset of privileged users" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.5.", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "AU-9 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization enforces dual authorization for [Selection (one or more): movement; deletion] of \u003cinsert param-id=\"au-9_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose different selection options for different types of audit information. Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#mp.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-9.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines audit information for which dual authorization is to be enforced;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-9.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines one or more of the following types of operations on audit information for which dual authorization is to be enforced:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(5)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-9.5.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emovement; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(5)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-9.5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edeletion; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(5)[2][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-9.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces dual authorization for the movement and/or deletion of organization-defined audit information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation, access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing enforcement of dual authorization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-9_c", + "desc": "organization-defined audit information", + "value": "organization-defined audit information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.6.", + "title": "READ ONLY ACCESS", + "props": [ + { + "class": "name", + "value": "AU-9 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization authorizes read-only access to audit information to \u003cinsert param-id=\"au-9_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRestricting privileged user authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users (e.g., deleting audit records to cover up malicious activity).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-9.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the subset of privileged users to be authorized read-only access to audit information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-9.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes read-only access to audit information to the organization-defined subset of privileged users.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation, system-generated list of privileged users with read-only access to audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control list\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms managing access to audit information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-9_d", + "desc": "organization-defined subset of privileged users", + "value": "organization-defined subset of privileged users" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.10", + "title": "NON-REPUDIATION", + "params": [ + { + "id": "au-10_a", + "desc": "organization-defined actions to be covered by non-repudiation", + "value": "organization-defined actions to be covered by non-repudiation" + } + ], + "props": [ + { + "class": "name", + "value": "AU-10" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed \u003cinsert param-id=\"au-10_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTypes of individual actions covered by non-repudiation include, for example, creating information, sending and receiving messages, approving information (e.g., indicating concurrence or signing a contract). Non-repudiation protects individuals against later claims by: (i) authors of not having authored particular documents; (ii) senders of not having transmitted messages; (iii) receivers of not having received messages; or (iv) signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from a particular individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.16" + }, + { + "href": "#sc.17" + }, + { + "href": "#sc.23" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-10-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines actions to be covered by non-repudiation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-10-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed organization-defined actions to be covered by non-repudiation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.10.1.", + "title": "ASSOCIATION OF IDENTITIES", + "props": [ + { + "class": "name", + "value": "AU-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_au-10.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eBinds the identity of the information producer with the information to \u003cinsert param-id=\"au-10_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_au-10.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides the means for authorized individuals to determine the identity of the producer of the information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of the binding between the information producer and the information based on the security category of the information and relevant risk factors.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.1.a.", + "props": [ + { + "class": "name", + "value": "AU-10(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the strength of binding to be employed between the identity of the information producer and the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system binds the identity of the information producer with the information to the organization-defined strength of binding; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(1)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the means for authorized individuals to determine the identity of the producer of the information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-10_b", + "desc": "organization-defined strength of binding", + "value": "organization-defined strength of binding" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.10.2.", + "title": "VALIDATE BINDING OF INFORMATION PRODUCER IDENTITY", + "props": [ + { + "class": "name", + "value": "AU-10 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_au-10.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eValidates the binding of the information producer identity to the information at \u003cinsert param-id=\"au-10_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_au-10.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003ePerforms \u003cinsert param-id=\"au-10_d\"/\u003e in the event of a validation error.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement prevents the modification of information between production and review. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.2.a.", + "props": [ + { + "class": "name", + "value": "AU-10(2)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the frequency to validate the binding of the information producer identity to the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(2)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system validates the binding of the information producer identity to the information at the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(2)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.2.b.", + "props": [ + { + "class": "name", + "value": "AU-10(2)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines actions to be performed in the event of a validation error; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(2)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system performs organization-defined actions in the event of a validation error.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(2)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evalidation records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-10_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "au-10_d", + "desc": "organization-defined actions", + "value": "organization-defined actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.10.3.", + "title": "CHAIN OF CUSTODY", + "props": [ + { + "class": "name", + "value": "AU-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eChain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each person who handled the evidence, the date and time it was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release/transfer function, the information system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, this control enhancement provides organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, this control enhancement ensures that only approved review functions are employed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains reviewer/releaser identity within the established chain of custody for all information reviewed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains reviewer/releaser identity within the established chain of custody for all information released;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains reviewer/releaser credentials within the established chain of custody for all information reviewed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains reviewer/releaser credentials within the established chain of custody for all information released.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(3)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of information reviews and releases\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.10.4.", + "title": "VALIDATE BINDING OF INFORMATION REVIEWER IDENTITY", + "props": [ + { + "class": "name", + "value": "AU-10 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_au-10.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eValidates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between \u003cinsert param-id=\"au-10_e\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_au-10.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003ePerforms \u003cinsert param-id=\"au-10_f\"/\u003e in the event of a validation error.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (4)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement prevents the modification of information between review and transfer/release. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine validations are in response to user requests or generated automatically.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.4.a.", + "props": [ + { + "class": "name", + "value": "AU-10(4)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security domains for which the binding of the information reviewer identity to the information is to be validated at the transfer or release points prior to release/transfer between such domains;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(4)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system validates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between organization-defined security domains;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(4)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.4.b.", + "props": [ + { + "class": "name", + "value": "AU-10(4)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines actions to be performed in the event of a validation error; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(4)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system performs organization-defined actions in the event of a validation error.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(4)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evalidation records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-10_e", + "desc": "organization-defined security domains", + "value": "organization-defined security domains" + }, + { + "id": "au-10_f", + "desc": "organization-defined actions", + "value": "organization-defined actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.10.5.", + "title": "DIGITAL SIGNATURES", + "props": [ + { + "class": "name", + "value": "AU-10 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.7" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.11", + "title": "AUDIT RECORD RETENTION", + "params": [ + { + "id": "au-11_a", + "desc": "organization-defined time period consistent with records retention policy", + "value": "organization-defined time period consistent with records retention policy" + } + ], + "props": [ + { + "class": "name", + "value": "AU-11" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization retains audit records for \u003cinsert param-id=\"au-11_a\"/\u003e to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations retain audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.4" + }, + { + "href": "#au.5" + }, + { + "href": "#au.9" + }, + { + "href": "#mp.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-11-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period to retain audit records that is consistent with records retention policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-11[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-11-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains audit records for the organization-defined time period consistent with records retention policy to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-11[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-11-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovide support for after-the-fact investigations of security incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-11[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-11-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emeet regulatory and organizational information retention requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-11[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record retention policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganization-defined retention period for audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record archives\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit record retention responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.11.1.", + "title": "LONG-TERM RETRIEVAL CAPABILITY", + "props": [ + { + "class": "name", + "value": "AU-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"au-11_b\"/\u003e to ensure that long-term audit records generated by the information system can be retrieved.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMeasures employed by organizations to help facilitate the retrieval of audit records include, for example, converting records to newer formats, retaining equipment capable of reading the records, and retaining necessary documentation to help organizational personnel understand how to interpret the records.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-11.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines measures to be employed to ensure that long-term audit records generated by the information system can be retrieved; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-11(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-11.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined measures to ensure that long-term audit records generated by the information system can be retrieved.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-11(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record retention policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record archives\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit record retention responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing audit record retention capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-11_b", + "desc": "organization-defined measures", + "value": "organization-defined measures" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.12", + "title": "AUDIT GENERATION", + "params": [ + { + "id": "au-12_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "au-12_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "AU-12" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_au-12a.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides audit record generation capability for the auditable events defined in AU-2 a. at \u003cinsert param-id=\"au-12_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12a." + } + ] + }, + { + "class": "item", + "id": "smm_au-12b.", + "prose": [ + "\u003cp class=\"description\"\u003eAllows \u003cinsert param-id=\"au-12_b\"/\u003e to select which auditable events are to be audited by specific components of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12b." + } + ] + }, + { + "class": "item", + "id": "smm_au-12c.", + "prose": [ + "\u003cp class=\"description\"\u003eGenerates audit records for the events defined in AU-2 d. with the content defined in AU-3.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#au.2" + }, + { + "href": "#au.3" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-12.a.", + "props": [ + { + "class": "name", + "value": "AU-12(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-12.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the information system components which are to provide audit record generation capability for the auditable events defined in AU-2a;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-12.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides audit record generation capability, for the auditable events defined in AU-2a, at organization-defined information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-12.b.", + "props": [ + { + "class": "name", + "value": "AU-12(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-12.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the personnel or roles allowed to select which auditable events are to be audited by specific components of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-12.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system allows the organization-defined personnel or roles to select which auditable events are to be audited by specific components of the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-12.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system generates audit records for the events defined in AU-2d with the content in defined in AU-3.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit record generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit record generation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing audit record generation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.12.1.", + "title": "SYSTEM-WIDE / TIME-CORRELATED AUDIT TRAIL", + "props": [ + { + "class": "name", + "value": "AU-12 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system compiles audit records from \u003cinsert param-id=\"au-12_c\"/\u003e into a system-wide (logical or physical) audit trail that is time-correlated to within \u003cinsert param-id=\"au-12_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.8" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-12.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the information system components from which audit records are to be compiled into a system-wide (logical or physical) audit trail;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-12.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the level of tolerance for the relationship between time stamps of individual records in the audit trail; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-12.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system compiles audit records from organization-defined information system components into a system-wide (logical or physical) audit trail that is time-correlated to within the organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit record generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-wide audit trail (logical or physical)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit record generation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing audit record generation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-12_c", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "au-12_d", + "desc": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail", + "value": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.12.2.", + "title": "STANDARDIZED FORMATS", + "props": [ + { + "class": "name", + "value": "AU-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit information that is normalized to common standards promotes interoperability and exchange of such information between dissimilar devices and information systems. This facilitates production of event information that can be more readily analyzed and correlated. Standard formats for audit records include, for example, system log records and audit records compliant with Common Event Expressions (CEE). If logging mechanisms within information systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit record generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-wide audit trail (logical or physical)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit record generation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing audit record generation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.12.3.", + "title": "CHANGES BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AU-12 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability for \u003cinsert param-id=\"au-12_e\"/\u003e to change the auditing to be performed on \u003cinsert param-id=\"au-12_f\"/\u003e based on \u003cinsert param-id=\"au-12_g\"/\u003e within \u003cinsert param-id=\"au-12_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve information system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near real-time, within minutes, or within hours.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\t\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-12.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system components on which auditing is to be performed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-12.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines individuals or roles authorized to change the auditing to be performed on organization-defined information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-12.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines time thresholds within which organization-defined individuals or roles can change the auditing to be performed on organization-defined information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-12.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines selectable event criteria that support the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(3)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-12.3.5.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components based on organization-defined selectable event criteria within organization-defined time thresholds.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(3)[5]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit record generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of individuals or roles authorized to change auditing to be performed\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit record generation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing audit record generation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-12_e", + "desc": "organization-defined individuals or roles", + "value": "organization-defined individuals or roles" + }, + { + "id": "au-12_f", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "au-12_g", + "desc": "organization-defined selectable event criteria", + "value": "organization-defined selectable event criteria" + }, + { + "id": "au-12_h", + "desc": "organization-defined time thresholds", + "value": "organization-defined time thresholds" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.13", + "title": "MONITORING FOR INFORMATION DISCLOSURE", + "params": [ + { + "id": "au-13_a", + "desc": "organization-defined open source information and/or information sites", + "value": "organization-defined open source information and/or information sites" + }, + { + "id": "au-13_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AU-13" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization monitors \u003cinsert param-id=\"au-13_a\"/\u003e \u003cinsert param-id=\"au-13_b\"/\u003e for evidence of unauthorized disclosure of organizational information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOpen source information includes, for example, social networking sites.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.3" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-13-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines open source information and/or information sites to be monitored for evidence of unauthorized disclosure of organizational information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-13[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-13-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to monitor organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-13[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-13-3.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-13[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information disclosure monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emonitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for monitoring open source information and/or information sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing monitoring for information disclosure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.13.1.", + "title": "USE OF AUTOMATED TOOLS", + "props": [ + { + "class": "name", + "value": "AU-13 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can include, for example, automated scripts to monitor new posts on selected websites, and commercial services providing notifications and alerts to organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information disclosure monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated monitoring tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for monitoring information disclosures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing monitoring for information disclosure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.13.2.", + "title": "REVIEW OF MONITORED SITES", + "props": [ + { + "class": "name", + "value": "AU-13 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reviews the open source information sites being monitored \u003cinsert param-id=\"au-13_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-13.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to review the open source information sites being monitored; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-13(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-13.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the open source information sites being monitored with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-13(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information disclosure monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereviews for open source information sites being monitored\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for monitoring open source information sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing monitoring for information disclosure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-13_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.14", + "title": "SESSION AUDIT", + "props": [ + { + "class": "name", + "value": "AU-14" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability for authorized users to select a user session to capture/record or view/hear.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSession audits include, for example, monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, or standards.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#au.4" + }, + { + "href": "#au.5" + }, + { + "href": "#au.9" + }, + { + "href": "#au.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides the capability for authorized users to select a user session to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-14-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ecapture/record; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-14[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-14-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eview/hear.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-14[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user session auditing\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing user session auditing capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.14.1.", + "title": "SYSTEM START-UP", + "props": [ + { + "class": "name", + "value": "AU-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system initiates session audits at system start-up.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system initiates session audits at system start-up. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user session auditing\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing user session auditing capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.14.2.", + "title": "CAPTURE/RECORD AND LOG CONTENT", + "props": [ + { + "class": "name", + "value": "AU-14 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability for authorized users to capture/record and log content related to a user session.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides the capability for authorized users to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-14.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ecapture/record content related to a user session; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-14(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-14.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003elog content related to a user session.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-14(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user session auditing\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing user session auditing capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.14.3.", + "title": "REMOTE VIEWING / LISTENING", + "props": [ + { + "class": "name", + "value": "AU-14 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user session auditing\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing user session auditing capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.15", + "title": "ALTERNATE AUDIT CAPABILITY", + "params": [ + { + "id": "au-15_a", + "desc": "organization-defined alternate audit functionality", + "value": "organization-defined alternate audit functionality" + } + ], + "props": [ + { + "class": "name", + "value": "AU-15" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides an alternate audit capability in the event of a failure in primary audit capability that provides \u003cinsert param-id=\"au-15_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSince an alternate audit capability may be a short-term protection employed until the failure in the primary auditing capability is corrected, organizations may determine that the alternate audit capability need only provide a subset of the primary audit functionality that is impacted by the failure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-15-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines alternative audit functionality to be provided in the event of a failure in primary audit capability; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-15[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-15-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides an alternative audit capability in the event of a failure in primary audit capability that provides organization-defined alternative audit functionality.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-15[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate audit capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest records for alternative audit capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel responsible for providing alternate audit capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing alternative audit capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.16", + "title": "CROSS-ORGANIZATIONAL AUDITING", + "params": [ + { + "id": "au-16_a", + "desc": "organization-defined methods", + "value": "organization-defined methods" + }, + { + "id": "au-16_b", + "desc": "organization-defined audit information", + "value": "organization-defined audit information" + } + ], + "props": [ + { + "class": "name", + "value": "AU-16" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"au-16_a\"/\u003e for coordinating \u003cinsert param-id=\"au-16_b\"/\u003e among external organizations when audit information is transmitted across organizational boundaries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen organizations use information systems and/or services of external organizations, the auditing capability necessitates a coordinated approach across organizations. For example, maintaining the identity of individuals that requested particular services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance ramifications. Therefore, it is often the case that cross-organizational auditing (e.g., the type of auditing capability provided by service-oriented architectures) simply captures the identity of individuals issuing requests at the initial information system, and subsequent systems record that the requests emanated from authorized individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-16-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines audit information to be coordinated among external organizations when audit information is transmitted across organizational boundaries;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-16[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-16-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-16[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-16-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-16[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing methods for coordinating audit information among external organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emethods for coordinating audit information among external organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for coordinating audit information among external organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing cross-organizational auditing (if applicable)\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.16.1.", + "title": "IDENTITY PRESERVATION", + "props": [ + { + "class": "name", + "value": "AU-16 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that the identity of individuals be preserved in cross-organizational audit trails.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires that the identity of individuals be preserved in cross- organizational audit trails.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cross-organizational audit trails\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with cross-organizational audit responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing cross-organizational auditing (if applicable)\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.16.2.", + "title": "SHARING OF AUDIT INFORMATION", + "props": [ + { + "class": "name", + "value": "AU-16 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides cross-organizational audit information to \u003cinsert param-id=\"au-16_c\"/\u003e based on \u003cinsert param-id=\"au-16_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBecause of the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only the home organizations of individuals have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-16.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines organizations with whom cross-organizational audit information is to be shared;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-16(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-16.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines cross-organizational sharing agreements to be used when providing cross-organizational audit information to organization-defined organizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-16(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-16.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides cross-organizational audit information to organization-defined organizations based on organization-defined cross-organizational sharing agreements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-16(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cross-organizational sharing of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecross-organizational sharing agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003edata sharing agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for sharing cross-organizational audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "au-16_c", + "desc": "organization-defined organizations", + "value": "organization-defined organizations" + }, + { + "id": "au-16_d", + "desc": "organization-defined cross-organizational sharing agreements", + "value": "organization-defined cross-organizational sharing agreements" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "SECURITY ASSESSMENT AND AUTHORIZATION", + "controls": [ + { + "class": "SP800-53", + "id": "ca.1", + "title": "SECURITY ASSESSMENT AND AUTHORIZATION POLICY AND PROCEDURES", + "params": [ + { + "id": "ca-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ca-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ca-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ca-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ca-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ca-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA security assessment and authorization policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ca-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the security assessment and authorization policy and associated security assessment and authorization controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ca-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ca-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity assessment and authorization policy \u003cinsert param-id=\"ca-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ca-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity assessment and authorization procedures \u003cinsert param-id=\"ca-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-1.a.1.", + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a security assessment and authorization policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the security assessment and authorization policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the security assessment and authorization policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.2.", + "props": [ + { + "class": "name", + "value": "CA-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the security assessment and authorization policy and associated assessment and authorization controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.b.1.", + "props": [ + { + "class": "name", + "value": "CA-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current security assessment and authorization policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current security assessment and authorization policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.b.2.", + "props": [ + { + "class": "name", + "value": "CA-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current security assessment and authorization procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current security assessment and authorization procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment and authorization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.2", + "title": "SECURITY ASSESSMENTS", + "params": [ + { + "id": "ca-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ca-2_b", + "desc": "organization-defined individuals or roles", + "value": "organization-defined individuals or roles" + } + ], + "props": [ + { + "class": "name", + "value": "CA-2" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ca-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops a security assessment plan that describes the scope of the assessment including:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ca-2a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity controls and control enhancements under assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ca-2a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eAssessment procedures to be used to determine security control effectiveness; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2a.2." + } + ] + }, + { + "class": "item", + "id": "sms_ca-2a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eAssessment environment, assessment team, and assessment roles and responsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2a.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ca-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eAssesses the security controls in the information system and its environment of operation \u003cinsert param-id=\"ca-2_a\"/\u003e to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2b." + } + ] + }, + { + "class": "item", + "id": "smm_ca-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eProduces a security assessment report that documents the results of the assessment; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2c." + } + ] + }, + { + "class": "item", + "id": "smm_ca-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides the results of the security control assessment to \u003cinsert param-id=\"ca-2_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives. To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.5" + }, + { + "href": "#ca.6" + }, + { + "href": "#ca.7" + }, + { + "href": "#pm.9" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.11" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a security assessment plan that describes the scope of the assessment including:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity controls and control enhancements under assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(a)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eassessment procedures to be used to determine security control effectiveness;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(a)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.a.3.", + "props": [ + { + "class": "name", + "value": "CA-2(a)(3)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-2.a.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eassessment environment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(a)(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.a.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eassessment team;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(a)(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.a.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eassessment roles and responsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(a)(3)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.b.", + "props": [ + { + "class": "name", + "value": "CA-2(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to assess the security controls in the information system and its environment of operation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eassesses the security controls in the information system with the organization-defined frequency to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eproduces a security assessment report that documents the results of the assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.d.", + "props": [ + { + "class": "name", + "value": "CA-2(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-2.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines individuals or roles to whom the results of the security control assessment are to be provided; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the results of the security control assessment to organization-defined individuals or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security assessment planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security assessments\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting security assessment, security assessment plan development, and/or security assessment reporting\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.2.1.", + "title": "INDEPENDENT ASSESSORS", + "props": [ + { + "class": "name", + "value": "CA-2 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs assessors or assessment teams with \u003cinsert param-id=\"ca-2_c\"/\u003e to conduct security control assessments.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndependent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-2.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the level of independence to be employed to conduct security control assessments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys assessors or assessment teams with the organization-defined level of independence to conduct security control assessments.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security assessments\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity authorization package (including security plan, security assessment plan, security assessment report, plan of action and milestones, authorization statement)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ca-2_c", + "desc": "organization-defined level of independence", + "value": "organization-defined level of independence" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.2.2.", + "title": "SPECIALIZED ASSESSMENTS", + "props": [ + { + "class": "name", + "value": "CA-2 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes as part of security control assessments, \u003cinsert param-id=\"ca-2_d\"/\u003e, [Selection: announced; unannounced], [Selection (one or more): in-depth monitoring; vulnerability scanning; malicious user testing; insider threat assessment; performance/load testing; \u003cinsert param-id=\"ca-2_e\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can employ information system monitoring, insider threat assessments, malicious user testing, and other forms of testing (e.g., verification and validation) to improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security. Organizations conduct assessment activities in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability remediation processes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.3" + }, + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-2.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eselects one or more of the following forms of specialized security assessment to be included as part of security control assessments:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-2.2.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ein-depth monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003evulnerability scanning;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003emalicious user testing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003einsider threat assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eperformance/load testing; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003eother forms of organization-defined specialized security assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][f]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency for conducting the selected form(s) of specialized security assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines whether the specialized security assessment will be announced or unannounced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts announced or unannounced organization-defined forms of specialized security assessments with the organization-defined frequency as part of security control assessments.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security assessments\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting security control assessment\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ca-2_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ca-2_e", + "desc": "organization-defined other forms of security assessment", + "value": "organization-defined other forms of security assessment" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.2.3.", + "title": "EXTERNAL ORGANIZATIONS", + "props": [ + { + "class": "name", + "value": "CA-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization accepts the results of an assessment of \u003cinsert param-id=\"ca-2_f\"/\u003e performed by \u003cinsert param-id=\"ca-2_g\"/\u003e when the assessment meets \u003cinsert param-id=\"ca-2_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may often rely on assessments of specific information systems by other (external) organizations. Utilizing such existing assessments (i.e., reusing existing assessment evidence) can significantly decrease the time and resources required for organizational assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations may consider in determining whether to accept assessment results from external organizations can vary. Determinations for accepting assessment results can be based on, for example, past assessment experiences one organization has had with another organization, the reputation that organizations have with regard to assessments, the level of detail of supporting assessment documentation provided, or mandates imposed upon organizations by federal legislation, policies, or directives.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines an information system for which the results of a security assessment performed by an external organization are to be accepted;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines an external organization from which to accept a security assessment performed on an organization-defined information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the requirements to be met by a security assessment performed by organization-defined external organization on organization-defined information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccepts the results of an assessment of an organization-defined information system performed by an organization-defined external organization when the assessment meets organization-defined requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(3)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security assessments\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel performing security assessments for the specified external organization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ca-2_f", + "desc": "organization-defined information system", + "value": "organization-defined information system" + }, + { + "id": "ca-2_g", + "desc": "organization-defined external organization", + "value": "organization-defined external organization" + }, + { + "id": "ca-2_h", + "desc": "organization-defined requirements", + "value": "organization-defined requirements" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net", + "value": "Executive Order 13587" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-115", + "value": "NIST Special Publication 800-115" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.3", + "title": "SYSTEM INTERCONNECTIONS", + "params": [ + { + "id": "ca-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ca-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3a." + } + ] + }, + { + "class": "item", + "id": "smm_ca-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments, for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3b." + } + ] + }, + { + "class": "item", + "id": "smm_ca-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates Interconnection Security Agreements \u003cinsert param-id=\"ca-3_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to dedicated connections between information systems (i.e., system interconnections) and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations carefully consider the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within organizations and external to organizations. Authorizing officials determine the risk associated with information system connections and the appropriate controls employed. If interconnecting systems have the same authorizing official, organizations do not need to develop Interconnection Security Agreements. Instead, organizations can describe the interface characteristics between those interconnecting systems in their respective security plans. If interconnecting systems have different authorizing officials within the same organization, organizations can either develop Interconnection Security Agreements or describe the interface characteristics between systems in the security plans for the respective systems. Organizations may also incorporate Interconnection Security Agreement information into formal contracts, especially for interconnections established between federal agencies and nonfederal (i.e., private sector) organizations. Risk considerations also include information systems sharing the same networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices), there may be specialized connections in place during preoperational testing. Such connections may require Interconnection Security Agreements and be subject to additional security controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.20" + }, + { + "href": "#au.2" + }, + { + "href": "#au.12" + }, + { + "href": "#au.16" + }, + { + "href": "#ca.7" + }, + { + "href": "#ia.3" + }, + { + "href": "#sa.9" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments, for each interconnection:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe interface characteristics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-3.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe nature of the information communicated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(b)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-3.c.", + "props": [ + { + "class": "name", + "value": "CA-3(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-3.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update Interconnection Security Agreements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-3.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates Interconnection Security Agreements with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system Interconnection Security Agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for developing, implementing, or approving information system interconnection agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel managing the system(s) to which the Interconnection Security Agreement applies\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.3.1.", + "title": "UNCLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS", + "props": [ + { + "class": "name", + "value": "CA-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the direct connection of an \u003cinsert param-id=\"ca-3_b\"/\u003e to an external network without the use of \u003cinsert param-id=\"ca-3_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-3.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines an unclassified, national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, national security system to an external network; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the direct connection of an organization-defined unclassified, national security system to an external network without the use of an organization-defined boundary protection device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system interconnection security agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for managing direct connections to external networks\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel managing directly connected external networks\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting the management of external network connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ca-3_b", + "desc": "organization-defined unclassified, national security system", + "value": "organization-defined unclassified, national security system" + }, + { + "id": "ca-3_c", + "desc": "organization-defined boundary protection device", + "value": "organization-defined boundary protection device" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.3.2.", + "title": "CLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS", + "props": [ + { + "class": "name", + "value": "CA-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the direct connection of a classified, national security system to an external network without the use of \u003cinsert param-id=\"ca-3_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface/cross-domain systems) provide information flow enforcement from information systems to external networks.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a boundary protection device to be used to establish the direct connection of a classified, national security system to an external network; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the direct connection of a classified, national security system to an external network without the use of an organization-defined boundary protection device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system interconnection security agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for managing direct connections to external networks\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel managing directly connected external networks\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting the management of external network connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ca-3_d", + "desc": "organization-defined boundary protection device", + "value": "organization-defined boundary protection device" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.3.3.", + "title": "UNCLASSIFIED NON-NATIONAL SECURITY SYSTEM CONNECTIONS", + "props": [ + { + "class": "name", + "value": "CA-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the direct connection of an \u003cinsert param-id=\"ca-3_e\"/\u003e to an external network without the use of \u003cinsert param-id=\"ca-3_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified non-national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-3.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines an unclassified, non-national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, non-national security system to an external network; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the direct connection of an organization-defined unclassified, non-national security system to an external network without the use of an organization-defined boundary protection device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system interconnection security agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for managing direct connections to external networks\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel managing directly connected external networks\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting the management of external network connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ca-3_e", + "desc": "organization-defined unclassified, non-national security system", + "value": "organization-defined unclassified, non-national security system" + }, + { + "id": "ca-3_f", + "desc": "Assignment; organization-defined boundary protection device", + "value": "Assignment; organization-defined boundary protection device" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.3.4.", + "title": "CONNECTIONS TO PUBLIC NETWORKS", + "props": [ + { + "class": "name", + "value": "CA-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the direct connection of an \u003cinsert param-id=\"ca-3_g\"/\u003e to a public network.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA public network is any network accessible to the general public including, for example, the Internet and organizational extranets with public access.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines an information system whose direct connection to a public network is to be prohibited; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the direct connection of an organization-defined information system to a public network.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system interconnection security agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003e\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eNetwork administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting the management of public network connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ca-3_g", + "desc": "organization-defined information system", + "value": "organization-defined information system" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.3.5.", + "title": "RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS", + "props": [ + { + "class": "name", + "value": "CA-3 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs [Selection: allow-all, deny-by-exception; deny-all, permit-by-exception] policy for allowing \u003cinsert param-id=\"ca-3_h\"/\u003e to connect to external information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can constrain information system connectivity to external domains (e.g., websites) by employing one of two policies with regard to such connectivity: (i) allow-all, deny by exception, also known as blacklisting (the weaker of the two policies); or (ii) deny-all, allow by exception, also known as whitelisting (the stronger of the two policies). For either policy, organizations determine what exceptions, if any, are acceptable.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-3.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems to be allowed to connect to external information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys one of the following policies for allowing organization-defined information systems to connect to external information systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(5)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-3.5.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eallow-all policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(5)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edeny-by-exception policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(5)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.5.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edeny-all policy; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(5)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.5.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003epermit-by-exception policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(5)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system interconnection agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for managing connections to external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing restrictions on external system connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ca-3_h", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-47", + "value": "NIST Special Publication 800-47" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.4", + "title": "SECURITY CERTIFICATION", + "props": [ + { + "class": "name", + "value": "CA-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CA-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ca.2" + } + ] + }, + { + "class": "SP800-53", + "id": "ca.5", + "title": "PLAN OF ACTION AND MILESTONES", + "params": [ + { + "id": "ca-5_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-5" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ca-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops a plan of action and milestones for the information system to document the organization�s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5a." + } + ] + }, + { + "class": "item", + "id": "smm_ca-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates existing plan of action and milestones \u003cinsert param-id=\"ca-5_a\"/\u003e based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlans of action and milestones are key documents in security authorization packages and are subject to federal reporting requirements established by OMB.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.4" + }, + { + "href": "#pm.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a plan of action and milestones for the information system to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edocument the organization’s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereduce or eliminate known vulnerabilities in the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-5.b.", + "props": [ + { + "class": "name", + "value": "CA-5(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-5.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to update the existing plan of action and milestones;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-5.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the existing plan of action and milestones with the organization-defined frequency based on the findings from:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-5.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity controls assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-5.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity impact analyses; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(b)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-5.b.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003econtinuous monitoring activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(b)[2][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing plan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with plan of action and milestones development and implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms for developing, implementing, and maintaining plan of action and milestones\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.5.1.", + "title": "AUTOMATION SUPPORT FOR ACCURACY / CURRENCY", + "props": [ + { + "class": "name", + "value": "CA-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-5.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccurate;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-5.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eup to date; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-5.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereadily available.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing plan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation, information system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with plan of action and milestones development and implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms for developing, implementing and maintaining plan of action and milestones\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/omb/memoranda_m02-01", + "value": "OMB Memorandum 02-01" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.6", + "title": "SECURITY AUTHORIZATION", + "params": [ + { + "id": "ca-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-6" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ca-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eAssigns a senior-level executive or manager as the authorizing official for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6a." + } + ] + }, + { + "class": "item", + "id": "smm_ca-6b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the authorizing official authorizes the information system for processing before commencing operations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6b." + } + ] + }, + { + "class": "item", + "id": "smm_ca-6c.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the security authorization \u003cinsert param-id=\"ca-6_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity authorizations are official management decisions, conveyed through authorization decision documents, by senior organizational officials or executives (i.e., authorizing officials) to authorize operation of information systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security controls. Authorizing officials provide budgetary oversight for organizational information systems or assume responsibility for the mission/business operations supported by those systems. The security authorization process is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials assume responsibility and are accountable for security risks associated with the operation and use of organizational information systems. Accordingly, authorizing officials are in positions with levels of authority commensurate with understanding and accepting such information security-related risks. OMB policy requires that organizations conduct ongoing authorizations of information systems by implementing continuous monitoring programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so separate reauthorization processes are not necessary. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages (i.e., security plans, security assessment reports, and plans of action and milestones) is updated on an ongoing basis, providing authorizing officials and information system owners with an up-to-date status of the security state of organizational information systems and environments of operation. To reduce the administrative cost of security reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#pm.9" + }, + { + "href": "#pm.10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-6.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eassigns a senior-level executive or manager as the authorizing official for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-6.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the authorizing official authorizes the information system for processing before commencing operations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-6.c.", + "props": [ + { + "class": "name", + "value": "CA-6(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-6.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to update the security authorization; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-6.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the security authorization with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security authorization\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity authorization package (including security plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorization statement)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security authorization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms that facilitate security authorizations and updates\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/omb/circulars_a130_a130trans4", + "value": "OMB Circular A-130" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/m11-33.pdf", + "value": "OMB Memorandum 11-33" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.7", + "title": "CONTINUOUS MONITORING", + "params": [ + { + "id": "ca-7_a", + "desc": "organization-defined metrics", + "value": "organization-defined metrics" + }, + { + "id": "ca-7_b", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "id": "ca-7_c", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "id": "ca-7_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ca-7_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-7" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ca-7a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishment of \u003cinsert param-id=\"ca-7_a\"/\u003e to be monitored;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7a." + } + ] + }, + { + "class": "item", + "id": "smm_ca-7b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishment of \u003cinsert param-id=\"ca-7_b\"/\u003e for monitoring and \u003cinsert param-id=\"ca-7_c\"/\u003e for assessments supporting such monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7b." + } + ] + }, + { + "class": "item", + "id": "smm_ca-7c.", + "prose": [ + "\u003cp class=\"description\"\u003eOngoing security control assessments in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7c." + } + ] + }, + { + "class": "item", + "id": "smm_ca-7d.", + "prose": [ + "\u003cp class=\"description\"\u003eOngoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7d." + } + ] + }, + { + "class": "item", + "id": "smm_ca-7e.", + "prose": [ + "\u003cp class=\"description\"\u003eCorrelation and analysis of security-related information generated by assessments and monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7e." + } + ] + }, + { + "class": "item", + "id": "smm_ca-7f.", + "prose": [ + "\u003cp class=\"description\"\u003eResponse actions to address results of the analysis of security-related information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7f." + } + ] + }, + { + "class": "item", + "id": "smm_ca-7g.", + "prose": [ + "\u003cp class=\"description\"\u003eReporting the security status of organization and the information system to \u003cinsert param-id=\"ca-7_d\"/\u003e \u003cinsert param-id=\"ca-7_e\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContinuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess/analyze security controls and information security-related risks at a frequency sufficient to support organizational risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Continuous monitoring programs also allow organizations to maintain the security authorizations of information systems and common controls over time in highly dynamic environments of operation with changing mission/business needs, threats, vulnerabilities, and technologies. Having access to security-related information on a continuing basis through reports/dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing security authorization decisions. Automation supports more frequent updates to security authorization packages, hardware/software/firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.5" + }, + { + "href": "#ca.6" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + }, + { + "href": "#pm.6" + }, + { + "href": "#pm.9" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.11" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.2" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.a.", + "props": [ + { + "class": "name", + "value": "CA-7(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that defines metrics to be monitored;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that includes monitoring of organization-defined metrics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a continuous monitoring program that includes monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.b.", + "props": [ + { + "class": "name", + "value": "CA-7(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that defines frequencies for monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines frequencies for assessments supporting monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that includes establishment of the organization-defined frequencies for monitoring and for assessments supporting monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(b)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.b.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a continuous monitoring program that includes establishment of organization-defined frequencies for monitoring and for assessments supporting such monitoring in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(b)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.c.", + "props": [ + { + "class": "name", + "value": "CA-7(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that includes ongoing security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a continuous monitoring program that includes ongoing security control assessments in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.d.", + "props": [ + { + "class": "name", + "value": "CA-7(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that includes ongoing security status monitoring of organization-defined metrics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a continuous monitoring program that includes ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(d)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.e.", + "props": [ + { + "class": "name", + "value": "CA-7(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that includes correlation and analysis of security-related information generated by assessments and monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a continuous monitoring program that includes correlation and analysis of security-related information generated by assessments and monitoring in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(e)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.f.", + "props": [ + { + "class": "name", + "value": "CA-7(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that includes response actions to address results of the analysis of security-related information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a continuous monitoring program that includes response actions to address results of the analysis of security-related information in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(f)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.g.", + "props": [ + { + "class": "name", + "value": "CA-7(g)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.g.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that defines the personnel or roles to whom the security status of the organization and information system are to be reported;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(g)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.g.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that defines the frequency to report the security status of the organization and information system to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(g)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.g.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that includes reporting the security status of the organization or information system to organizational-defined personnel or roles with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(g)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.g.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a continuous monitoring program that includes reporting the security status of the organization and information system to organization-defined personnel or roles with the organization-defined frequency in accordance with the organizational continuous monitoring strategy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(g)[4]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing continuous monitoring of information system security controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records, security impact analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003estatus reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with continuous monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eMechanisms implementing continuous monitoring\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.7.1.", + "title": "INDEPENDENT ASSESSMENT", + "props": [ + { + "class": "name", + "value": "CA-7 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs assessors or assessment teams with \u003cinsert param-id=\"ca-7_f\"/\u003e to monitor the security controls in the information system on an ongoing basis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can maximize the value of assessments of security controls during the continuous monitoring process by requiring that such assessments be conducted by assessors or assessment teams with appropriate levels of independence based on continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in advocacy positions for the organizations acquiring their services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-7.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a level of independence to be employed to monitor the security controls in the information system on an ongoing basis; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-7.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys assessors or assessment teams with the organization-defined level of independence to monitor the security controls in the information system on an ongoing basis.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing continuous monitoring of information system security controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity impact analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003estatus reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with continuous monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ca-7_f", + "desc": "organization-defined level of independence", + "value": "organization-defined level of independence" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.7.2.", + "title": "TYPES OF ASSESSMENTS", + "props": [ + { + "class": "name", + "value": "CA-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CA-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ca.2" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.7.3.", + "title": "TREND ANALYSES", + "props": [ + { + "class": "name", + "value": "CA-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/or the types of activities used in the continuous monitoring process need to be modified based on empirical data.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTrend analyses can include, for example, examining recent threat information regarding the types of threat events that have occurred within the organization or across the federal government, success rates of certain types of cyber attacks, emerging vulnerabilities in information technologies, evolving social engineering techniques, results from multiple security control assessments, the effectiveness of configuration settings, and findings from Inspectors General or auditors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs trend analyses to determine if the following items need to be modified based on empirical data:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-7.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity control implementations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-7.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe frequency of continuous monitoring activities; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-7.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe types of activities used in the continuous monitoring process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContinuous monitoring strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing continuous monitoring of information system security controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity impact analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003estatus reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with continuous monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/m11-33.pdf", + "value": "OMB Memorandum 11-33" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-115", + "value": "NIST Special Publication 800-115" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + }, + { + "citations": [ + { + "href": "http://www.us-cert.gov/ncas/alerts", + "value": "US-CERT Technical Cyber Security Alerts" + } + ] + }, + { + "citations": [ + { + "value": "DoD Information Assurance Vulnerability Alerts" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.8", + "title": "PENETRATION TESTING", + "params": [ + { + "id": "ca-8_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ca-8_b", + "desc": "organization-defined information systems or system components", + "value": "organization-defined information systems or system components" + } + ], + "props": [ + { + "class": "name", + "value": "CA-8" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization conducts penetration testing \u003cinsert param-id=\"ca-8_a\"/\u003e on \u003cinsert param-id=\"ca-8_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePenetration testing is a specialized type of assessment conducted on information systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Such testing can be used to either validate vulnerabilities or determine the degree of resistance organizational information systems have to adversaries within a set of specified constraints (e.g., time, resources, and/or skills). Penetration testing attempts to duplicate the actions of adversaries in carrying out hostile cyber attacks against organizations and provides a more in-depth analysis of security-related weaknesses/deficiencies. Organizations can also use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of an information system and can exercise both physical and technical security controls. A standard method for penetration testing includes, for example: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before the commencement of penetration testing scenarios. Organizations correlate the penetration testing rules of engagement with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Organizational risk assessments guide decisions on the level of independence required for personnel conducting penetration testing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-8-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems or system components on which penetration testing is to be conducted;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-8[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-8-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to conduct penetration testing on organization-defined information systems or system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-8[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-8-3.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts penetration testing on organization-defined information systems or system components with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-8[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing penetration testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003epenetration test report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities, system/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting penetration testing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.8.1.", + "title": "INDEPENDENT PENETRATION AGENT OR TEAM", + "props": [ + { + "class": "name", + "value": "CA-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndependent penetration agents or teams are individuals or groups who conduct impartial penetration testing of organizational information systems. Impartiality implies that penetration agents or teams are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the information systems that are the targets of the penetration testing. Supplemental guidance for CA-2 (1) provides additional information regarding independent assessments that can be applied to penetration testing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing penetration testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003epenetration test report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.8.2.", + "title": "RED TEAM EXERCISES", + "props": [ + { + "class": "name", + "value": "CA-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"ca-8_c\"/\u003e to simulate attempts by adversaries to compromise organizational information systems in accordance with \u003cinsert param-id=\"ca-8_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRed team exercises extend the objectives of penetration testing by examining the security posture of organizations and their ability to implement effective cyber defenses. As such, red team exercises reflect simulated adversarial attempts to compromise organizational mission/business functions and provide a comprehensive assessment of the security state of information systems and organizations. Simulated adversarial attempts to compromise organizational missions/business functions and the information systems that support those missions/functions may include technology-focused attacks (e.g., interactions with hardware, software, or firmware components and/or mission/business processes) and social engineering-based attacks (e.g., interactions via email, telephone, shoulder surfing, or personal conversations). While penetration testing may be largely laboratory-based testing, organizations use red team exercises to provide more comprehensive assessments that reflect real-world conditions. Red team exercises can be used to improve security awareness and training and to assess levels of security control effectiveness.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-8.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines red team exercises to be employed to simulate attempts by adversaries to compromise organizational information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-8(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-8.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines rules of engagement for employing organization-defined red team exercises; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-8(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-8.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined red team exercises to simulate attempts by adversaries to compromise organizational information systems in accordance with organization-defined rules of engagement.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-8(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing penetration testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing red team exercises\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eresults of red team exercise\u003c/p\u003e", + "\u003cp class=\"object\"\u003epenetration test report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules of engagement\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting employment of red team exercises\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ca-8_c", + "desc": "organization-defined red team exercises", + "value": "organization-defined red team exercises" + }, + { + "id": "ca-8_d", + "desc": "organization-defined rules of engagement", + "value": "organization-defined rules of engagement" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ca.9", + "title": "INTERNAL SYSTEM CONNECTIONS", + "params": [ + { + "id": "ca-9_a", + "desc": "organization-defined information system components or classes of components", + "value": "organization-defined information system components or classes of components" + } + ], + "props": [ + { + "class": "name", + "value": "CA-9" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ca-9a.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes internal connections of \u003cinsert param-id=\"ca-9_a\"/\u003e to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9a." + } + ] + }, + { + "class": "item", + "id": "smm_ca-9b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments, for each internal connection, the interface characteristics, security requirements, and the nature of the information communicated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to connections between organizational information systems and (separate) constituent system components (i.e., intra-system connections) including, for example, system connections with mobile devices, notebook/desktop computers, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal connection, organizations can authorize internal connections for a class of components with common characteristics and/or configurations, for example, all digital printers, scanners, and copiers with a specified processing, storage, and transmission capability or all smart phones with a specific baseline configuration.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#au.2" + }, + { + "href": "#au.12" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-9.a.", + "props": [ + { + "class": "name", + "value": "CA-9(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-9.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components or classes of components to be authorized as internal connections to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-9.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes internal connections of organization-defined information system components or classes of components to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-9.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments, for each internal connection:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-9.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe interface characteristics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-9.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe security requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-9.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe nature of the information communicated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9(b)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of components or classes of components authorized as internal system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for developing, implementing, or authorizing internal system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.9.1.", + "title": "SECURITY COMPLIANCE CHECKS", + "props": [ + { + "class": "name", + "value": "CA-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system performs security compliance checks on constituent system components prior to the establishment of the internal connection.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity compliance checks may include, for example, verification of the relevant baseline configuration.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system performs security compliance checks on constituent system components prior to the establishment of the internal connection. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of components or classes of components authorized as internal system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for developing, implementing, or authorizing internal system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting compliance checks\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "CONFIGURATION MANAGEMENT", + "controls": [ + { + "class": "SP800-53", + "id": "cm.1", + "title": "CONFIGURATION MANAGEMENT POLICY AND PROCEDURES", + "params": [ + { + "id": "cm-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "cm-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"cm-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_cm-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_cm-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the configuration management policy and associated configuration management controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_cm-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_cm-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eConfiguration management policy \u003cinsert param-id=\"cm-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_cm-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eConfiguration management procedures \u003cinsert param-id=\"cm-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-1.a.1.", + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a configuration management policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the configuration management policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the configuration management policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.2.", + "props": [ + { + "class": "name", + "value": "CM-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the configuration management policy and associated configuration management controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.b.1.", + "props": [ + { + "class": "name", + "value": "CM-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current configuration management policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current configuration management policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.b.2.", + "props": [ + { + "class": "name", + "value": "CM-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current configuration management procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current configuration management procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.2", + "title": "BASELINE CONFIGURATION", + "props": [ + { + "class": "name", + "value": "CM-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control establishes baseline configurations for information systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + }, + { + "href": "#cm.9" + }, + { + "href": "#sa.10" + }, + { + "href": "#pm.5" + }, + { + "href": "#pm.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-2-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a current baseline configuration of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-2-2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains, under configuration control, a current baseline configuration of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting configuration control of the baseline configuration\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.2.1.", + "title": "REVIEWS AND UPDATES", + "props": [ + { + "class": "name", + "value": "CM-2 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reviews and updates the baseline configuration of the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-2.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"cm-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-2.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required due to \u003cinsert param-id=\"cm-2_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2 (1)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-2.1.c.", + "prose": [ + "\u003cp class=\"description\"\u003eAs an integral part of information system component installations and upgrades.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2 (1)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cm.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.1.a.", + "props": [ + { + "class": "name", + "value": "CM-2(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the baseline configuration of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the baseline configuration of the information system with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(1)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.1.b.", + "props": [ + { + "class": "name", + "value": "CM-2(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines circumstances that require the baseline configuration of the information system to be reviewed and updated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(1)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the baseline configuration of the information system when required due to organization-defined circumstances; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(1)(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the baseline configuration of the information system as an integral part of information system component installations and upgrades.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(1)(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component installations and upgrades\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of information system baseline configuration reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system component installations/upgrades and associated records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting review and update of the baseline configuration\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-2_b", + "desc": "Assignment organization-defined circumstances", + "value": "Assignment organization-defined circumstances" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.2.", + "title": "AUTOMATION SUPPORT FOR ACCURACY / CURRENCY", + "props": [ + { + "class": "name", + "value": "CM-2 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms that help organizations maintain consistent baseline configurations for information systems include, for example, hardware and software inventory tools, configuration management tools, and network management tools. Such tools can be deployed and/or allocated as common controls, at the information system level, or at the operating system or component level (e.g., on workstations, servers, notebook computers, network components, or mobile devices). Tools can be used, for example, to track version numbers on operating system applications, types of software installed, and current patch levels. This control enhancement can be satisfied by the implementation of CM-8 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + }, + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to maintain: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ean up-to-date baseline configuration of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ea complete baseline configuration of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ean accurate baseline configuration of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ea readily available baseline configuration of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration change control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing baseline configuration maintenance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.3.", + "title": "RETENTION OF PREVIOUS CONFIGURATIONS", + "props": [ + { + "class": "name", + "value": "CM-2 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization retains \u003cinsert param-id=\"cm-2_c\"/\u003e to support rollback.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRetaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines previous versions of baseline configurations of the information system to be retained to support rollback; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains organization-defined previous versions of baseline configurations of the information system to support rollback.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecopies of previous baseline configuration versions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-2_c", + "desc": "organization-defined previous versions of baseline configurations of the information system", + "value": "organization-defined previous versions of baseline configurations of the information system" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.4.", + "title": "UNAUTHORIZED SOFTWARE", + "props": [ + { + "class": "name", + "value": "CM-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.5.", + "title": "AUTHORIZED SOFTWARE", + "props": [ + { + "class": "name", + "value": "CM-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.6.", + "title": "DEVELOPMENT AND TEST ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "CM-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEstablishing separate baseline configurations for development, testing, and operational environments helps protect information systems from unplanned/unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, management of operational configurations typically emphasizes the need for stability, while management of development/test configurations requires greater flexibility. Configurations in the test environment mirror the configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. This control enhancement requires separate configurations but not necessarily separate physical environments.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.4" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing separate baseline configurations for development, test, and operational environments\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.7.", + "title": "CONFIGURE SYSTEMS, COMPONENTS, OR DEVICES FOR HIGH-RISK AREAS", + "props": [ + { + "class": "name", + "value": "CM-2 (7)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-2.7.a.", + "prose": [ + "\u003cp class=\"description\"\u003eIssues \u003cinsert param-id=\"cm-2_d\"/\u003e with \u003cinsert param-id=\"cm-2_e\"/\u003e to individuals traveling to locations that the organization deems to be of significant risk; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-2.7.b.", + "prose": [ + "\u003cp class=\"description\"\u003eApplies \u003cinsert param-id=\"cm-2_f\"/\u003e to the devices when the individuals return.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2 (7)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen it is known that information systems, system components, or devices (e.g., notebook computers, mobile devices) will be located in high-risk areas, additional security controls may be implemented to counter the greater threat in such areas coupled with the lack of physical security relative to organizational-controlled areas. For example, organizational policies and procedures for notebook computers used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific safeguards to the device after travel is completed. Specially configured notebook computers include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified safeguards applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.7.a.", + "props": [ + { + "class": "name", + "value": "CM-2(7)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems, system components, or devices to be issued to individuals traveling to locations that the organization deems to be of significant risk;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(7)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines configurations to be employed on organization-defined information systems, system components, or devices issued to individuals traveling to such locations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(7)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.7.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eissues organization-defined information systems, system components, or devices with organization-defined configurations to individuals traveling to locations that the organization deems to be of significant risk;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(7)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.7.b.", + "props": [ + { + "class": "name", + "value": "CM-2(7)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.7.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be applied to the devices when the individuals return; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(7)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.7.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eapplies organization-defined safeguards to the devices when the individuals return.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(7)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component installations and upgrades\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of information system baseline configuration reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system component installations/upgrades and associated records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-2_d", + "desc": "organization-defined information systems, system components, or devices", + "value": "organization-defined information systems, system components, or devices" + }, + { + "id": "cm-2_e", + "desc": "organization-defined configurations", + "value": "organization-defined configurations" + }, + { + "id": "cm-2_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.3", + "title": "CONFIGURATION CHANGE CONTROL", + "params": [ + { + "id": "cm-3_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "cm-3_b", + "desc": "organization-defined configuration change control element (e.g., committee, board)", + "value": "organization-defined configuration change control element (e.g., committee, board)" + }, + { + "id": "cm-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-3_d", + "desc": "organization-defined configuration change conditions", + "value": "organization-defined configuration change conditions" + } + ], + "props": [ + { + "class": "name", + "value": "CM-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines the types of changes to the information system that are configuration-controlled;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3a." + } + ] + }, + { + "class": "item", + "id": "smm_cm-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3b." + } + ] + }, + { + "class": "item", + "id": "smm_cm-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments configuration change decisions associated with the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3c." + } + ] + }, + { + "class": "item", + "id": "smm_cm-3d.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements approved configuration-controlled changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3d." + } + ] + }, + { + "class": "item", + "id": "smm_cm-3e.", + "prose": [ + "\u003cp class=\"description\"\u003eRetains records of configuration-controlled changes to the information system for \u003cinsert param-id=\"cm-3_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3e." + } + ] + }, + { + "class": "item", + "id": "smm_cm-3f.", + "prose": [ + "\u003cp class=\"description\"\u003eAudits and reviews activities associated with configuration-controlled changes to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3f." + } + ] + }, + { + "class": "item", + "id": "smm_cm-3g.", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinates and provides oversight for configuration change control activities through \u003cinsert param-id=\"cm-3_b\"/\u003e that convenes [Selection (one or more): \u003cinsert param-id=\"cm-3_c\"/\u003e; \u003cinsert param-id=\"cm-3_d\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConfiguration change controls for organizational information systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of information systems, changes to configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical processes for managing configuration changes to information systems include, for example, Configuration Control Boards that approve proposed changes to systems. For new development information systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards. Auditing of changes includes activities before and after changes are made to organizational information systems and the auditing activities required to implement such changes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.9" + }, + { + "href": "#sa.10" + }, + { + "href": "#si.2" + }, + { + "href": "#si.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines the type of changes to the information system that must be configuration-controlled;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments configuration change decisions associated with the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements approved configuration-controlled changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.e.", + "props": [ + { + "class": "name", + "value": "CM-3(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-3.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period to retain records of configuration-controlled changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains records of configuration-controlled changes to the information system for the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(e)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.f.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudits and reviews activities associated with configuration-controlled changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(f)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.g.", + "props": [ + { + "class": "name", + "value": "CM-3(g)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-3.g.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a configuration change control element (e.g., committee, board) responsible for coordinating and providing oversight for configuration change control activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(g)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.g.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency with which the configuration change control element must convene; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(g)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.g.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines configuration change conditions that prompt the configuration change control element to convene; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(g)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.g.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates and provides oversight for configuration change control activities through organization-defined configuration change control element that convenes at organization-defined frequency and/or for any organization-defined configuration change conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(g)[4]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control audit and review reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eagenda /minutes from configuration change control oversight meetings\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003emembers of change control board or similar\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms that implement configuration change control\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.3.1.", + "title": "AUTOMATED DOCUMENT / NOTIFICATION / PROHIBITION OF CHANGES", + "props": [ + { + "class": "name", + "value": "CM-3 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-3.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eDocument proposed changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-3.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eNotify \u003cinsert param-id=\"cm-3_e\"/\u003e of proposed changes to the information system and request change approval;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-3.1.c.", + "prose": [ + "\u003cp class=\"description\"\u003eHighlight proposed changes to the information system that have not been approved or disapproved by \u003cinsert param-id=\"cm-3_f\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-3.1.d.", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit changes to the information system until designated approvals are received;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(d)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-3.1.e.", + "prose": [ + "\u003cp class=\"description\"\u003eDocument all changes to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(e)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-3.1.f.", + "prose": [ + "\u003cp class=\"description\"\u003eNotify \u003cinsert param-id=\"cm-3_g\"/\u003e when approved changes to the information system are completed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(f)" + } + ] + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to document proposed changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.b.", + "props": [ + { + "class": "name", + "value": "CM-3(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines approval authorities to be notified of proposed changes to the information system and request change approval;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to notify organization-defined approval authorities of proposed changes to the information system and request change approval;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.c.", + "props": [ + { + "class": "name", + "value": "CM-3(1)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.1.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which proposed changes to the information system that have not been approved or disapproved must be highlighted;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to highlight proposed changes to the information system that have not been approved or disapproved by organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to prohibit changes to the information system until designated approvals are received;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(d)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to document all changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(e)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.f.", + "props": [ + { + "class": "name", + "value": "CM-3(1)(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.1.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel to be notified when approved changes to the information system are completed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to notify organization-defined personnel when approved changes to the information system are completed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(f)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated configuration control mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange approval requests\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange approvals\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing configuration change control activities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-3_e", + "desc": "organized-defined approval authorities", + "value": "organized-defined approval authorities" + }, + { + "id": "cm-3_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "cm-3_g", + "desc": "organization-defined personnel", + "value": "organization-defined personnel" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.2.", + "title": "TEST / VALIDATE / DOCUMENT CHANGES", + "props": [ + { + "class": "name", + "value": "CM-3 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests, validates, and documents changes to the information system before implementing the changes on the operational system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eChanges to information systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with information system operations. Individuals/groups conducting tests understand organizational security policies and procedures, information system security policies and procedures, and the specific health, safety, and environmental risks associated with particular facilities/processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If information systems must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. If testing cannot be conducted on operational systems, organizations employ compensating controls (e.g., testing on replicated systems).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, before implementing changes on the operational system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003etests changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003evalidates changes to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments changes to the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest records\u003c/p\u003e", + "\u003cp class=\"object\"\u003evalidation records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing testing, validating, and documenting information system changes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.3.", + "title": "AUTOMATED CHANGE IMPLEMENTATION", + "props": [ + { + "class": "name", + "value": "CM-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to implement changes to the current information system baseline; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edeploys the updated baseline across the installed base.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated configuration control mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing changes to current information system baseline\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.4.", + "title": "SECURITY REPRESENTATIVE", + "props": [ + { + "class": "name", + "value": "CM-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires an information security representative to be a member of the \u003cinsert param-id=\"cm-3_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation security representatives can include, for example, senior agency information security officers, information system security officers, or information system security managers. Representation by personnel with information security expertise is important because changes to information system configurations can have unintended side effects, some of which may be security-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security state of organizational information systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003especifies the configuration change control elements (as defined in CM-3g) of which an information security representative is to be a member; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires an information security representative to be a member of the specified configuration control element.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration change control\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-3_h", + "desc": "organization-defined configuration change control element", + "value": "organization-defined configuration change control element" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.5.", + "title": "AUTOMATED SECURITY RESPONSE", + "props": [ + { + "class": "name", + "value": "CM-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"cm-3_i\"/\u003e automatically if baseline configurations are changed in an unauthorized manner.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity responses include, for example, halting information system processing, halting selected system functions, or issuing alerts/notifications to organizational personnel when there is an unauthorized modification of a configuration item.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security responses to be implemented automatically if baseline configurations are changed in an unauthorized manner; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined security responses automatically if baseline configurations are changed in an unauthorized manner.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications of unauthorized baseline configuration changes\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing security responses to changes to the baseline configurations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-3_i", + "desc": "organization-defined security responses", + "value": "organization-defined security responses" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.6.", + "title": "CRYPTOGRAPHY MANAGEMENT", + "props": [ + { + "class": "name", + "value": "CM-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that cryptographic mechanisms used to provide \u003cinsert param-id=\"cm-3_j\"/\u003e are under configuration management.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRegardless of the cryptographic means employed (e.g., public key, private key, shared secrets), organizations ensure that there are processes and procedures in place to effectively manage those means. For example, if devices use certificates as a basis for identification and authentication, there needs to be a process in place to address the expiration of those certificates.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards provided by cryptographic mechanisms that are to be under configuration management; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that cryptographic mechanisms used to provide organization-defined security safeguards are under configuration management.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms implementing organizational security safeguards\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-3_j", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.4", + "title": "SECURITY IMPACT ANALYSIS", + "props": [ + { + "class": "name", + "value": "CM-4" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization analyzes changes to the information system to determine potential security impacts prior to change implementation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities (e.g., Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers) conduct security impact analyses. Individuals conducting security impact analyses possess the necessary skills/technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing security plans to understand security control requirements and reviewing system design documentation to understand control implementation and how specific changes might affect the controls. Security impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security controls are required. Security impact analyses are scaled in accordance with the security categories of the information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.9" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.10" + }, + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization analyzes changes to the information system to determine potential security impacts prior to change implementation.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security impact analysis for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity impact analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanalysis tools and associated outputs\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for conducting security impact analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security impact analysis\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.4.1.", + "title": "SEPARATE TEST ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "CM-4 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization analyzes changes to the information system in a separate test environment before implementation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSeparate test environment in this context means an environment that is physically or logically isolated and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not used, organizations determine the strength of mechanism required when implementing logical separation (e.g., separation achieved through virtual machines).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.11" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-4.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalyzes changes to the information system in a separate test environment before implementation in an operational environment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-4.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen analyzing changes to the information system in a separate test environment, looks for security impacts due to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-4.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eflaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-4.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eweaknesses;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(1)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-4.1.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eincompatibility; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(1)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-4.1.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eintentional malice.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(1)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security impact analysis for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity impact analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanalysis tools and associated outputs information system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation evidence of separate test and operational environments\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for conducting security impact analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security impact analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security impact analysis of changes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.4.2.", + "title": "VERIFICATION OF SECURITY FUNCTIONS", + "props": [ + { + "class": "name", + "value": "CM-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eImplementation is this context refers to installing changed code in the operational information system.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, after the information system is changed, checks the security functions to verify that the functions are:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplemented correctly;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eoperating as intended; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-4.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eproducing the desired outcome with regard to meeting the security requirements for the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security impact analysis for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity impact analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanalysis tools and associated outputs\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for conducting security impact analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security impact analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing verification of security functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.5", + "title": "ACCESS RESTRICTIONS FOR CHANGE", + "props": [ + { + "class": "name", + "value": "CM-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAny changes to the hardware, software, and/or firmware components of information systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access information systems for purposes of initiating changes, including upgrades and modifications. Organizations maintain records of access to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#pe.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-5-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines physical access restrictions associated with changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-5-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments physical access restrictions associated with changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-5-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves physical access restrictions associated with changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-5-4.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces physical access restrictions associated with changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-5-5.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines logical access restrictions associated with changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[5]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-5-6.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments logical access restrictions associated with changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[6]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-5-7.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves logical access restrictions associated with changes to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[7]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-5-8.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces logical access restrictions associated with changes to the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[8]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elogical access approvals\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access approvals\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with logical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting/implementing/enforcing access restrictions associated with changes to the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.5.1.", + "title": "AUTOMATED ACCESS ENFORCEMENT / AUDITING", + "props": [ + { + "class": "name", + "value": "CM-5 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces access restrictions and supports auditing of the enforcement actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + }, + { + "href": "#au.6" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-5.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces access restrictions for change; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esupports auditing of the enforcement actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing enforcement of access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting auditing of enforcement actions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.2.", + "title": "REVIEW SYSTEM CHANGES", + "props": [ + { + "class": "name", + "value": "CM-5 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reviews information system changes \u003cinsert param-id=\"cm-5_a\"/\u003e and \u003cinsert param-id=\"cm-5_b\"/\u003e to determine whether unauthorized changes have occurred.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndications that warrant review of information system changes and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#pe.6" + }, + { + "href": "#pe.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, in an effort to ascertain whether unauthorized changes have occurred:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-5.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review information system changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines circumstances that warrant review of information system changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews information system changes with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews information system changes with the organization-defined circumstances.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereviews of information system changes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit and review reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting/implementing information system reviews to determine whether unauthorized changes have occurred\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-5_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-5_b", + "desc": "organization-defined circumstances", + "value": "organization-defined circumstances" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.3.", + "title": "SIGNED COMPONENTS", + "props": [ + { + "class": "name", + "value": "CM-5 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents the installation of \u003cinsert param-id=\"cm-5_c\"/\u003e without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSoftware and firmware components prevented from installation unless signed with recognized and approved certificates include, for example, software and firmware version updates, patches, service packs, device drivers, and basic input output system (BIOS) updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures, is a method of code authentication.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + }, + { + "href": "#sc.13" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-5.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines software and firmware components that the information system will prevent from being installed without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents the installation of organization-defined software and firmware components without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of software and firmware components to be prohibited from installation without a recognized and approved certificate\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms preventing installation of software and firmware components not signed with an organization-recognized and approved certificate\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-5_c", + "desc": "organization-defined software and firmware components", + "value": "organization-defined software and firmware components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.4.", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "CM-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization enforces dual authorization for implementing changes to \u003cinsert param-id=\"cm-5_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ dual authorization to ensure that any changes to selected information system components and information cannot occur unless two qualified individuals implement such changes. The two individuals possess sufficient skills/expertise to determine if the proposed changes are correct implementations of approved changes. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.5" + }, + { + "href": "#cm.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-5.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components and system-level information requiring dual authorization to be enforced when implementing changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces dual authorization for implementing changes to organization-defined information system components and system-level information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with dual authorization enforcement responsibilities for implementing information system changes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing dual authorization enforcement\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-5_d", + "desc": "organization-defined information system components and system-level information", + "value": "organization-defined information system components and system-level information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.5.", + "title": "LIMIT PRODUCTION / OPERATIONAL PRIVILEGES", + "props": [ + { + "class": "name", + "value": "CM-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-5.5.a.", + "prose": [ + "\u003cp class=\"description\"\u003eLimits privileges to change information system components and system-related information within a production or operational environment; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-5.5.b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and reevaluates privileges \u003cinsert param-id=\"cm-5_e\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5 (5)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn many organizations, information systems support multiple core missions/business functions. Limiting privileges to change information system components with respect to operational systems is necessary because changes to a particular information system component may have far-reaching effects on mission/business processes supported by the system where the component resides. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-5.5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003elimits privileges to change information system components and system-related information within a production or operational environment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(5)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.5.b.", + "props": [ + { + "class": "name", + "value": "CM-5(5)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-5.5.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and reevaluate privileges; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(5)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.5.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and reevaluates privileges with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(5)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003euser privilege reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003euser privilege recertifications\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing access restrictions for change\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-5_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.6.", + "title": "LIMIT LIBRARY PRIVILEGES", + "props": [ + { + "class": "name", + "value": "CM-5 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization limits privileges to change software resident within software libraries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSoftware libraries include privileged programs.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization limits privileges to change software resident within software libraries.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing access restrictions for change\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.7.", + "title": "AUTOMATIC IMPLEMENTATION OF SECURITY SAFEGUARDS", + "props": [ + { + "class": "name", + "value": "CM-5 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.7" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "cm.6", + "title": "CONFIGURATION SETTINGS", + "params": [ + { + "id": "cm-6_a", + "desc": "organization-defined security configuration checklists", + "value": "organization-defined security configuration checklists" + }, + { + "id": "cm-6_b", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "cm-6_c", + "desc": "organization-defined operational requirements", + "value": "organization-defined operational requirements" + } + ], + "props": [ + { + "class": "name", + "value": "CM-6" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes and documents configuration settings for information technology products employed within the information system using \u003cinsert param-id=\"cm-6_a\"/\u003e that reflect the most restrictive mode consistent with operational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6a." + } + ] + }, + { + "class": "item", + "id": "smm_cm-6b.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements the configuration settings;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6b." + } + ] + }, + { + "class": "item", + "id": "smm_cm-6c.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies, documents, and approves any deviations from established configuration settings for \u003cinsert param-id=\"cm-6_b\"/\u003e based on \u003cinsert param-id=\"cm-6_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6c." + } + ] + }, + { + "class": "item", + "id": "smm_cm-6d.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors and controls changes to the configuration settings in accordance with organizational policies and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConfiguration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of the systems configuration baseline. Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the United States Government Configuration Baseline (USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.7" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-6.a.", + "props": [ + { + "class": "name", + "value": "CM-6(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-6.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security configuration checklists to be used to establish and document configuration settings for the information technology products employed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures the defined security configuration checklists reflect the most restrictive mode consistent with operational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes and documents configuration settings for information technology products employed within the information system using organization-defined security configuration checklists;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements the configuration settings established/documented in CM-6(a);;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.", + "props": [ + { + "class": "name", + "value": "CM-6(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-6.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components for which any deviations from established configuration settings must be:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-6.c.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentified;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocumented;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproved;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines operational requirements to support:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-6.c.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe identification of any deviations from established configuration settings;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe documentation of any deviations from established configuration settings;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe approval of any deviations from established configuration settings;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[2][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.5.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[5]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.d.", + "props": [ + { + "class": "name", + "value": "CM-6(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-6.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors changes to the configuration settings in accordance with organizational policies and procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols changes to the configuration settings in accordance with organizational policies and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration settings for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence supporting approved deviations from established configuration settings\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + 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"class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.6.1.", + "title": "AUTOMATED CENTRAL MANAGEMENT / APPLICATION / VERIFICATION", + "props": [ + { + "class": "name", + "value": "CM-6 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to centrally manage, apply, and verify configuration settings for \u003cinsert param-id=\"cm-6_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#cm.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-6.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components for which automated mechanisms are to be employed to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-6.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecentrally manage configuration settings of such components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-6.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eapply configuration settings of such components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-6.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003everify configuration settings of such components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-6.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-6.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecentrally manage configuration settings for organization-defined information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-6.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eapply configuration settings for organization-defined information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-6.1.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003everify configuration settings for organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration settings for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing configuration settings\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implemented to centrally manage, apply, and verify information system configuration settings\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-6_d", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.6.2.", + "title": "RESPOND TO UNAUTHORIZED CHANGES", + "props": [ + { + "class": "name", + "value": "CM-6 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"cm-6_e\"/\u003e to respond to unauthorized changes to \u003cinsert param-id=\"cm-6_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eResponses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected information system processing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.4" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-6.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines configuration settings that, if modified by unauthorized changes, result in organizational security safeguards being employed to respond to such changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-6.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to respond to unauthorized changes to organization-defined configuration settings; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-6.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards to respond to unauthorized changes to organization-defined configuration settings.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration settings for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications of unauthorized changes to information system configuration settings\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumented responses to unauthorized changes to information system configuration settings\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for responding to unauthorized changes to information system configuration settings\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security safeguards for response to unauthorized changes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-6_e", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "cm-6_f", + "desc": "organization-defined configuration settings", + "value": "organization-defined configuration settings" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.6.3.", + "title": "UNAUTHORIZED CHANGE DETECTION", + "props": [ + { + "class": "name", + "value": "CM-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.6.4.", + "title": "CONFORMANCE DEMONSTRATION", + "props": [ + { + "class": "name", + "value": "CM-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.4" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2007/m07-11.pdf", + "value": "OMB Memorandum 07-11" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2007/m07-18.pdf", + "value": "OMB Memorandum 07-18" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2008/m08-22.pdf", + "value": "OMB Memorandum 08-22" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-70", + "value": "NIST Special Publication 800-70" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + }, + { + "citations": [ + { + "href": "http://nvd.nist.gov", + "value": "http://nvd.nist.gov" + } + ] + }, + { + "citations": [ + { + "href": "http://checklists.nist.gov", + "value": "http://checklists.nist.gov" + } + ] + }, + { + "citations": [ + { + "href": "http://www.nsa.gov", + "value": "http://www.nsa.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.7", + "title": "LEAST FUNCTIONALITY", + "params": [ + { + "id": "cm-7_a", + "desc": "organization-defined prohibited or restricted functions, ports, protocols, and/or services", + "value": "organization-defined prohibited or restricted functions, ports, protocols, and/or services" + } + ], + "props": [ + { + "class": "name", + "value": "CM-7" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-7a.", + "prose": [ + "\u003cp class=\"description\"\u003eConfigures the information system to provide only essential capabilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7a." + } + ] + }, + { + "class": "item", + "id": "smm_cm-7b.", + "prose": [ + "\u003cp class=\"description\"\u003eProhibits or restricts the use of the following functions, ports, protocols, and/or services: \u003cinsert param-id=\"cm-7_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems can provide a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from single information system components, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email servers or web servers, but not both). Organizations review functions and services provided by information systems or individual components of information systems, to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing). Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#cm.2" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.5" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-7.a.", + "prose": [ + "\u003cp class=\"decision\"\u003econfigures the information system to provide only essential capabilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.", + "props": [ + { + "class": "name", + "value": "CM-7(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-7.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines prohibited or restricted:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-7.b.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[1][d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits or restricts the use of organization-defined:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-7.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[2][d]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes prohibiting or restricting functions, ports, protocols, and/or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing restrictions or prohibition of functions, ports, protocols, and/or services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.7.1.", + "title": "PERIODIC REVIEW", + "props": [ + { + "class": "name", + "value": "CM-7 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-7.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the information system \u003cinsert param-id=\"cm-7_b\"/\u003e to identify unnecessary and/or nonsecure functions, ports, protocols, and services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-7.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eDisables \u003cinsert param-id=\"cm-7_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe organization can either make a determination of the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are examples of less than secure protocols.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#cm.7" + }, + { + "href": "#ia.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.1.a.", + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the information system to identify unnecessary and/or nonsecure:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.1.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.a.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.a.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1][d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the information system with the organization-defined frequency to identify unnecessary and/or nonsecure:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.1.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.a.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.a.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.", + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines, within the information system, unnecessary and/or nonsecure:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.1.b.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1][d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edisables organization-defined unnecessary and/or nonsecure:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.1.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2][d]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumented reviews of functions, ports, protocols, and/or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for reviewing/disabling nonsecure functions, ports, protocols, and/or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing review and disabling of nonsecure functions, ports, protocols, and/or services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-7_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-7_c", + "desc": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure", + "value": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.7.2.", + "title": "PREVENT PROGRAM EXECUTION", + "props": [ + { + "class": "name", + "value": "CM-7 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents program execution in accordance with [Selection (one or more): \u003cinsert param-id=\"cm-7_d\"/\u003e; rules authorizing the terms and conditions of software program usage].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cm.8" + }, + { + "href": "#pm.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines policies regarding software program usage and restrictions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents program execution in accordance with one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(2)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined policies regarding program usage and restrictions; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(2)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erules authorizing the terms and conditions of software program usage.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(2)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003especifications for preventing software program execution\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes preventing program execution on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for software program usage and restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms preventing program execution on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing software program usage and restrictions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-7_d", + "desc": "organization-defined policies regarding software program usage and restrictions", + "value": "organization-defined policies regarding software program usage and restrictions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.7.3.", + "title": "REGISTRATION COMPLIANCE", + "props": [ + { + "class": "name", + "value": "CM-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures compliance with \u003cinsert param-id=\"cm-7_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations use the registration process to manage, track, and provide oversight for information systems and implemented functions, ports, protocols, and services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines registration requirements for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.3.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.3.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.3.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.3.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[1][d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures compliance with organization-defined registration requirements for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.3.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.3.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.3.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.3.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit and compliance reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes ensuring compliance with registration requirements for functions, ports, protocols, and/or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing compliance with registration requirements for functions, ports, protocols, and/or services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-7_e", + "desc": "organization-defined registration requirements for functions, ports, protocols, and services", + "value": "organization-defined registration requirements for functions, ports, protocols, and services" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.7.4.", + "title": "UNAUTHORIZED SOFTWARE / BLACKLISTING", + "props": [ + { + "class": "name", + "value": "CM-7 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-7.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies \u003cinsert param-id=\"cm-7_f\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-7.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-7.4.c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the list of unauthorized software programs \u003cinsert param-id=\"cm-7_g\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (4)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe process used to identify software programs that are not authorized to execute on organizational information systems is commonly referred to as blacklisting. Organizations can implement CM-7 (5) instead of this control enhancement if whitelisting (the stronger of the two policies) is the preferred approach for restricting software program execution.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + }, + { + "href": "#pm.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eIdentifies/defines software programs not authorized to execute on the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(4)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(4)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.4.c.", + "props": [ + { + "class": "name", + "value": "CM-7(4)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the list of unauthorized software programs on the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(4)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the list of unauthorized software programs with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(4)(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of software programs not authorized to execute on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereview and update records associated with list of unauthorized software programs\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for identifying software not authorized to execute on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for identifying, reviewing, and updating programs not authorized to execute on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for implementing blacklisting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing blacklisting\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-7_f", + "desc": "organization-defined software programs not authorized to execute on the information system", + "value": "organization-defined software programs not authorized to execute on the information system" + }, + { + "id": "cm-7_g", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.7.5.", + "title": "AUTHORIZED SOFTWARE / WHITELISTING", + "props": [ + { + "class": "name", + "value": "CM-7 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-7.5.a.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies \u003cinsert param-id=\"cm-7_h\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-7.5.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (5)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-7.5.c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the list of authorized software programs \u003cinsert param-id=\"cm-7_i\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (5)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe process used to identify software programs that are authorized to execute on organizational information systems is commonly referred to as whitelisting. In addition to whitelisting, organizations consider verifying the integrity of white-listed software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + }, + { + "href": "#pm.5" + }, + { + "href": "#sa.10" + }, + { + "href": "#sc.34" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eIdentifies/defines software programs authorized to execute on the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(5)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(5)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.5.c.", + "props": [ + { + "class": "name", + "value": "CM-7(5)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.5.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the list of authorized software programs on the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(5)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.5.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the list of authorized software programs with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(5)(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of software programs authorized to execute on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereview and update records associated with list of authorized software programs\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for identifying software authorized to execute on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for identifying, reviewing, and updating programs authorized to execute on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for implementing whitelisting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing whitelisting\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-7_h", + "desc": "organization-defined software programs authorized to execute on the information system", + "value": "organization-defined software programs authorized to execute on the information system" + }, + { + "id": "cm-7_i", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.dtic.mil/whs/directives/corres/ins1.html", + "value": "DoD Instruction 8551.01" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.8", + "title": "INFORMATION SYSTEM COMPONENT INVENTORY", + "params": [ + { + "id": "cm-8_a", + "desc": "organization-defined information deemed necessary to achieve effective information system component accountability", + "value": "organization-defined information deemed necessary to achieve effective information system component accountability" + }, + { + "id": "cm-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops and documents an inventory of information system components that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_cm-8a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAccurately reflects the current information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a.1." + } + ] + }, + { + "class": "item", + "id": "sms_cm-8a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes all components within the authorization boundary of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a.2." + } + ] + }, + { + "class": "item", + "id": "sms_cm-8a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eIs at the level of granularity deemed necessary for tracking and reporting; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a.3." + } + ] + }, + { + "class": "item", + "id": "sms_cm-8a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes \u003cinsert param-id=\"cm-8_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_cm-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the information system component inventory \u003cinsert param-id=\"cm-8_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include, for example, manufacturer, device type, model, serial number, and physical location.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + }, + { + "href": "#pm.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-8.a.", + "props": [ + { + "class": "name", + "value": "CM-8(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-8.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an inventory of information system components that accurately reflects the current information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(a)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-8.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an inventory of information system components that includes all components within the authorization boundary of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(a)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-8.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an inventory of information system components that is at the level of granularity deemed necessary for tracking and reporting;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(a)(3)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-8.a.4.", + "props": [ + { + "class": "name", + "value": "CM-8(a)(4)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-8.a.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the information deemed necessary to achieve effective information system component accountability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(a)(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-8.a.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an inventory of information system components that includes organization-defined information deemed necessary to achieve effective information system component accountability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(a)(4)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-8.b.", + "props": [ + { + "class": "name", + "value": "CM-8(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-8.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the information system component inventory; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-8.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the information system component inventory with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einventory reviews and update records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for developing and documenting an inventory of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the information system component inventory\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.8.1.", + "title": "UPDATES DURING INSTALLATIONS / REMOVALS", + "props": [ + { + "class": "name", + "value": "CM-8 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization updates the inventory of information system components as an integral part of:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ecomponent installations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecomponent removals; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation system updates.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einventory reviews and update records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecomponent installation records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecomponent removal records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for updating the information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for updating inventory of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing updating of the information system component inventory\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.2.", + "title": "AUTOMATED MAINTENANCE", + "props": [ + { + "class": "name", + "value": "CM-8 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations maintain information system inventories to the extent feasible. Virtual machines, for example, can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. This control enhancement can be satisfied by the implementation of CM-2 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to maintain an inventory of information system components that is:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eup-to-date;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecomplete;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccurate; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ereadily available.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for managing the automated mechanisms implementing the information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maintaining the inventory of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing the information system component inventory\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.3.", + "title": "AUTOMATED UNAUTHORIZED COMPONENT DETECTION", + "props": [ + { + "class": "name", + "value": "CM-8 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-8.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys automated mechanisms \u003cinsert param-id=\"cm-8_c\"/\u003e to detect the presence of unauthorized hardware, software, and firmware components within the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-8.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eTakes the following actions when unauthorized components are detected: [Selection (one or more): disables network access by such components; isolates the components; notifies \u003cinsert param-id=\"cm-8_d\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented within information systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized information system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ca.7" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + }, + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.3.a.", + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to employ automated mechanisms to detect the presence of unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.3.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ehardware components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.a.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms with the organization-defined frequency to detect the presence of unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.3.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ehardware components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.a.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.b.", + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified when unauthorized components are detected;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etakes one or more of the following actions when unauthorized components are detected:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.3.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edisables network access by such components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eisolates the components; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.b.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[2][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications of unauthorized components within the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized information system component detection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for detection of unauthorized information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing the detection of unauthorized information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-8_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.4.", + "title": "ACCOUNTABILITY INFORMATION", + "props": [ + { + "class": "name", + "value": "CM-8 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes in the information system component inventory information, a means for identifying by [Selection (one or more): name; position; role], individuals responsible/accountable for administering those components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIdentifying individuals who are both responsible and accountable for administering information system components helps to ensure that the assigned components are properly administered and organizations can contact those individuals if some action is required (e.g., component is determined to be the source of a breach/compromise, component needs to be recalled/replaced, or component needs to be relocated).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes in the information system component inventory for information system components, a means for identifying the individuals responsible and accountable for administering those components by one or more of the following: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ename;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eposition; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erole.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(4)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for managing the information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maintaining the inventory of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing the information system component inventory\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.5.", + "title": "NO DUPLICATE ACCOUNTING OF COMPONENTS", + "props": [ + { + "class": "name", + "value": "CM-8 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system component inventories.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses the potential problem of duplicate accounting of information system components in large or complex interconnected systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system inventories. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system inventory responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for defining information system components within the authorization boundary of the system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maintaining the inventory of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing the information system component inventory\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.6.", + "title": "ASSESSED CONFIGURATIONS / APPROVED DEVIATIONS", + "props": [ + { + "class": "name", + "value": "CM-8 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on configuration settings established by organizations for information system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes in the information system component inventory: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eassessed component configurations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eany approved deviations to current deployed configurations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with inventory management and assessment responsibilities for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maintaining the inventory of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing the information system component inventory\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.7.", + "title": "CENTRALIZED REPOSITORY", + "props": [ + { + "class": "name", + "value": "CM-8 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides a centralized repository for the inventory of information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to implement centralized information system component inventories that include components from all organizational information systems. Centralized repositories of information system component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides a centralized repository for the inventory of information system components. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory repository\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with inventory management responsibilities for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing the information system component inventory in a centralized repository\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.8.", + "title": "AUTOMATED LOCATION TRACKING", + "props": [ + { + "class": "name", + "value": "CM-8 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to support tracking of information system components by geographic location.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of automated mechanisms to track the location of information system components can increase the accuracy of component inventories. Such capability may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to support tracking of information system components by geographic location. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with inventory management responsibilities for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing the information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting tracking of information system components by geographic location\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.9.", + "title": "ASSIGNMENT OF COMPONENTS TO SYSTEMS", + "props": [ + { + "class": "name", + "value": "CM-8 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-8.9.a.", + "prose": [ + "\u003cp class=\"description\"\u003eAssigns \u003cinsert param-id=\"cm-8_e\"/\u003e to an information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8 (9)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-8.9.b.", + "prose": [ + "\u003cp class=\"description\"\u003eReceives an acknowledgement from the information system owner of this assignment.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8 (9)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the criteria for or types of information system components (e.g., microprocessors, motherboards, software, programmable logic controllers, and network devices) that are subject to this control enhancement.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.9.a.", + "props": [ + { + "class": "name", + "value": "CM-8(9)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.9.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines acquired information system components to be assigned to an information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(9)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.9.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eassigns organization-defined acquired information system components to an information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(9)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.9.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereceives an acknowledgement from the information system owner of the assignment.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(9)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacknowledgements of information system component assignments\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with inventory management responsibilities for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system owner\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for assigning components to systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for acknowledging assignment of components to systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing assignment of acquired components to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing acknowledgment of assignment of acquired components to the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-8_e", + "desc": "organization-defined acquired information system components", + "value": "organization-defined acquired information system components" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.9", + "title": "CONFIGURATION MANAGEMENT PLAN", + "props": [ + { + "class": "name", + "value": "CM-9" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization develops, documents, and implements a configuration management plan for the information system that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-9a.", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses roles, responsibilities, and configuration management processes and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9a." + } + ] + }, + { + "class": "item", + "id": "smm_cm-9b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9b." + } + ] + }, + { + "class": "item", + "id": "smm_cm-9c.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines the configuration items for the information system and places the configuration items under configuration management; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9c." + } + ] + }, + { + "class": "item", + "id": "smm_cm-9d.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the configuration management plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConfiguration management plans satisfy the requirements in configuration management policies while being tailored to individual information systems. Such plans define detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. Configuration management plans are typically developed during the development/acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baselines, how to maintain information system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization at large with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to information systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration-managed. As information systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.8" + }, + { + "href": "#sa.10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization develops, documents, and implements a configuration management plan for the information system that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-9.a.", + "props": [ + { + "class": "name", + "value": "CM-9(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-9.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses responsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses configuration management processes and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes a process for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-9.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifying configuration items throughout the SDLC;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emanaging the configuration of the configuration items;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.c.", + "props": [ + { + "class": "name", + "value": "CM-9(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-9.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the configuration items for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eplaces the configuration items under configuration management;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the configuration management plan from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-9.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edisclosure; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration management planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for developing the configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for protecting the configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for developing and documenting the configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for identifying and managing configuration items\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for protecting the configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing the configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for managing configuration items\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for protecting the configuration management plan\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.9.1.", + "title": "ASSIGNMENT OF RESPONSIBILITY", + "props": [ + { + "class": "name", + "value": "CM-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked to develop configuration management processes using personnel who are not directly involved in system development or integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the information system development and integration processes and configuration management processes to facilitate quality control and more effective oversight.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing responsibilities for configuration management process development\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for configuration management process development\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.10", + "title": "SOFTWARE USAGE RESTRICTIONS", + "props": [ + { + "class": "name", + "value": "CM-10" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-10a.", + "prose": [ + "\u003cp class=\"description\"\u003eUses software and associated documentation in accordance with contract agreements and copyright laws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10a." + } + ] + }, + { + "class": "item", + "id": "smm_cm-10b.", + "prose": [ + "\u003cp class=\"description\"\u003eTracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10b." + } + ] + }, + { + "class": "item", + "id": "smm_cm-10c.", + "prose": [ + "\u003cp class=\"description\"\u003eControls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSoftware license tracking can be accomplished by manual methods (e.g., simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on organizational needs.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#cm.8" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-10.a.", + "prose": [ + "\u003cp class=\"decision\"\u003euses software and associated documentation in accordance with contract agreements and copyright laws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-10.b.", + "prose": [ + "\u003cp class=\"decision\"\u003etracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-10.c.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esoftware contract agreements and copyright laws\u003c/p\u003e", + "\u003cp class=\"object\"\u003esite license documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of software usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003esoftware license tracking reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with software license management responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for tracking the use of software protected by quantity licenses\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganization process for controlling/documenting the use of peer-to-peer file sharing technology\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing software license tracking\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing and controlling the use of peer-to-peer files sharing technology\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.10.1.", + "title": "OPEN SOURCE SOFTWARE", + "props": [ + { + "class": "name", + "value": "CM-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes the following restrictions on the use of open source software: \u003cinsert param-id=\"cm-10_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOpen source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, there are also various licensing issues associated with open source software including, for example, the constraints on derivative use of such software.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-10.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines restrictions on the use of open source software; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-10.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes organization-defined restrictions on the use of open source software.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing restrictions on use of open source software\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for establishing and enforcing restrictions on use of open source software\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for restricting the use of open source software\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing restrictions on the use of open source software\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-10_a", + "desc": "organization-defined restrictions", + "value": "organization-defined restrictions" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "cm.11", + "title": "USER-INSTALLED SOFTWARE", + "params": [ + { + "id": "cm-11_a", + "desc": "organization-defined policies", + "value": "organization-defined policies" + }, + { + "id": "cm-11_b", + "desc": "organization-defined methods", + "value": "organization-defined methods" + }, + { + "id": "cm-11_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-11" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-11a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes \u003cinsert param-id=\"cm-11_a\"/\u003e governing the installation of software by users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11a." + } + ] + }, + { + "class": "item", + "id": "smm_cm-11b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces software installation policies through \u003cinsert param-id=\"cm-11_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11b." + } + ] + }, + { + "class": "item", + "id": "smm_cm-11c.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors policy compliance at \u003cinsert param-id=\"cm-11_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIf provided the necessary privileges, users have the ability to install software in organizational information systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved �app stores.� Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user accounts), automated methods (e.g., configuration settings implemented on organizational information systems), or both.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.7" + }, + { + "href": "#pl.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-11.a.", + "props": [ + { + "class": "name", + "value": "CM-11(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-11.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines policies to govern the installation of software by users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-11.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes organization-defined policies governing the installation of software by users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-11.b.", + "props": [ + { + "class": "name", + "value": "CM-11(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-11.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines methods to enforce software installation policies;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-11.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces software installation policies through organization-defined methods;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-11.c.", + "props": [ + { + "class": "name", + "value": "CM-11(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-11.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines frequency to monitor policy compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-11.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors policy compliance at organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user installed software\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of rules governing user installed software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtinuous monitoring strategy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for governing user-installed software\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel monitoring compliance with user-installed software policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes governing user-installed software on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms enforcing rules/methods for governing the installation of software by users\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms monitoring policy compliance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.11.1.", + "title": "ALERTS FOR UNAUTHORIZED INSTALLATIONS", + "props": [ + { + "class": "name", + "value": "CM-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system alerts \u003cinsert param-id=\"cm-11_d\"/\u003e when the unauthorized installation of software is detected.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-11.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be alerted when the unauthorized installation of software is detected; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-11.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system alerts organization-defined personnel or roles when the unauthorized installation of software is detected.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user installed software\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for governing user-installed software\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes governing user-installed software on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for alerting personnel/roles when unauthorized installation of software is detected\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-11_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.11.2.", + "title": "PROHIBIT INSTALLATION WITHOUT PRIVILEGED STATUS", + "props": [ + { + "class": "name", + "value": "CM-11 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prohibits user installation of software without explicit privileged status.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged status can be obtained, for example, by serving in the role of system administrator.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system prohibits user installation of software without explicit privileged status.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user installed software\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications of unauthorized software installations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for governing user-installed software\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes governing user-installed software on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for prohibiting installation of software without privileged status (e.g., access controls)\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "CONTINGENCY PLANNING", + "controls": [ + { + "class": "SP800-53", + "id": "cp.1", + "title": "CONTINGENCY PLANNING POLICY AND PROCEDURES", + "params": [ + { + "id": "cp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "cp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CP-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cp-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"cp-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_cp-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_cp-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_cp-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_cp-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eContingency planning policy \u003cinsert param-id=\"cp-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_cp-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eContingency planning procedures \u003cinsert param-id=\"cp-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-1.a.1.", + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization develops and documents a contingency planning policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to whom the contingency planning policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization disseminates the contingency planning policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.2.", + "props": [ + { + "class": "name", + "value": "CP-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization develops and documents procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization disseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.b.1.", + "props": [ + { + "class": "name", + "value": "CP-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the frequency to review and update the current contingency planning policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization reviews and updates the current contingency planning with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.b.2.", + "props": [ + { + "class": "name", + "value": "CP-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the frequency to review and update the current contingency planning procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization reviews and updates the current contingency planning procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.fema.gov/pdf/about/offices/fcd1.pdf", + "value": "Federal Continuity Directive 1" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.2", + "title": "CONTINGENCY PLAN", + "params": [ + { + "id": "cp-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "cp-2_b", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "id": "cp-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cp-2_d", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + } + ], + "props": [ + { + "class": "name", + "value": "CP-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cp-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops a contingency plan for the information system that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_cp-2a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies essential missions and business functions and associated contingency requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.1." + } + ] + }, + { + "class": "item", + "id": "sms_cp-2a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides recovery objectives, restoration priorities, and metrics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.2." + } + ] + }, + { + "class": "item", + "id": "sms_cp-2a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses contingency roles, responsibilities, assigned individuals with contact information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.3." + } + ] + }, + { + "class": "item", + "id": "sms_cp-2a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.4." + } + ] + }, + { + "class": "item", + "id": "sms_cp-2a.5.", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.5." + } + ] + }, + { + "class": "item", + "id": "sms_cp-2a.6.", + "prose": [ + "\u003cp class=\"description\"\u003eIs reviewed and approved by \u003cinsert param-id=\"cp-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.6." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_cp-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eDistributes copies of the contingency plan to \u003cinsert param-id=\"cp-2_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2b." + } + ] + }, + { + "class": "item", + "id": "smm_cp-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinates contingency planning activities with incident handling activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2c." + } + ] + }, + { + "class": "item", + "id": "smm_cp-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the contingency plan for the information system \u003cinsert param-id=\"cp-2_c\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2d." + } + ] + }, + { + "class": "item", + "id": "smm_cp-2e.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2e." + } + ] + }, + { + "class": "item", + "id": "smm_cp-2f.", + "prose": [ + "\u003cp class=\"description\"\u003eCommunicates contingency plan changes to \u003cinsert param-id=\"cp-2_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2f." + } + ] + }, + { + "class": "item", + "id": "smm_cp-2g.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the contingency plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. The effectiveness of contingency planning is maximized by considering such planning throughout the phases of the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving information system resiliency. Contingency plans reflect the degree of restoration required for organizational information systems since not all systems may need to fully recover to achieve the level of continuity of operations desired. Information system recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission and/or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of information systems. Actions addressed in contingency plans include, for example, orderly/graceful degradation, information system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By closely coordinating contingency planning with incident handling activities, organizations can ensure that the necessary contingency planning activities are in place and activated in the event of a security incident.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.14" + }, + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + }, + { + "href": "#cp.8" + }, + { + "href": "#cp.9" + }, + { + "href": "#cp.10" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.8" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#pm.8" + }, + { + "href": "#pm.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a contingency plan for the information system that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies essential missions and business functions and associated contingency requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.2.", + "props": [ + { + "class": "name", + "value": "CP-2(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides recovery objectives;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides restoration priorities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides metrics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.3.", + "props": [ + { + "class": "name", + "value": "CP-2(a)(3)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.a.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses contingency roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses contingency responsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses assigned individuals with contact information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(3)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(4)" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.5.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(5)" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.6.", + "props": [ + { + "class": "name", + "value": "CP-2(a)(6)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.a.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to review and approve the contingency plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eis reviewed and approved by organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(6)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.b.", + "props": [ + { + "class": "name", + "value": "CP-2(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines key contingency personnel (identified by name and/or by role) and organizational elements to whom copies of the contingency plan are to be distributed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edistributes copies of the contingency plan to organization-defined key contingency personnel and organizational elements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates contingency planning activities with incident handling activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.d.", + "props": [ + { + "class": "name", + "value": "CP-2(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to review the contingency plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the contingency plan with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(d)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the contingency plan to address:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges to the organization, information system, or environment of operation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eproblems encountered during plan implementation, execution, and testing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(e)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.f.", + "props": [ + { + "class": "name", + "value": "CP-2(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines key contingency personnel (identified by name and/or by role) and organizational elements to whom contingency plan changes are to be communicated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecommunicates contingency plan changes to organization-defined key contingency personnel and organizational elements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(f)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.g.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the contingency plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(g)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of contingency plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency plan development, review, update, and protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for developing, reviewing, updating and/or protecting the contingency plan\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.2.1.", + "title": "COORDINATE WITH RELATED PLANS", + "props": [ + { + "class": "name", + "value": "CP-2 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates contingency plan development with organizational elements responsible for related plans.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant Emergency Plans.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization coordinates contingency plan development with organizational elements responsible for related plans.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness contingency plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003edisaster recovery plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtinuity of operations plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecrisis communications plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecritical infrastructure plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecyber incident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einsider threat implementation plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eoccupant emergency plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel with responsibility for related plans\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.2.", + "title": "CAPACITY PLANNING", + "props": [ + { + "class": "name", + "value": "CP-2 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCapacity planning is needed because different types of threats (e.g., natural disasters, targeted cyber attacks) can result in a reduction of the available processing, telecommunications, and support services originally intended to support the organizational missions/business functions. Organizations may need to anticipate degraded operations during contingency operations and factor such degradation into capacity planning.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization conducts capacity planning so that necessary capacity exists during contingency operations for: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-2.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation processing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-2.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etelecommunications; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-2.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eenvironmental support.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecapacity planning documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.3.", + "title": "RESUME ESSENTIAL MISSIONS / BUSINESS FUNCTIONS", + "props": [ + { + "class": "name", + "value": "CP-2 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization plans for the resumption of essential missions and business functions within \u003cinsert param-id=\"cp-2_e\"/\u003e of contingency plan activation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of essential missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period to plan for the resumption of essential missions and business functions as a result of contingency plan activation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eplans for the resumption of essential missions and business functions within organization-defined time period of contingency plan activation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother related plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for resumption of missions and business functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cp-2_e", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.4.", + "title": "RESUME ALL MISSIONS / BUSINESS FUNCTIONS", + "props": [ + { + "class": "name", + "value": "CP-2 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization plans for the resumption of all missions and business functions within \u003cinsert param-id=\"cp-2_f\"/\u003e of contingency plan activation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of all missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-2.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period to plan for the resumption of all missions and business functions as a result of contingency plan activation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-2.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eplans for the resumption of all missions and business functions within organization-defined time period of contingency plan activation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother related plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for resumption of missions and business functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cp-2_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.5.", + "title": "CONTINUE ESSENTIAL MISSIONS / BUSINESS FUNCTIONS", + "props": [ + { + "class": "name", + "value": "CP-2 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-2.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eplans for the continuance of essential missions and business functions with little or no loss of operational continuity; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-2.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esustains that operational continuity until full information system restoration at primary processing and/or storage sites.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary storage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for continuing missions and business functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.6.", + "title": "ALTERNATE PROCESSING / STORAGE SITE", + "props": [ + { + "class": "name", + "value": "CP-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through information system restoration to primary processing and/or storage sites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-2.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eplans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-2.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esustains that operational continuity through information system restoration to primary processing and/or storage sites.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan testing documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for transfer of essential missions and business functions to alternate processing/storage sites\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.7.", + "title": "COORDINATE WITH EXTERNAL SERVICE PROVIDERS", + "props": [ + { + "class": "name", + "value": "CP-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates its contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen the capability of an organization to successfully carry out its core missions/business functions is dependent on external service providers, developing a timely and comprehensive contingency plan may become more challenging. In this situation, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization coordinates its contingency plan with the contingency plans of external service provides to ensure contingency requirements can be satisfied. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plans of external\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.8.", + "title": "IDENTIFY CRITICAL ASSETS", + "props": [ + { + "class": "name", + "value": "CP-2 (8)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies critical information system assets supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Organizations identify critical information system assets so that additional safeguards and countermeasures can be employed (above and beyond those safeguards and countermeasures routinely implemented) to help ensure that organizational missions/business functions can continue to be conducted during contingency operations. In addition, the identification of critical information assets facilitates the prioritization of organizational resources. Critical information system assets include technical and operational aspects. Technical aspects include, for example, information technology services, information system components, information technology products, and mechanisms. Operational aspects include, for example, procedures (manually executed operations) and personnel (individuals operating technical safeguards and/or executing manual procedures). Organizational program protection plans can provide assistance in identifying critical assets.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.14" + }, + { + "href": "#sa.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization identifies critical information system assets supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.fema.gov/pdf/about/offices/fcd1.pdf", + "value": "Federal Continuity Directive 1" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.3", + "title": "CONTINGENCY TRAINING", + "params": [ + { + "id": "cp-3_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "cp-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CP-3" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides contingency training to information system users consistent with assigned roles and responsibilities:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cp-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eWithin \u003cinsert param-id=\"cp-3_a\"/\u003e of assuming a contingency role or responsibility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3a." + } + ] + }, + { + "class": "item", + "id": "smm_cp-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3b." + } + ] + }, + { + "class": "item", + "id": "smm_cp-3c.", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"cp-3_b\"/\u003e thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, regular users may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to set up information systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#cp.2" + }, + { + "href": "#ir.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-3.a.", + "props": [ + { + "class": "name", + "value": "CP-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period within which contingency training is to be provided to information system users assuming a contingency role or responsibility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides contingency training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming a contingency role or responsibility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides contingency training to information system users consistent with assigned roles and responsibilities when required by information system changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-3.c.", + "props": [ + { + "class": "name", + "value": "CP-3(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-3.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency for contingency training thereafter; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-3.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides contingency training to information system users consistent with assigned roles and responsibilities with the organization-defined frequency thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency training\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency training material\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency training records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning, plan implementation, and training responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.3.1.", + "title": "SIMULATED EVENTS", + "props": [ + { + "class": "name", + "value": "CP-3 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency training\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency training material\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning, plan implementation, and training responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for simulating contingency events\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.3.2.", + "title": "AUTOMATED TRAINING ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "CP-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency training\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency training material\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning, plan implementation, and training responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for providing contingency training environments\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.fema.gov/pdf/about/offices/fcd1.pdf", + "value": "Federal Continuity Directive 1" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-16", + "value": "NIST Special Publication 800-16" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.4", + "title": "CONTINGENCY PLAN TESTING", + "params": [ + { + "id": "cp-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cp-4_b", + "desc": "organization-defined tests", + "value": "organization-defined tests" + } + ], + "props": [ + { + "class": "name", + "value": "CP-4" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cp-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eTests the contingency plan for the information system \u003cinsert param-id=\"cp-4_a\"/\u003e using \u003cinsert param-id=\"cp-4_b\"/\u003e to determine the effectiveness of the plan and the organizational readiness to execute the plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4a." + } + ] + }, + { + "class": "item", + "id": "smm_cp-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the contingency plan test results; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4b." + } + ] + }, + { + "class": "item", + "id": "smm_cp-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eInitiates corrective actions, if needed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMethods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include, for example, walk-through and tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive exercises. Organizations conduct testing based on the continuity requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals arising due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.3" + }, + { + "href": "#ir.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-4.a.", + "props": [ + { + "class": "name", + "value": "CP-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines tests to determine the effectiveness of the contingency plan and the organizational readiness to execute the plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to test the contingency plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-4.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003etests the contingency plan for the information system with the organization-defined frequency, using organization-defined tests to determine the effectiveness of the plan and the organizational readiness to execute the plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the contingency plan test results; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003einitiates corrective actions, if needed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for contingency plan testing, reviewing or responding to contingency plan tests\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the contingency plan and/or contingency plan testing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.4.1.", + "title": "COORDINATE WITH RELATED PLANS", + "props": [ + { + "class": "name", + "value": "CP-4 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates contingency plan testing with organizational elements responsible for related plans.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. This control enhancement does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations should coordinate with those elements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.8" + }, + { + "href": "#pm.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization coordinates contingency plan testing with organizational elements responsible for related plans. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan testing documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness continuity plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003edisaster recovery plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtinuity of operations plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecrisis communications plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecritical infrastructure plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecyber incident response plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eoccupant emergency plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel with responsibilities for related plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.4.2.", + "title": "ALTERNATE PROCESSING SITE", + "props": [ + { + "class": "name", + "value": "CP-4 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests the contingency plan at the alternate processing site:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cp-4.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eTo familiarize contingency personnel with the facility and available resources; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cp-4.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eTo evaluate the capabilities of the alternate processing site to support contingency operations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization tests the contingency plan at the alternate processing site to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-4.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efamiliarize contingency personnel with the facility and available resources; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4(2)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-4.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eevaluate the capabilities of the alternate processing site to support contingency operations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4(2)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the contingency plan and/or contingency plan testing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.4.3.", + "title": "AUTOMATED TESTING", + "props": [ + { + "class": "name", + "value": "CP-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to more thoroughly and effectively test the contingency plan.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms provide more thorough and effective testing of contingency plans, for example: (i) by providing more complete coverage of contingency issues; (ii) by selecting more realistic test scenarios and environments; and (iii) by effectively stressing the information system and supported missions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to more thoroughly and effectively test the contingency plan. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting contingency plan testing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.4.4.", + "title": "FULL RECOVERY / RECONSTITUTION", + "props": [ + { + "class": "name", + "value": "CP-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cp.10" + }, + { + "href": "#sc.24" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-4.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eincludes a full recovery of the information system to a known state as part of contingency plan testing; 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Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate storage sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary storage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan alternate storage site responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.6.2.", + "title": "RECOVERY TIME / POINT OBJECTIVES", + "props": [ + { + "class": "name", + "value": "CP-6 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time objectives and recovery point objectives (as specified in the information system contingency plan).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate storage sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for testing related plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting recovery time/point objectives\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.6.3.", + "title": "ACCESSIBILITY", + "props": [ + { + "class": "name", + "value": "CP-6 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eArea-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk. 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and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7b." + } + ] + }, + { + "class": "item", + "id": "smm_cp-7c.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the alternate processing site provides information security safeguards equivalent to those of the primary site.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability in the event that the primary processing site is not available. Items covered by alternate processing site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination for the transfer/assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.6" + }, + { + "href": "#cp.8" + }, + { + "href": "#cp.9" + }, + { + "href": "#cp.10" + }, + { + "href": "#ma.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-7.a.", + "props": [ + { + "class": "name", + "value": "CP-7(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system operations requiring an alternate processing site to be established to permit the transfer and resumption of such operations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period consistent with recovery time objectives and recovery point objectives (as specified in the information system contingency plan) for transfer/resumption of organization-defined information system operations for essential missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-7.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes an alternate processing site including necessary agreements to permit the transfer and resumption of organization-defined information system operations for essential missions/business functions, within the organization-defined time period, when the primary processing capabilities are unavailable;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-7.b.", + "props": [ + { + "class": "name", + "value": "CP-7(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-7.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-7.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-7.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003espare equipment and supplies inventory at alternate processing site\u003c/p\u003e", + "\u003cp class=\"object\"\u003eequipment and supply contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for contingency planning and/or alternate site arrangements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for recovery at the alternate site\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing recovery at the alternate processing site\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.7.1.", + "title": "SEPARATION FROM PRIMARY SITE", + "props": [ + { + "class": "name", + "value": "CP-7 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThreats that affect alternate processing sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization identifies an alternate processing site that is separated from the primary storage site to reduce susceptibility to the same threats. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan alternate processing site responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.2.", + "title": "ACCESSIBILITY", + "props": [ + { + "class": "name", + "value": "CP-7 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eArea-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-7.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-7.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eoutlines explicit mitigation actions for such potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan alternate processing site responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.3.", + "title": "PRIORITY OF SERVICE", + "props": [ + { + "class": "name", + "value": "CP-7 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePriority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources at the alternate processing site.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan alternate processing site responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for acquisitions/contractual agreements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.4.", + "title": "PREPARATION FOR USE", + "props": [ + { + "class": "name", + "value": "CP-7 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSite preparation includes, for example, establishing configuration settings for information system components at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and other logistical considerations are in place.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan alternate processing site responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing recovery at the alternate processing site\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.5.", + "title": "EQUIVALENT INFORMATION SECURITY SAFEGUARDS", + "props": [ + { + "class": "name", + "value": "CP-7 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.6.", + "title": "INABILITY TO RETURN TO PRIMARY SITE", + "props": [ + { + "class": "name", + "value": "CP-7 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization plans and prepares for circumstances that preclude returning to the primary processing site.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization plans and prepares for circumstances that preclude returning to the primary processing site.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system reconstitution responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.8", + "title": "TELECOMMUNICATIONS SERVICES", + "params": [ + { + "id": "cp-8_a", + "desc": "organization-defined information system operations", + "value": "organization-defined information system operations" + }, + { + "id": "cp-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "CP-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes alternate telecommunications services including necessary agreements to permit the resumption of \u003cinsert param-id=\"cp-8_a\"/\u003e for essential missions and business functions within \u003cinsert param-id=\"cp-8_b\"/\u003e when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to telecommunications services (data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions/business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary/alternate sites. Alternate telecommunications services include, for example, additional organizational or commercial ground-based circuits/lines or satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-8-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system operations requiring alternate telecommunications services to be established to permit the resumption of such operations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-8-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period to permit resumption of organization-defined information system operations for essential missions and business functions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-8-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes alternate telecommunications services including necessary agreements to permit the resumption of organization-defined information system operations for essential missions and business functions, within the organization-defined time period, when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate telecommunications services\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan telecommunications responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for acquisitions/contractual agreements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting telecommunications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.8.1.", + "title": "PRIORITY OF SERVICE PROVISIONS", + "props": [ + { + "class": "name", + "value": "CP-8 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cp-8.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cp-8.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eRequests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider the potential mission/business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-8.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-8.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing primary and alternate telecommunications services\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eTelecommunications Service Priority documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan telecommunications responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for acquisitions/contractual agreements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting telecommunications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.8.2.", + "title": "SINGLE POINTS OF FAILURE", + "props": [ + { + "class": "name", + "value": "CP-8 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing primary and alternate telecommunications services\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan telecommunications responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.8.3.", + "title": "SEPARATION OF PRIMARY / ALTERNATE PROVIDERS", + "props": [ + { + "class": "name", + "value": "CP-8 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThreats that affect telecommunications services are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber/physical attacks, and errors of omission/commission. Organizations seek to reduce common susceptibilities by, for example, minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services meeting the separation needs addressed in the risk assessment.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing primary and alternate telecommunications services\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate telecommunications service provider site\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary telecommunications service provider site\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan telecommunications responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.8.4.", + "title": "PROVIDER CONTINGENCY PLAN", + "props": [ + { + "class": "name", + "value": "CP-8 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cp-8.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires primary and alternate telecommunications service providers to have contingency plans;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cp-8.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews provider contingency plans to ensure that the plans meet organizational contingency requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cp-8.4.c.", + "prose": [ + "\u003cp class=\"description\"\u003eObtains evidence of contingency testing/training by providers \u003cinsert param-id=\"cp-8_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (4)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eReviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security, state, and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-8.4.a.", + "props": [ + { + "class": "name", + "value": "CP-8(4)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-8.4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires primary telecommunications service provider to have contingency plans;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(4)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-8.4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires alternate telecommunications service provider(s) to have contingency plans;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(4)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-8.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews provider contingency plans to ensure that the plans meet organizational contingency requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(4)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-8.4.c.", + "props": [ + { + "class": "name", + "value": "CP-8(4)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-8.4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to obtain evidence of contingency testing/training by providers; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(4)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-8.4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtains evidence of contingency testing/training by providers with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(4)(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing primary and alternate telecommunications services\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprovider contingency plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of contingency testing/training by providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning, plan implementation, and testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for acquisitions/contractual agreements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "cp-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.8.5.", + "title": "ALTERNATE TELECOMMUNICATION SERVICE TESTING", + "props": [ + { + "class": "name", + "value": "CP-8 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests alternate telecommunication services \u003cinsert param-id=\"cp-8_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-8.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to test alternate telecommunication services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-8.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests alternate telecommunication services with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate telecommunications services\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of testing alternate telecommunications services\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate telecommunications service agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning, plan implementation, and testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate telecommunications service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting testing alternate telecommunications services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cp-8_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + }, + { + "citations": [ + { + "value": "National Communications Systems Directive 3-10" + } + ] + }, + { + "citations": [ + { + "href": "http://www.dhs.gov/telecommunications-service-priority-tsp", + "value": "http://www.dhs.gov/telecommunications-service-priority-tsp" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.9", + "title": "INFORMATION SYSTEM BACKUP", + "params": [ + { + "id": "cp-9_a", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "id": "cp-9_b", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "id": "cp-9_c", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + } + ], + "props": [ + { + "class": "name", + "value": "CP-9" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cp-9a.", + "prose": [ + "\u003cp class=\"description\"\u003eConducts backups of user-level information contained in the information system \u003cinsert param-id=\"cp-9_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9a." + } + ] + }, + { + "class": "item", + "id": "smm_cp-9b.", + "prose": [ + "\u003cp class=\"description\"\u003eConducts backups of system-level information contained in the information system \u003cinsert param-id=\"cp-9_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9b." + } + ] + }, + { + "class": "item", + "id": "smm_cp-9c.", + "prose": [ + "\u003cp class=\"description\"\u003eConducts backups of information system documentation including security-related documentation \u003cinsert param-id=\"cp-9_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9c." + } + ] + }, + { + "class": "item", + "id": "smm_cp-9d.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the confidentiality, integrity, and availability of backup information at storage locations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.6" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-9.a.", + "props": [ + { + "class": "name", + "value": "CP-9(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-9.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of user-level information contained in the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-9.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts backups of user-level information contained in the information system with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-9.b.", + "props": [ + { + "class": "name", + "value": "CP-9(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-9.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of system-level information contained in the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-9.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts backups of system-level information contained in the information system with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-9.c.", + "props": [ + { + "class": "name", + "value": "CP-9(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-9.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of information system documentation including security-related documentation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-9.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts backups of information system documentation, including security-related documentation, with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-9.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the confidentiality, integrity, and availability of backup information at storage locations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebackup storage location(s)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for conducting information system backups\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.9.1.", + "title": "TESTING FOR RELIABILITY / INTEGRITY", + "props": [ + { + "class": "name", + "value": "CP-9 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests backup information \u003cinsert param-id=\"cp-9_d\"/\u003e to verify media reliability and information integrity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cp.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-9.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to test backup information to verify media reliability and information integrity; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-9.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests backup information with the organization-defined frequency to verify media reliability and information integrity.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for conducting information system backups\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cp-9_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.2.", + "title": "TEST RESTORATION USING SAMPLING", + "props": [ + { + "class": "name", + "value": "CP-9 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cp.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning/contingency plan testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for conducting information system backups\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.3.", + "title": "SEPARATE STORAGE FOR CRITICAL INFORMATION", + "props": [ + { + "class": "name", + "value": "CP-9 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization stores backup copies of \u003cinsert param-id=\"cp-9_e\"/\u003e in a separate facility or in a fire-rated container that is not collocated with the operational system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCritical information system software includes, for example, operating systems, cryptographic key management systems, and intrusion detection/prevention systems. Security-related information includes, for example, organizational inventories of hardware, software, and firmware components. Alternate storage sites typically serve as separate storage facilities for organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-9.3.1.", + "props": [ + { + "class": "name", + "value": "CP-9(3)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-9.3.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines critical information system software and other security-related information requiring backup copies to be stored in a separate facility; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(3)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-9.3.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines critical information system software and other security-related information requiring backup copies to be stored in a fire-rated container that is not collocated with the operational system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(3)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-9.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003estores backup copies of organization-defined critical information system software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the operational system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebackup storage location(s)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup configurations and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "cp-9_e", + "desc": "organization-defined critical information system software and other security-related information", + "value": "organization-defined critical information system software and other security-related information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.4.", + "title": "PROTECTION FROM UNAUTHORIZED MODIFICATION", + "props": [ + { + "class": "name", + "value": "CP-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CP-9\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cp.9" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.5.", + "title": "TRANSFER TO ALTERNATE STORAGE SITE", + "props": [ + { + "class": "name", + "value": "CP-9 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization transfers information system backup information to the alternate storage site \u003cinsert param-id=\"cp-9_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-9.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-9.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a transfer rate, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-9.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003etransfers information system backup information to the alternate storage site with the organization-defined time period and transfer rate.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of system backup information transferred to alternate storage site\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for transferring information system backups to the alternate storage site\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information transfer to the alternate storage site\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cp-9_f", + "desc": "organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives", + "value": "organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.6.", + "title": "REDUNDANT SECONDARY SYSTEM", + "props": [ + { + "class": "name", + "value": "CP-9 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization accomplishes information system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cp.7" + }, + { + "href": "#cp.10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization accomplishes information system backup by maintaining a redundant secondary system that: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-9.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eis not collocated with the primary system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-9.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecan be activated without loss of information or disruption to operations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eredundant secondary system for information system backups\u003c/p\u003e", + "\u003cp class=\"object\"\u003elocation(s) of redundant secondary backup system(s)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the redundant secondary system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maintaining redundant secondary systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information transfer to a redundant secondary system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.7.", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "CP-9 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization enforces dual authorization for the deletion or destruction of \u003cinsert param-id=\"cp-9_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDual authorization ensures that the deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting/destroying backup information possess sufficient skills/expertise to determine if the proposed deletion/destruction of backup information reflects organizational policies and procedures. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#mp.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-9.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines backup information that requires dual authorization to be enforced for the deletion or destruction of such information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-9.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces dual authorization for the deletion or destruction of organization-defined backup information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(7)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem generated list of dual authorization credentials or rules\u003c/p\u003e", + "\u003cp class=\"object\"\u003elogs or records of deletion or destruction of backup information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing dual authorization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing deletion/destruction of backup information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cp-9_g", + "desc": "organization-defined backup information", + "value": "organization-defined backup information" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.10", + "title": "INFORMATION SYSTEM RECOVERY AND RECONSTITUTION", + "props": [ + { + "class": "name", + "value": "CP-10" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRecovery is executing information system contingency plan activities to restore organizational missions/business functions. Reconstitution takes place following recovery and includes activities for returning organizational information systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point/time and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim information system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored information system capabilities, reestablishment of continuous monitoring activities, potential information system reauthorizations, and activities to prepare the systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.6" + }, + { + "href": "#ca.7" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + }, + { + "href": "#cp.9" + }, + { + "href": "#sc.24" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides for: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-10-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe recovery of the information system to a known state after:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-10-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ea disruption;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-10-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea compromise; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-10-1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-10-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe reconstitution of the information system to a known state after:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-10-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ea disruption;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-10-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea compromise; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-10-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea failure.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eredundant secondary system for information system backups\u003c/p\u003e", + "\u003cp class=\"object\"\u003elocation(s) of redundant secondary backup system(s)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning, recovery, and/or reconstitution responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes implementing information system recovery and reconstitution operations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system recovery and reconstitution operations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.10.1.", + "title": "CONTINGENCY PLAN TESTING", + "props": [ + { + "class": "name", + "value": "CP-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CP-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cp.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.2.", + "title": "TRANSACTION RECOVERY", + "props": [ + { + "class": "name", + "value": "CP-10 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements transaction recovery for systems that are transaction-based.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTransaction-based information systems include, for example, database management systems and transaction processing systems. Mechanisms supporting transaction recovery include, for example, transaction rollback and transaction journaling.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements transaction recovery for systems that are transaction-based. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system recovery and reconstitution\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system transaction recovery records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for transaction recovery\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing transaction recovery capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.3.", + "title": "COMPENSATING SECURITY CONTROLS", + "props": [ + { + "class": "name", + "value": "CP-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eAddressed through tailoring procedures\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "Chapter 3" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.4.", + "title": "RESTORE WITHIN TIME PERIOD", + "props": [ + { + "class": "name", + "value": "CP-10 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides the capability to restore information system components within \u003cinsert param-id=\"cp-10_a\"/\u003e from configuration-controlled and integrity-protected information representing a known, operational state for the components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRestoration of information system components includes, for example, reimaging which restores components to known, operational states.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-10.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period to restore information system components from configuration-controlled and integrity-protected information representing a known, operational state for the components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-10.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the capability to restore information system components within the organization-defined time period from configuration-controlled and integrity-protected information representing a known, operational state for the components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system recovery and reconstitution\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of information system recovery and reconstitution operations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system recovery and reconstitution responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing recovery/reconstitution of information system information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cp-10_a", + "desc": "organization-defined restoration time-periods", + "value": "organization-defined restoration time-periods" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.5.", + "title": "FAILOVER CAPABILITY", + "props": [ + { + "class": "name", + "value": "CP-10 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.13" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.6.", + "title": "COMPONENT PROTECTION", + "props": [ + { + "class": "name", + "value": "CP-10 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects backup and restoration hardware, firmware, and software.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProtection of backup and restoration hardware, firmware, and software components includes both physical and technical safeguards. Backup and restoration software includes, for example, router tables, compilers, and other security-relevant system software.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#pe.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization protects backup and restoration: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-10.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ehardware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-10.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10(6)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-10.6.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10(6)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system recovery and reconstitution\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elogical access credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003elogical access authorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access authorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system recovery and reconstitution responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for protecting backup and restoration hardware, firmware, and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing protection of backup and restoration hardware, firmware, and software\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.fema.gov/pdf/about/offices/fcd1.pdf", + "value": "Federal Continuity Directive 1" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.11", + "title": "ALTERNATE COMMUNICATIONS PROTOCOLS", + "params": [ + { + "id": "cp-11_a", + "desc": "organization-defined alternative communications protocols", + "value": "organization-defined alternative communications protocols" + } + ], + "props": [ + { + "class": "name", + "value": "CP-11" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability to employ \u003cinsert param-id=\"cp-11_a\"/\u003e in support of maintaining continuity of operations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContingency plans and the associated training and testing for those plans, incorporate an alternate communications protocol capability as part of increasing the resilience of organizational information systems. Alternate communications protocols include, for example, switching from Transmission Control Protocol/Internet Protocol (TCP/IP) Version 4 to TCP/IP Version 6. Switching communications protocols may affect software applications and therefore, the potential side effects of introducing alternate communications protocols are analyzed prior to implementation.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-11-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines alternative communications protocols to be employed in support of maintaining continuity of operations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-11[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-11-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the capability to employ organization-defined alternative communications protocols in support of maintaining continuity of operations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-11[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternative communications protocols\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtinuity of operations plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of alternative communications protocols supporting continuity of operations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with continuity of operations planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms employing alternative communications protocols\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "cp.12", + "title": "SAFE MODE", + "params": [ + { + "id": "cp-12_a", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + }, + { + "id": "cp-12_b", + "desc": "organization-defined restrictions of safe mode of operation", + "value": "organization-defined restrictions of safe mode of operation" + } + ], + "props": [ + { + "class": "name", + "value": "CP-12" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, when \u003cinsert param-id=\"cp-12_a\"/\u003e are detected, enters a safe mode of operation with \u003cinsert param-id=\"cp-12_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor information systems supporting critical missions/business functions including, for example, military operations and weapons systems, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments), organizations may choose to identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated automatically or manually, restricts the types of activities or operations information systems could execute when those conditions are encountered. Restriction includes, for example, allowing only certain functions that could be carried out under limited power or with reduced communications bandwidth.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-12-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines conditions that, when detected, requires the information system to enter a safe mode of operation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-12[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-12-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines restrictions of safe mode of operation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-12[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-12-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, when organization-defined conditions are detected, enters a safe mode of operation with organization-defined restrictions of safe mode of operation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-12[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing safe mode of operation for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system administration manuals\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system operation manuals\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system installation manuals\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident handling records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing safe mode of operation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "cp.13", + "title": "ALTERNATIVE SECURITY MECHANISMS", + "params": [ + { + "id": "cp-13_a", + "desc": "organization-defined alternative or supplemental security mechanisms", + "value": "organization-defined alternative or supplemental security mechanisms" + }, + { + "id": "cp-13_b", + "desc": "organization-defined security functions", + "value": "organization-defined security functions" + } + ], + "props": [ + { + "class": "name", + "value": "CP-13" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"cp-13_a\"/\u003e for satisfying \u003cinsert param-id=\"cp-13_b\"/\u003e when the primary means of implementing the security function is unavailable or compromised.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control supports information system resiliency and contingency planning/continuity of operations. To ensure mission/business continuity, organizations can implement alternative or supplemental security mechanisms. These mechanisms may be less effective than the primary mechanisms (e.g., not as easy to use, not as scalable, or not as secure). However, having the capability to readily employ these alternative/supplemental mechanisms enhances overall mission/business continuity that might otherwise be adversely impacted if organizational operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, this control would typically be applied only to critical security capabilities provided by information systems, system components, or information system services. For example, an organization may issue to senior executives and system administrators one-time pads in case multifactor tokens, the organization�s standard means for secure remote authentication, is compromised.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-13-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines alternative or supplemental security mechanisms to be employed when the primary means of implementing the security function is unavailable or compromised;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-13[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-13-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security functions to be satisfied using organization-defined alternative or supplemental security mechanisms when the primary means of implementing the security function is unavailable or compromised; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-13[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-13-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined alternative or supplemental security mechanisms satisfying organization-defined security functions when the primary means of implementing the security function is unavailable or compromised.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-13[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate security mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtinuity of operations plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system capability implementing alternative security mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "IDENTIFICATION AND AUTHENTICATION", + "controls": [ + { + "class": "SP800-53", + "id": "ia.1", + "title": "IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES", + "params": [ + { + "id": "ia-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ia-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ia-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IA-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ia-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ia-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ia-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAn identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ia-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ia-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ia-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentification and authentication policy \u003cinsert param-id=\"ia-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ia-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentification and authentication procedures \u003cinsert param-id=\"ia-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-1.a.1.", + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an identification and authentication policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the identification and authentication policy is to be disseminated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the identification and authentication policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.2.", + "props": [ + { + "class": "name", + "value": "IA-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.b.1.", + "props": [ + { + "class": "name", + "value": "IA-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current identification and authentication policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current identification and authentication policy with the organization-defined frequency; 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This control applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC-14; and (ii) accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations employ passwords, tokens, or biometrics to authenticate user identities, or in the case multifactor authentication, or some combination thereof. Access to organizational information systems is defined as either local access or network access. Local access is any access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained by direct connections without the use of networks. Network access is access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks (e.g., the Internet). Internal networks include local area networks and wide area networks. In addition, the use of encrypted virtual private networks (VPNs) for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks from the perspective of protecting the confidentiality and integrity of information traversing the network. Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12 consistent with the specific organizational implementation plans. Multifactor authentication requires the use of two or more different factors to achieve authentication. The factors are defined as: (i) something you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g., cryptographic identification device, token); or (iii) something you are (e.g., biometric). Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card. In addition to identifying and authenticating users at the information system level (i.e., at logon), organizations also employ identification and authentication mechanisms at the application level, when necessary, to provide increased information security. Identification and authentication requirements for other than organizational users are described in IA-8.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.14" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system 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"INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for uniquely identifying and authenticating users\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.2.1.", + "title": "NETWORK ACCESS TO PRIVILEGED ACCOUNTS", + "props": [ + { + "class": "name", + "value": "IA-2 (1)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements multifactor authentication for network access to privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements multifactor authentication for network access to privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + 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class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing multifactor authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.3.", + "title": "LOCAL ACCESS TO PRIVILEGED ACCOUNTS", + "props": [ + { + "class": "name", + "value": "IA-2 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements multifactor authentication for local access to privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": 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+ "class": "name", + "value": "IA-2 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements multifactor authentication for local access to non-privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements multifactor authentication for local access to non-privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing multifactor authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.5.", + "title": "GROUP AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRequiring individuals to use individual authenticators as a second level of authentication helps organizations to mitigate the risk of using group authenticators.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing authentication capability for group accounts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.6.", + "title": "NETWORK ACCESS TO PRIVILEGED ACCOUNTS - SEPARATE DEVICE", + "props": [ + { + "class": "name", + "value": "IA-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets \u003cinsert param-id=\"ia-2_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-2.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining network access to privileged accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(6)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.6.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for network access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(6)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing multifactor authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-2_a", + "desc": "organization-defined strength of mechanism requirements", + "value": "organization-defined strength of mechanism requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.7.", + "title": "NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - SEPARATE DEVICE", + "props": [ + { + "class": "name", + "value": "IA-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets \u003cinsert param-id=\"ia-2_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-2.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining network access to non-privileged accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(7)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.7.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for network access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(7)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing multifactor authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-2_b", + "desc": "organization-defined strength of mechanism requirements", + "value": "organization-defined strength of mechanism requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.8.", + "title": "NETWORK ACCESS TO PRIVILEGED ACCOUNTS - REPLAY RESISTANT", + "props": [ + { + "class": "name", + "value": "IA-2 (8)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements replay-resistant authentication mechanisms for network access to privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements replay-resistant authentication mechanisms for network access to privileged accounts. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of privileged information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing replay resistant authentication mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.9.", + "title": "NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - REPLAY RESISTANT", + "props": [ + { + "class": "name", + "value": "IA-2 (9)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthentication processes resist replay attacks if it is impractical to achieve successful authentications by recording/replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of non-privileged information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing replay resistant authentication mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.10.", + "title": "SINGLE SIGN-ON", + "props": [ + { + "class": "name", + "value": "IA-2 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides a single sign-on capability for \u003cinsert param-id=\"ia-2_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSingle sign-on enables users to log in once and gain access to multiple information system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the increased risk from disclosures of single authenticators providing access to multiple system resources.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-2.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a list of information system accounts and services for which a single sign-on capability must be provided; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides a single sign-on capability for organization-defined information system accounts and services.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(10)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing single sign-on capability for information system accounts and services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts and services requiring single sign-on capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing single sign-on capability for information system accounts and services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-2_c", + "desc": "organization-defined information system accounts and services", + "value": "organization-defined information system accounts and services" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.11.", + "title": "REMOTE ACCESS - SEPARATE DEVICE", + "props": [ + { + "class": "name", + "value": "IA-2 (11)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements multifactor authentication for remote access to privileged and non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets \u003cinsert param-id=\"ia-2_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor remote access to privileged/non-privileged accounts, the purpose of requiring a device that is separate from the information system gaining access for one of the factors during multifactor authentication is to reduce the likelihood of compromising authentication credentials stored on the system. For example, adversaries deploying malicious code on organizational information systems can potentially compromise such credentials resident on the system and subsequently impersonate authorized users.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-2.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for remote access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for remote access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(11)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.11.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to privileged accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(11)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.11.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to non-privileged accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(11)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.11.5.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for remote access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(11)[5]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.11.6.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for remote access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(11)[6]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of privileged and non-privileged information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-2_d", + "desc": "organization-defined strength of mechanism requirements", + "value": "organization-defined strength of mechanism requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.12.", + "title": "ACCEPTANCE OF PIV CREDENTIALS", + "props": [ + { + "class": "name", + "value": "IA-2 (12)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system accepts and electronically verifies Personal Identity Verification (PIV) credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to organizations implementing logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#sa.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-2.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccepts Personal Identity Verification (PIV) credentials; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eelectronically verifies Personal Identity Verification (PIV) credentials.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(12)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ePIV verification records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of PIV credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003ePIV credential authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing acceptance and verification of PIV credentials\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.13.", + "title": "OUT-OF-BAND AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-2 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"ia-2_e\"/\u003e under \u003cinsert param-id=\"ia-2_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOut-of-band authentication (OOBA) refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path), is used to identify and authenticate users or devices, and generally is the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access, and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user�s cell phone to verify that the requested action originated from the user. The user may either confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. This type of authentication can be employed by organizations to mitigate actual or suspected man-in the-middle attacks. The conditions for activation can include, for example, suspicious activities, new threat indicators or elevated threat levels, or the impact level or classification level of information in requested transactions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.10" + }, + { + "href": "#ia.11" + }, + { + "href": "#sc.37" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-2.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines out-of-band authentication to be implemented by the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines conditions under which the information system implements organization-defined out-of-band authentication; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(13)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.13.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined out-of-band authentication under organization-defined conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(13)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of out-of-band authentication paths\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing out-of-band authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-2_e", + "desc": "organization-defined out-of-band authentication", + "value": "organization-defined out-of-band authentication" + }, + { + "id": "ia-2_f", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.dhs.gov/homeland-security-presidential-directive-12", + "value": "HSPD-12" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy04/m04-04.pdf", + "value": "OMB Memorandum 04-04" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2006/m06-16.pdf", + "value": "OMB Memorandum 06-16" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/m11-11.pdf", + "value": "OMB Memorandum 11-11" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-73", + "value": "NIST Special Publication 800-73" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-76", + "value": "NIST Special Publication 800-76" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + }, + { + "citations": [ + { + "href": "http://www.idmanagement.gov/documents/ficam-roadmap-and-implementation-guidance", + "value": "FICAM Roadmap and Implementation Guidance" + } + ] + }, + { + "citations": [ + { + "href": "http://idmanagement.gov", + "value": "http://idmanagement.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.3", + "title": "DEVICE IDENTIFICATION AND AUTHENTICATION", + "params": [ + { + "id": "ia-3_a", + "desc": "organization-defined specific and/or types of devices", + "value": "organization-defined specific and/or types of devices" + } + ], + "props": [ + { + "class": "name", + "value": "IA-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system uniquely identifies and authenticates \u003cinsert param-id=\"ia-3_a\"/\u003e before establishing a [Selection (one or more): local; remote; network] connection.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational devices requiring unique device-to-device identification and authentication may be defined by type, by device, or by a combination of type/device. Information systems typically use either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on local and/or wide area networks. Organizations determine the required strength of authentication mechanisms by the security categories of information systems. Because of the challenges of applying this control on large scale, organizations are encouraged to only apply the control to those limited number (and type) of devices that truly need to support this capability.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ca.3" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-3-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines specific and/or types of devices that the information system uniquely identifies and authenticates before establishing one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-3-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ea local connection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-3-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea remote connection; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-3-1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea network connection; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-3-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system uniquely identifies and authenticates organization-defined devices before establishing one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-3-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ea local connection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-3-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea remote connection; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-3-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea network connection.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of devices requiring unique identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003edevice connection reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with operational responsibilities for device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing device identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.3.1.", + "title": "CRYPTOGRAPHIC BIDIRECTIONAL AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system authenticates \u003cinsert param-id=\"ia-3_b\"/\u003e before establishing [Selection (one or more): local; remote; network] connection using bidirectional authentication that is cryptographically based.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network (e.g., local area or wide area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk (e.g., remote connections).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-3.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines specific and/or types of devices requiring use of cryptographically based, bidirectional authentication to authenticate before establishing one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-3.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ea local connection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea remote connection; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea network connection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system uses cryptographically based bidirectional authentication to authenticate organization-defined devices before establishing one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-3.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ea local connection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea remote connection; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.1.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea network connection.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of devices requiring unique identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003edevice connection reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with operational responsibilities for device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing device authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographically based bidirectional authentication mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-3_b", + "desc": "organization-defined specific devices and/or types of devices", + "value": "organization-defined specific devices and/or types of devices" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.3.2.", + "title": "CRYPTOGRAPHIC BIDIRECTIONAL NETWORK AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-3 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ia.3.1." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.3.3.", + "title": "DYNAMIC ADDRESS ALLOCATION", + "props": [ + { + "class": "name", + "value": "IA-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ia-3.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eStandardizes dynamic address allocation lease information and the lease duration assigned to devices in accordance with \u003cinsert param-id=\"ia-3_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-3.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eAudits lease information when assigned to a device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDHCP-enabled clients obtaining leases for IP addresses from DHCP servers, is a typical example of dynamic address allocation for devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.3" + }, + { + "href": "#au.6" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-3.3.a.", + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-3.3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines lease information to be employed to standardize dynamic address allocation for devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines lease duration to be employed to standardize dynamic address allocation for devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.3.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003estandardizes dynamic address allocation of lease information assigned to devices in accordance with organization-defined lease information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.3.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003estandardizes dynamic address allocation of the lease duration assigned to devices in accordance with organization-defined lease duration; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudits lease information when assigned to a device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(3)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of lease information and lease duration assigned to devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003edevice connection reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with operational responsibilities for device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing device identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing dynamic address allocation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implanting auditing of lease information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-3_c", + "desc": "organization-defined lease information and lease duration", + "value": "organization-defined lease information and lease duration" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.3.4.", + "title": "DEVICE ATTESTATION", + "props": [ + { + "class": "name", + "value": "IA-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that device identification and authentication based on attestation is handled by \u003cinsert param-id=\"ia-3_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevice attestation refers to the identification and authentication of a device based on its configuration and known operating state. This might be determined via some cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the those patches/updates are done securely and at the same time do not disrupt the identification and authentication to other devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines configuration management process to be employed to handle device identification and authentication based on attestation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that device identification and authentication based on attestation is handled by organization-defined configuration management process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing device configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with operational responsibilities for device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing device identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms supporting device attestation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-3_d", + "desc": "organization-defined configuration management process", + "value": "organization-defined configuration management process" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ia.4", + "title": "IDENTIFIER MANAGEMENT", + "params": [ + { + "id": "ia-4_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ia-4_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "ia-4_c", + "desc": "organization-defined time period of inactivity", + "value": "organization-defined time period of inactivity" + } + ], + "props": [ + { + "class": "name", + "value": "IA-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization manages information system identifiers by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ia-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eReceiving authorization from \u003cinsert param-id=\"ia-4_a\"/\u003e to assign an individual, group, role, or device identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4a." + } + ] + }, + { + "class": "item", + "id": "smm_ia-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eSelecting an identifier that identifies an individual, group, role, or device;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4b." + } + ] + }, + { + "class": "item", + "id": "smm_ia-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eAssigning the identifier to the intended individual, group, role, or device;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4c." + } + ] + }, + { + "class": "item", + "id": "smm_ia-4d.", + "prose": [ + "\u003cp class=\"description\"\u003ePreventing reuse of identifiers for \u003cinsert param-id=\"ia-4_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4d." + } + ] + }, + { + "class": "item", + "id": "smm_ia-4e.", + "prose": [ + "\u003cp class=\"description\"\u003eDisabling the identifier after \u003cinsert param-id=\"ia-4_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCommon device identifiers include, for example, media access control (MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). Typically, individual identifiers are the user names of the information system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. This control also addresses individual identifiers not necessarily associated with information system accounts (e.g., identifiers used in physical security control databases accessed by badge reader systems for access to information systems). Preventing reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + }, + { + "href": "#sc.37" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization manages information system identifiers by: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.a.", + "props": [ + { + "class": "name", + "value": "IA-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefining personnel or roles from whom authorization must be received to assign:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ean individual identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea group identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.a.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea role identifier; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.a.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003ea device identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[1][d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereceiving authorization from organization-defined personnel or roles to assign:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ean individual identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea group identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.a.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea role identifier; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.a.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003ea device identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eselecting an identifier that identifies:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ean individual;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ea group;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ea role; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(b)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.b.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ea device;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(b)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eassigning the identifier to the intended:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eindividual;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003egroup;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erole; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(c)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.c.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edevice;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(c)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.d.", + "props": [ + { + "class": "name", + "value": "IA-4(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefining a time period for preventing reuse of identifiers;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003epreventing reuse of identifiers for the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(d)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.e.", + "props": [ + { + "class": "name", + "value": "IA-4(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefining a time period of inactivity to disable the identifier; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edisabling the identifier after the organization-defined time period of inactivity.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(e)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of identifiers generated from physical access control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.4.1.", + "title": "PROHIBIT ACCOUNT IDENTIFIERS AS PUBLIC IDENTIFIERS", + "props": [ + { + "class": "name", + "value": "IA-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProhibiting the use of information systems account identifiers that are the same as some public identifier such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers on organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.2.", + "title": "SUPERVISOR AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "IA-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that the registration process to receive an individual identifier includes supervisor authorization.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires that the registration process to receive an individual identifier includes supervisor authorization. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esupervisors responsible for authorizing identifier registration\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.3.", + "title": "MULTIPLE FORMS OF CERTIFICATION", + "props": [ + { + "class": "name", + "value": "IA-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires multiple forms of certification of individual identification be presented to the registration authority.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRequiring multiple forms of identification, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity, or at least increases the work factor of potential adversaries.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.4.", + "title": "IDENTIFY USER STATUS", + "props": [ + { + "class": "name", + "value": "IA-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization manages individual identifiers by uniquely identifying each individual as \u003cinsert param-id=\"ia-4_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCharacteristics identifying the status of individuals include, for example, contractors and foreign nationals. Identifying the status of individuals by specific characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-4.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a characteristic to be used to identify individual status; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-4.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emanages individual identifiers by uniquely identifying each individual as the organization-defined characteristic identifying individual status.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of characteristics identifying individual status\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-4_d", + "desc": "organization-defined characteristic identifying individual status", + "value": "organization-defined characteristic identifying individual status" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.5.", + "title": "DYNAMIC MANAGEMENT", + "props": [ + { + "class": "name", + "value": "IA-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system dynamically manages identifiers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn contrast to conventional approaches to identification which presume static accounts for preregistered users, many distributed information systems including, for example, service-oriented architectures, rely on establishing identifiers at run time for entities that were previously unknown. In these situations, organizations anticipate and provision for the dynamic establishment of identifiers. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system dynamically manages identifiers. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing dynamic identifier management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.6.", + "title": "CROSS-ORGANIZATION MANAGEMENT", + "props": [ + { + "class": "name", + "value": "IA-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates with \u003cinsert param-id=\"ia-4_e\"/\u003e for cross-organization management of identifiers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCross-organization identifier management provides the capability for organizations to appropriately identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-4.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external organizations with whom to coordinate cross-organization management of identifiers; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-4.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates with organization-defined external organizations for cross-organization management of identifiers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-4_e", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.7.", + "title": "IN-PERSON REGISTRATION", + "props": [ + { + "class": "name", + "value": "IA-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn-person registration reduces the likelihood of fraudulent identifiers being issued because it requires the physical presence of individuals and actual face-to-face interactions with designated registration authorities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-73", + "value": "NIST Special Publication 800-73" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-76", + "value": "NIST Special Publication 800-76" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.5", + "title": "AUTHENTICATOR MANAGEMENT", + "params": [ + { + "id": "ia-5_a", + "desc": "organization-defined time period by authenticator type", + "value": "organization-defined time period by authenticator type" + } + ], + "props": [ + { + "class": "name", + "value": "IA-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization manages information system authenticators by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ia-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eVerifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5a." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishing initial authenticator content for authenticators defined by the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5b." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsuring that authenticators have sufficient strength of mechanism for their intended use;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5c." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5d.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5d." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5e.", + "prose": [ + "\u003cp class=\"description\"\u003eChanging default content of authenticators prior to information system installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5e." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5f.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5f." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5g.", + "prose": [ + "\u003cp class=\"description\"\u003eChanging/refreshing authenticators \u003cinsert param-id=\"ia-5_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5g." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5h.", + "prose": [ + "\u003cp class=\"description\"\u003eProtecting authenticator content from unauthorized disclosure and modification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5h." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5i.", + "prose": [ + "\u003cp class=\"description\"\u003eRequiring individuals to take, and having devices implement, specific security safeguards to protect authenticators; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5i." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5j.", + "prose": [ + "\u003cp class=\"description\"\u003eChanging authenticators for group/role accounts when membership to those accounts changes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5j." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndividual authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). In many cases, developers ship information system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored within organizational information systems (e.g., passwords stored in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with administrator privileges). Information systems support individual authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Specific actions that can be taken to safeguard authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing individual authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#cm.6" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.8" + }, + { + "href": "#pl.4" + }, + { + "href": "#ps.5" + }, + { + "href": "#ps.6" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.17" + }, + { + "href": "#sc.28" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization manages information system authenticators by: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003everifying, as part of the initial authenticator distribution, the identity of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe individual receiving the authenticator;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe group receiving the authenticator;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe role receiving the authenticator; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe device receiving the authenticator;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishing initial authenticator content for authenticators defined by the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eensuring that authenticators have sufficient strength of mechanism for their intended use;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.d.", + "props": [ + { + "class": "name", + "value": "IA-5(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-5.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishing and implementing administrative procedures for initial authenticator distribution;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishing and implementing administrative procedures for lost/compromised or damaged authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishing and implementing administrative procedures for revoking authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(d)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.e.", + "prose": [ + "\u003cp class=\"decision\"\u003echanging default content of authenticators prior to information system installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(e)" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.f.", + "props": [ + { + "class": "name", + "value": "IA-5(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-5.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishing minimum lifetime restrictions for authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishing maximum lifetime restrictions for authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(f)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.f.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishing reuse conditions for authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(f)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.g.", + "props": [ + { + "class": "name", + "value": "IA-5(g)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-5.g.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefining a time period (by authenticator type) for changing/refreshing authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(g)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.g.2.", + "prose": [ + "\u003cp class=\"decision\"\u003echanging/refreshing authenticators with the organization-defined time period by authenticator type;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(g)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.h.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotecting authenticator content from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(h)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-5.h.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edisclosure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(h)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.h.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(h)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.i.", + "props": [ + { + "class": "name", + "value": "IA-5(i)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-5.i.1.", + "prose": [ + "\u003cp class=\"decision\"\u003erequiring individuals to take specific security safeguards to protect authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(i)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.i.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ehaving devices implement specific security safeguards to protect authenticators; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(i)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.j.", + "prose": [ + "\u003cp class=\"decision\"\u003echanging authenticators for group/role accounts when membership to those accounts changes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(j)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system authenticator types\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records associated with managing information system authenticators\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.5.1.", + "title": "PASSWORD-BASED AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-5 (1)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, for password-based authentication:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ia-5.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces minimum password complexity of \u003cinsert param-id=\"ia-5_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces at least the following number of changed characters when new passwords are created: \u003cinsert param-id=\"ia-5_c\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.1.c.", + "prose": [ + "\u003cp class=\"description\"\u003eStores and transmits only cryptographically-protected passwords;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.1.d.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces password minimum and maximum lifetime restrictions of \u003cinsert param-id=\"ia-5_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(d)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.1.e.", + "prose": [ + "\u003cp class=\"description\"\u003eProhibits password reuse for \u003cinsert param-id=\"ia-5_e\"/\u003e generations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(e)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.1.f.", + "prose": [ + "\u003cp class=\"description\"\u003eAllows the use of a temporary password for system logons with an immediate change to a permanent password.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(f)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to single-factor authentication of individuals using passwords as individual or group authenticators, and in a similar manner, when passwords are part of multifactor authenticators. This control enhancement does not apply when passwords are used to unlock hardware authenticators (e.g., Personal Identity Verification cards). The implementation of such password mechanisms may not meet all of the requirements in the enhancement. Cryptographically-protected passwords include, for example, encrypted versions of passwords and one-way cryptographic hashes of passwords. The number of changed characters refers to the number of changes required with respect to the total number of positions in the current password. Password lifetime restrictions do not apply to temporary passwords. To mitigate certain brute force attacks against passwords, organizations may also consider salting passwords.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if, for password-based authentication: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.1.a.", + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines requirements for case sensitivity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines requirements for number of characters;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines requirements for the mix of upper-case letters, lower-case letters, numbers and special characters;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines minimum requirements for each type of character;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.a.5.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces minimum password complexity of organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[5]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.b.", + "props": [ + { + "class": "name", + "value": "IA-5(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a minimum number of changed characters to be enforced when new passwords are created;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces at least the organization-defined minimum number of characters that must be changed when new passwords are created;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system stores and transmits only encrypted representations of passwords;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(c)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.d.", + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.1.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines numbers for password minimum lifetime restrictions to be enforced for passwords;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines numbers for password maximum lifetime restrictions to be enforced for passwords;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces password minimum lifetime restrictions of organization-defined numbers for lifetime minimum;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.d.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces password maximum lifetime restrictions of organization-defined numbers for lifetime maximum;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.e.", + "props": [ + { + "class": "name", + "value": "IA-5(1)(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.1.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the number of password generations to be prohibited from password reuse;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prohibits password reuse for the organization-defined number of generations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(e)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system allows the use of a temporary password for system logons with an immediate change to a permanent password.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(f)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003epassword policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003epassword configurations and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing password-based authenticator management capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-5_b", + "desc": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type", + "value": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type" + }, + { + "id": "ia-5_c", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "id": "ia-5_d", + "desc": "organization-defined numbers for lifetime minimum, lifetime maximum", + "value": "organization-defined numbers for lifetime minimum, lifetime maximum" + }, + { + "id": "ia-5_e", + "desc": "organization-defined number", + "value": "organization-defined number" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.2.", + "title": "PKI-BASED AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-5 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, for PKI-based authentication:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ia-5.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eValidates certifications by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces authorized access to the corresponding private key;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (2)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.2.c.", + "prose": [ + "\u003cp class=\"description\"\u003eMaps the authenticated identity to the account of the individual or group; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (2)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.2.d.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (2)(d)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eStatus information for certification paths includes, for example, certificate revocation lists or certificate status protocol responses. For PIV cards, validation of certifications involves the construction and verification of a certification path to the Common Policy Root trust anchor including certificate policy processing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system, for PKI-based authentication: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.2.a.", + "props": [ + { + "class": "name", + "value": "IA-5(2)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003evalidates certifications by constructing a certification path to an accepted trust anchor;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(2)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003evalidates certifications by verifying a certification path to an accepted trust anchor;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(2)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eincludes checking certificate status information when constructing and verifying the certification path;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(2)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces authorized access to the corresponding private key;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(2)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003emaps the authenticated identity to the account of the individual or group; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(2)(c)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(2)(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ePKI certification validation records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ePKI certification revocation lists\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with PKI-based, authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing PKI-based, authenticator management capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.3.", + "title": "IN-PERSON OR TRUSTED THIRD-PARTY REGISTRATION", + "props": [ + { + "class": "name", + "value": "IA-5 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that the registration process to receive \u003cinsert param-id=\"ia-5_f\"/\u003e be conducted [Selection: in person; by a trusted third party] before \u003cinsert param-id=\"ia-5_g\"/\u003e with authorization by \u003cinsert param-id=\"ia-5_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of and/or specific authenticators to be received in person or by a trusted third party;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the registration authority with oversight of the registration process for receipt of organization-defined types of and/or specific authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles responsible for authorizing organization-defined registration authority;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines if the registration process is to be conducted:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(3)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.3.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ein person; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(3)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.3.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eby a trusted third party; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(3)[4][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.3.5.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that the registration process to receive organization-defined types of and/or specific authenticators be conducted in person or by a trusted third party before organization-defined registration authority with authorization by organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(3)[5]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eregistration process for receiving information system authenticators\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of authenticators requiring in-person registration\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of authenticators requiring trusted third party registration\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthenticator registration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eregistration authority\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ia-5_f", + "desc": "organization-defined types of and/or specific authenticators", + "value": "organization-defined types of and/or specific authenticators" + }, + { + "id": "ia-5_g", + "desc": "organization-defined registration authority", + "value": "organization-defined registration authority" + }, + { + "id": "ia-5_h", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.4.", + "title": "AUTOMATED SUPPORT FOR PASSWORD STRENGTH DETERMINATION", + "props": [ + { + "class": "name", + "value": "IA-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated tools to determine if password authenticators are sufficiently strong to satisfy \u003cinsert param-id=\"ia-5_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on the creation of strong passwords and the characteristics of such passwords (e.g., complexity) prior to use, the enforcement of which is carried out by organizational information systems in IA-5 (1).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines requirements to be satisfied by password authenticators; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated tools to determine if password authenticators are sufficiently strong to satisfy organization-defined requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated tools for evaluating password authenticators\u003c/p\u003e", + "\u003cp class=\"object\"\u003epassword strength assessment results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing password-based authenticator management capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated tools for determining password strength\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-5_i", + "desc": "organization-defined requirements", + "value": "organization-defined requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.5.", + "title": "CHANGE AUTHENTICATORS PRIOR TO DELIVERY", + "props": [ + { + "class": "name", + "value": "IA-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires developers/installers of information system components to provide unique authenticators or change default authenticators prior to delivery/installation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement extends the requirement for organizations to change default authenticators upon information system installation, by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to the developers of commercial off-the-shelve information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring information systems or system components.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires developers/installers of information system components to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovide unique authenticators prior to delivery/installation; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003echange default authenticators prior to delivery/installation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for information system procurements or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system security, acquisition, and contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.6.", + "title": "PROTECTION OF AUTHENTICATORS", + "props": [ + { + "class": "name", + "value": "IA-5 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor information systems containing multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity categorization documentation for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessments of authenticator protections\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment results\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel implementing and/or maintaining authenticator protections\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms protecting authenticators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.7.", + "title": "NO EMBEDDED UNENCRYPTED STATIC AUTHENTICATORS", + "props": [ + { + "class": "name", + "value": "IA-5 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that unencrypted static authenticators are not: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eembedded in applications;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eembedded in access scripts; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(7)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.7.3.", + "prose": [ + "\u003cp class=\"decision\"\u003estored on function keys.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(7)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elogical access scripts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapplication code reviews for detecting unencrypted static authenticators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing authentication in applications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.8.", + "title": "MULTIPLE INFORMATION SYSTEM ACCOUNTS", + "props": [ + { + "class": "name", + "value": "IA-5 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"ia-5_j\"/\u003e to manage the risk of compromise due to individuals having accounts on multiple information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen individuals have accounts on multiple information systems, there is the risk that the compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Possible alternatives include, for example: (i) having different authenticators on all systems; (ii) employing some form of single sign-on mechanism; or (iii) including some form of one-time passwords on all systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(8)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of individuals having accounts on multiple information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards intended to manage risk of compromise due to individuals having accounts on multiple information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing safeguards for authenticator management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-5_j", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.9.", + "title": "CROSS-ORGANIZATION CREDENTIAL MANAGEMENT", + "props": [ + { + "class": "name", + "value": "IA-5 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates with \u003cinsert param-id=\"ia-5_k\"/\u003e for cross-organization management of credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCross-organization management of credentials provides the capability for organizations to appropriately authenticate individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external organizations with whom to coordinate cross-organizational management of credentials; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates with organization-defined external organizations for cross-organizational management of credentials.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation security agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing safeguards for authenticator management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-5_k", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.10.", + "title": "DYNAMIC CREDENTIAL ASSOCIATION", + "props": [ + { + "class": "name", + "value": "IA-5 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system dynamically provisions identities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthentication requires some form of binding between an identity and the authenticator used to confirm the identity. In conventional approaches, this binding is established by pre-provisioning both the identity and the authenticator to the information system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the information system. New authentication techniques allow the binding between the identity and the authenticator to be implemented outside an information system. For example, with smartcard credentials, the identity and the authenticator are bound together on the card. Using these credentials, information systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system dynamically provisions identifiers.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms providing dynamic binding of identifiers and authenticators\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing identifier management capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing dynamic provisioning of identifiers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.11.", + "title": "HARDWARE TOKEN-BASED AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-5 (11)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, for hardware token-based authentication, employs mechanisms that satisfy \u003cinsert param-id=\"ia-5_l\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHardware token-based authentication typically refers to the use of PKI-based tokens, such as the U.S. Government Personal Identity Verification (PIV) card. Organizations define specific requirements for tokens, such as working with a particular PKI.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if, for hardware token-based authentication: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines token quality requirements to be satisfied; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system employs mechanisms that satisfy organization-defined token quality requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(11)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms employing hardware token-based authentication for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of token quality requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing hardware token-based authenticator management capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-5_l", + "desc": "organization-defined token quality requirements", + "value": "organization-defined token quality requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.12.", + "title": "BIOMETRIC-BASED AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-5 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, for biometric-based authentication, employs mechanisms that satisfy \u003cinsert param-id=\"ia-5_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnlike password-based authentication which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide such exact matches. Depending upon the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and stored biometric which serves as the basis of comparison. There will likely be both false positives and false negatives when making such comparisons. The rate at which the false accept and false reject rates are equal is known as the crossover rate. Biometric quality requirements include, for example, acceptable crossover rates, as that essentially reflects the accuracy of the biometric.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if, for biometric-based authentication: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines biometric quality requirements to be satisfied; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system employs mechanisms that satisfy organization-defined biometric quality requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(12)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms employing biometric-based authentication for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of biometric quality requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing biometric-based authenticator management capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-5_m", + "desc": "organization-defined biometric quality requirements", + "value": "organization-defined biometric quality requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.13.", + "title": "EXPIRATION OF CACHED AUTHENTICATORS", + "props": [ + { + "class": "name", + "value": "IA-5 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prohibits the use of cached authenticators after \u003cinsert param-id=\"ia-5_n\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period after which the information system is to prohibit the use of cached authenticators; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prohibits the use of cached authenticators after the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(13)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-5_n", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.14.", + "title": "MANAGING CONTENT OF PKI TRUST STORES", + "props": [ + { + "class": "name", + "value": "IA-5 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including networks, operating systems, browsers, and applications.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.14.1.", + "prose": [ + "\u003cp class=\"decision\"\u003enetworks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(14)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.14.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eoperating systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(14)[2]" + } + ] + }, + { 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system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing PKI-based authenticator management capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the PKI trust store capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.15.", + "title": "FICAM-APPROVED PRODUCTS AND SERVICES", + "props": [ + { + "class": "name", + "value": "IA-5 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization uses only FICAM-approved path discovery and validation products and services.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFederal Identity, Credential, and Access Management (FICAM)-approved path discovery and validation products and services are those products and services that have been approved through the FICAM conformance program, where applicable.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization uses only FICAM-approved path discovery and validation products and services.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms providing dynamic binding of identifiers and authenticators\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identification and authentication management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing account management capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing identification and authentication management capability for the information system\u003c/p\u003e" + ], + "props": [ + { + "class": 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}, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + }, + { + "citations": [ + { + "href": "http://www.idmanagement.gov/documents/ficam-roadmap-and-implementation-guidance", + "value": "FICAM Roadmap and Implementation Guidance" + } + ] + }, + { + "citations": [ + { + "href": "http://idmanagement.gov", + "value": "http://idmanagement.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.6", + "title": "AUTHENTICATOR FEEDBACK", + "props": [ + { + "class": "name", + "value": "IA-6" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe feedback from information systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of information systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (often referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be less significant, and may need to be balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is selected accordingly. Obscuring the feedback of authentication information includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.18" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator feedback\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ia.7", + "title": "CRYPTOGRAPHIC MODULE AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-7" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cryptographic module authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for cryptographic module authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing cryptographic module authentication\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html", + "value": "FIPS Publication 140" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/groups/STM/cmvp/index.html", + "value": "http://csrc.nist.gov/groups/STM/cmvp/index.html" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.8", + "title": "IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)", + "props": [ + { + "class": "name", + "value": "IA-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNon-organizational users include information system users other than organizational users explicitly covered by IA-2. These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations use risk assessments to determine authentication needs and consider scalability, practicality, and security in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk. IA-2 addresses identification and authentication requirements for access to information systems by organizational users.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.14" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ma.4" + }, + { + "href": "#ra.3" + }, + { + "href": "#sa.12" + }, + { + "href": "#sc.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.8.1.", + "title": "ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES", + "props": [ + { + "class": "name", + "value": "IA-8 (1)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system accepts and electronically verifies Personal Identity Verification (PIV) credentials from other federal agencies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#sa.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-8.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccepts Personal Identity Verification (PIV) credentials from other agencies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-8(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-8.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eelectronically verifies Personal Identity Verification (PIV) credentials from other agencies.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-8(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ePIV verification records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of PIV credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003ePIV credential authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms that accept and verify PIV credentials\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.8.2.", + "title": "ACCEPTANCE OF THIRD-PARTY CREDENTIALS", + "props": [ + { + "class": "name", + "value": "IA-8 (2)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system accepts only FICAM-approved third-party credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement typically applies to organizational information systems that are accessible to the general public, for example, public-facing websites. Third-party credentials are those credentials issued by nonfederal government entities approved by the Federal Identity, Credential, and Access Management (FICAM) Trust Framework Solutions initiative. Approved third-party credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. This allows federal government relying parties to trust such credentials at their approved assurance levels.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system accepts only FICAM-approved third-party credentials. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of FICAM-approved, third-party credentialing products, components, or services procured and implemented by organization\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethird-party credential verification records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of FICAM-approved third-party credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethird-party credential authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms that accept FICAM-approved credentials\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.8.3.", + "title": "USE OF FICAM-APPROVED PRODUCTS", + "props": [ + { + "class": "name", + "value": "IA-8 (3)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs only FICAM-approved information system components in \u003cinsert param-id=\"ia-8_a\"/\u003e to accept third-party credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement typically applies to information systems that are accessible to the general public, for example, public-facing websites. FICAM-approved information system components include, for example, information technology products and software libraries that have been approved by the Federal Identity, Credential, and Access Management conformance program.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-8.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems in which only FICAM-approved information system components are to be employed to accept third-party credentials; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-8(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-8.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys only FICAM-approved information system components in organization-defined information systems to accept third-party credentials.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-8(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethird-party credential validations\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethird-party credential authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethird-party credential records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of FICAM-approved information system components procured and implemented by organization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for information system procurements or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system security, acquisition, and contracting responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-8_a", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.8.4.", + "title": "USE OF FICAM-ISSUED PROFILES", + "props": [ + { + "class": "name", + "value": "IA-8 (4)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system conforms to FICAM-issued profiles.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses open identity management standards. To ensure that these standards are viable, robust, reliable, sustainable (e.g., available in commercial information technology products), and interoperable as documented, the United States Government assesses and scopes identity management standards and technology implementations against applicable federal legislation, directives, policies, and requirements. The result is FICAM-issued implementation profiles of approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute Exchange).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system conforms to FICAM-issued profiles. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of FICAM-issued profiles and associated, approved protocols\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for information system procurements or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing conformance with FICAM-issued profiles\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.8.5.", + "title": "ACCEPTANCE OF PIV-I CREDENTIALS", + "props": [ + { + "class": "name", + "value": "IA-8 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system accepts and electronically verifies Personal Identity Verification-I (PIV-I) credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement: (i) applies to logical and physical access control systems; and (ii) addresses Non-Federal Issuers (NFIs) of identity cards that desire to interoperate with United States Government Personal Identity Verification (PIV) information systems and that can be trusted by federal government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is suitable for Assurance Level 4 as defined in OMB Memorandum 04-04 and NIST Special Publication 800-63, and multifactor authentication as defined in NIST Special Publication 800-116. PIV-I credentials are those credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified (directly or through another PKI bridge) with the FBCA with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-8.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccepts Personal Identity Verification-I (PIV-I) credentials; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-8(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-8.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eelectronically verifies Personal Identity Verification-I (PIV-I) credentials.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-8(5)[2]" + } + ] + } + ] + }, + { + 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class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms that accept and verify PIV-I credentials\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy04/m04-04.pdf", + "value": "OMB Memorandum 04-04" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/m11-11.pdf", + "value": "OMB Memorandum 11-11" + } + ] + }, + { + "citations": [ + { + "value": "OMB Memorandum 10-06-2011" + } + ] + }, + { + "citations": [ + { + "href": "http://www.idmanagement.gov/documents/ficam-roadmap-and-implementation-guidance", + "value": "FICAM Roadmap and Implementation Guidance" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-116", + "value": "NIST Special Publication 800-116" + } + ] + }, + { + "citations": [ + { + "href": "http://www.nist.gov/nstic", + "value": "National Strategy for Trusted Identities in Cyberspace" + } + ] + }, + { + "citations": [ + { + "href": "http://idmanagement.gov", + "value": "http://idmanagement.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.9", + "title": "SERVICE IDENTIFICATION AND AUTHENTICATION", + "params": [ + { + "id": "ia-9_a", + "desc": "organization-defined information system services", + "value": "organization-defined information system services" + }, + { + "id": "ia-9_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "IA-9" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies and authenticates \u003cinsert param-id=\"ia-9_a\"/\u003e using \u003cinsert param-id=\"ia-9_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control supports service-oriented architectures and other distributed architectural approaches requiring the identification and authentication of information system services. In such architectures, external services often appear dynamically. Therefore, information systems should be able to determine in a dynamic manner, if external providers and associated services are authentic. Safeguards implemented by organizational information systems to validate provider and service authenticity include, for example, information or code signing, provenance graphs, and/or electronic signatures indicating or including the sources of services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-9-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system services to be identified and authenticated using security safeguards;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-9[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-9-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be used to identify and authenticate organization-defined information system services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-9[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-9-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies and authenticates organization-defined information system services using organization-defined security safeguards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-9[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing service identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity safeguards used to identify and authenticate information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with identification and authentication responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity safeguards implementing service identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.9.1.", + "title": "INFORMATION EXCHANGE", + "props": [ + { + "class": "name", + "value": "IA-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that service providers receive, validate, and transmit identification and authentication information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that service providers: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-9.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ereceive identification and authentication information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-9(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-9.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003evalidate identification and authentication information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-9(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-9.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003etransmit identification and authentication information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-9(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing service identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identification and authentication responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice providers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing service identification and authentication capabilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.9.2.", + "title": "TRANSMISSION OF DECISIONS", + "props": [ + { + "class": "name", + "value": "IA-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that identification and authentication decisions are transmitted between \u003cinsert param-id=\"ia-9_c\"/\u003e consistent with organizational policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor distributed architectures (e.g., service-oriented architectures), the decisions regarding the validation of identification and authentication claims may be made by services separate from the services acting on those decisions. 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This situation can potentially occur with any authentication mechanisms employed by organizations. To address this threat, organizations may employ specific techniques/mechanisms and establish protocols to assess suspicious behavior (e.g., individuals accessing information that they do not typically access as part of their normal duties, roles, or responsibilities, accessing greater quantities of information than the individuals would routinely access, or attempting to access information from suspicious network addresses). In these situations when certain preestablished conditions or triggers occur, organizations can require selected individuals to provide additional authentication information. Another potential use for adaptive identification and authentication is to increase the strength of mechanism based on the number and/or types of records being accessed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-10-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines specific circumstances or situations that require individuals accessing the information system to employ supplemental authentication techniques or mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-10[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-10-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines supplemental authentication techniques or mechanisms to be employed when accessing the information system under specific organization-defined circumstances or situations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-10[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-10-3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that individuals accessing the information system employ organization-defined supplemental authentication techniques or mechanisms under specific organization-defined circumstances or situations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-10[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing adaptive/ supplemental identification and authentication techniques or mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esupplemental identification and authentication techniques or mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with identification and authentication responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ia.11", + "title": "RE-AUTHENTICATION", + "params": [ + { + "id": "ia-11_a", + "desc": "organization-defined circumstances or situations requiring re-authentication", + "value": "organization-defined circumstances or situations requiring re-authentication" + } + ], + "props": [ + { + "class": "name", + "value": "IA-11" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires users and devices to re-authenticate when \u003cinsert param-id=\"ia-11_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn addition to the re-authentication requirements associated with session locks, organizations may require re-authentication of individuals and/or devices in other situations including, for example: (i) when authenticators change; (ii), when roles change; (iii) when security categories of information systems change; (iv), when the execution of privileged functions occurs; (v) after a fixed period of time; or (vi) periodically.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-11-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines circumstances or situations requiring re-authentication;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-11[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-11-2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires users to re-authenticate when organization-defined circumstances or situations require re-authentication; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-11[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-11-3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires devices to re-authenticate when organization-defined circumstances or situations require re-authentication.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-11[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user and device re-authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of circumstances or situations requiring re-authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with identification and authentication responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "INCIDENT RESPONSE", + "controls": [ + { + "class": "SP800-53", + "id": "ir.1", + "title": "INCIDENT RESPONSE POLICY AND PROCEDURES", + "params": [ + { + "id": "ir-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ir-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ir-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IR-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ir-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ir-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ir-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAn incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ir-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the incident response policy and associated incident response controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ir-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ir-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eIncident response policy \u003cinsert param-id=\"ir-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ir-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIncident response procedures \u003cinsert param-id=\"ir-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-1.a.1.", + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an incident response policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the incident response policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the incident response policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.2.", + "props": [ + { + "class": "name", + "value": "IR-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the incident response policy and associated incident response controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.b.1.", + "props": [ + { + "class": "name", + "value": "IR-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current incident response policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current incident response policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.b.2.", + "props": [ + { + "class": "name", + "value": "IR-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current incident response procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current incident response procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-83", + "value": "NIST Special Publication 800-83" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.2", + "title": "INCIDENT RESPONSE TRAINING", + "params": [ + { + "id": "ir-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "ir-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IR-2" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides incident response training to information system users consistent with assigned roles and responsibilities:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ir-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eWithin \u003cinsert param-id=\"ir-2_a\"/\u003e of assuming an incident response role or responsibility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2a." + } + ] + }, + { + "class": "item", + "id": "smm_ir-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2b." + } + ] + }, + { + "class": "item", + "id": "smm_ir-2c.", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"ir-2_b\"/\u003e thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncident response training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, regular users may only need to know who to call or how to recognize an incident on the information system; system administrators may require additional training on how to handle/remediate incidents; and incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#cp.3" + }, + { + "href": "#ir.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-2.a.", + "props": [ + { + "class": "name", + "value": "IR-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period within which incident response training is to be provided to information system users assuming an incident response role or responsibility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides incident response training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming an incident response role or responsibility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides incident response training to information system users consistent with assigned roles and responsibilities when required by information system changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-2.c.", + "props": [ + { + "class": "name", + "value": "IR-2(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide refresher incident response training to information system users consistent with assigned roles or responsibilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eafter the initial incident response training, provides refresher incident response training to information system users consistent with assigned roles and responsibilities in accordance with the organization-defined frequency to provide refresher training.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response training records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response training and operational responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.2.1.", + "title": "SIMULATED EVENTS", + "props": [ + { + "class": 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class=\"object\"\u003eOrganizational personnel with incident response testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for testing organizational plans related to incident response testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-84", + "value": "NIST Special Publication 800-84" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-115", + "value": "NIST Special Publication 800-115" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.4", + "title": "INCIDENT HANDLING", + "props": [ + { + "class": "name", + "value": "IR-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ir-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4a." + } + ] + }, + { + "class": "item", + "id": "smm_ir-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinates incident handling activities with contingency planning activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4b." + } + ] + }, + { + "class": "item", + "id": "smm_ir-4c.", + "prose": [ + 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Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#cm.6" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.4" + }, + { + "href": "#ir.2" + }, + { + "href": "#ir.3" + }, + { + "href": "#ir.8" + }, + { + "href": "#pe.6" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements an incident handling capability for security incidents that includes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003epreparation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetection and analysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003econtainment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eeradication;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(a)[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.a.5.", + "prose": [ + "\u003cp class=\"decision\"\u003erecovery;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(a)[5]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates incident handling activities with contingency planning activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.c.", + "props": [ + { + "class": "name", + "value": "IR-4(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eincorporates lessons learned from ongoing incident handling activities into:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-4.c.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eincident response procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.c.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003etraining;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.c.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003etesting/exercises;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements the resulting changes accordingly to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-4.c.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eincident response procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.c.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003etraining; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.c.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003etesting/exercises.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[2][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident handling capability for the organization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.4.1.", + "title": "AUTOMATED INCIDENT HANDLING PROCESSES", + "props": [ + { + "class": "name", + "value": "IR-4 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to support the incident handling process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting incident handling processes include, for example, online incident management systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to support the incident handling process. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms that support and/or implement the incident handling process\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.2.", + "title": "DYNAMIC RECONFIGURATION", + "props": [ + { + "class": "name", + "value": "IR-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes dynamic reconfiguration of \u003cinsert param-id=\"ir-4_a\"/\u003e as part of the incident response capability.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic reconfiguration includes, for example, changes to router rules, access control lists, intrusion detection/prevention system parameters, and filter rules for firewalls and gateways. Organizations perform dynamic reconfiguration of information systems, for example, to stop attacks, to misdirect attackers, and to isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include time frames for achieving the reconfiguration of information systems in the definition of the reconfiguration capability, considering the potential need for rapid response in order to effectively address sophisticated cyber threats.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components to be dynamically reconfigured as part of the incident response capability; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eincludes dynamic reconfiguration of organization-defined information system components as part of the incident response capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system components to be dynamically reconfigured as part of incident response capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms that support and/or implement dynamic reconfiguration of components as part of incident response\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-4_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.3.", + "title": "CONTINUITY OF OPERATIONS", + "props": [ + { + "class": "name", + "value": "IR-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies \u003cinsert param-id=\"ir-4_b\"/\u003e and \u003cinsert param-id=\"ir-4_c\"/\u003e to ensure continuation of organizational missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClasses of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Appropriate incident response actions include, for example, graceful degradation, information system shutdown, fall back to manual mode/alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved solely for when systems are under attack.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-4.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines classes of incidents requiring an organization-defined action to be taken;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines actions to be taken in response to organization-defined classes of incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies organization-defined classes of incidents and organization-defined actions to take in response to classes of incidents to ensure continuation of organizational missions and business functions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of classes of incidents\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of appropriate incident response actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms that support and/or implement continuity of operations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-4_b", + "desc": "organization-defined classes of incidents", + "value": "organization-defined classes of incidents" + }, + { + "id": "ir-4_c", + "desc": "organization-defined actions to take in response to classes of incidents", + "value": "organization-defined actions to take in response to classes of incidents" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.4.", + "title": "INFORMATION CORRELATION", + "props": [ + { + "class": "name", + "value": "IR-4 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSometimes the nature of a threat event, for example, a hostile cyber attack, is such that it can only be observed by bringing together information from different sources including various reports and reporting procedures established by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident and event correlation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident management correlation logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevent management correlation logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity information and event management logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident management correlation reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevent management correlation reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity information and event management reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with whom incident information and individual incident responses are to be correlated\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for correlating incident information and individual incident responses\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms that support and or implement correlation of incident response information with individual incident responses\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.5.", + "title": "AUTOMATIC DISABLING OF INFORMATION SYSTEM", + "props": [ + { + "class": "name", + "value": "IR-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements a configurable capability to automatically disable the information system if \u003cinsert param-id=\"ir-4_d\"/\u003e are detected.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-4.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security violations that, if detected, initiate a configurable capability to automatically disable the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a configurable capability to automatically disable the information system if any of the organization-defined security violations are detected.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident handling capability for the organization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing automatic disabling of the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-4_d", + "desc": "organization-defined security violations", + "value": "organization-defined security violations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.6.", + "title": "INSIDER THREATS - SPECIFIC CAPABILITIES", + "props": [ + { + "class": "name", + "value": "IR-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements incident handling capability for insider threats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhile many organizations address insider threat incidents as an inherent part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities (as defined within organizations) to provide appropriate and timely responses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization implements incident handling capability for insider threats.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident handling capability for the organization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.7.", + "title": "INSIDER THREATS - INTRA-ORGANIZATION COORDINATION", + "props": [ + { + "class": "name", + "value": "IR-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates incident handling capability for insider threats across \u003cinsert param-id=\"ir-4_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncident handling for insider threat incidents (including preparation, detection and analysis, containment, eradication, and recovery) requires close coordination among a variety of organizational components or elements to be effective. These components or elements include, for example, mission/business owners, information system owners, human resources offices, procurement offices, personnel/physical security offices, operations personnel, and risk executive (function). In addition, organizations may require external support from federal, state, and local law enforcement agencies.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-4.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines components or elements of the organization with whom the incident handling capability for insider threats is to be coordinated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates incident handling capability for insider threats across organization-defined components or elements of the organization.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(7)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel/elements with whom incident handling capability is to be coordinated\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for coordinating incident handling\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-4_e", + "desc": "organization-defined components or elements of the organization", + "value": "organization-defined components or elements of the organization" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.8.", + "title": "CORRELATION WITH EXTERNAL ORGANIZATIONS", + "props": [ + { + "class": "name", + "value": "IR-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates with \u003cinsert param-id=\"ir-4_f\"/\u003e to correlate and share \u003cinsert param-id=\"ir-4_g\"/\u003e to achieve a cross-organization perspective on incident awareness and more effective incident responses.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe coordination of incident information with external organizations including, for example, mission/business partners, military/coalition partners, customers, and multitiered developers, can provide significant benefits. Cross-organizational coordination with respect to incident handling can serve as an important risk management capability. This capability allows organizations to leverage critical information from a variety of sources to effectively respond to information security-related incidents potentially affecting the organization�s operations, assets, and individuals.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-4.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external organizations with whom organizational incident information is to be coordinated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines incident information to be correlated and shared with organization-defined external organizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.8.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization coordinates with organization-defined external organizations to correlate and share organization-defined information to achieve a cross-organization perspective on incident awareness and more effective incident responses.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(8)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of external organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of incident handling coordination with external organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel from external organizations with whom incident response information is to be coordinated/shared/correlated\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for coordinating incident handling information with external organizations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-4_f", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "id": "ir-4_g", + "desc": "organization-defined incident information", + "value": "organization-defined incident information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.9.", + "title": "DYNAMIC RESPONSE CAPABILITY", + "props": [ + { + "class": "name", + "value": "IR-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"ir-4_h\"/\u003e to effectively respond to security incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses the deployment of replacement or new capabilities in a timely manner in response to security incidents (e.g., adversary actions during hostile cyber attacks). This includes capabilities implemented at the mission/business process level (e.g., activating alternative mission/business processes) and at the information system level.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-4.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines dynamic response capabilities to be employed to effectively respond to security incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined dynamic response capabilities to effectively respond to security incidents.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting dynamic response capabilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for dynamic response capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the dynamic response capability for the organization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-4_h", + "desc": "organization-defined dynamic response capabilities", + "value": "organization-defined dynamic response capabilities" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.10.", + "title": "SUPPLY CHAIN COORDINATION", + "props": [ + { + "class": "name", + "value": "IR-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain coordination\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plans of other organization involved in supply chain activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net", + "value": "Executive Order 13587" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.5", + "title": "INCIDENT MONITORING", + "props": [ + { + "class": "name", + "value": "IR-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tracks and documents information system security incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDocumenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#ir.8" + }, + { + "href": "#pe.6" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-5-1.", + "prose": [ + "\u003cp class=\"decision\"\u003etracks information system security incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-5[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-5-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments information system security incidents.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-5[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response records and documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident monitoring capability for the organization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing tracking and documenting of system security incidents\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.5.1.", + "title": "AUTOMATED TRACKING / DATA COLLECTION / ANALYSIS", + "props": [ + { + "class": "name", + "value": "IR-5 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms for tracking security incidents and collecting/analyzing incident information include, for example, the Einstein network monitoring device and monitoring online Computer Incident Response Centers (CIRCs) or other electronic databases of incidents.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.7" + }, + { + "href": "#ir.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to assist in:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-5.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe tracking of security incidents;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-5(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-5.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe collection of incident information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-5(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-5.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe analysis of incident information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-5(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms assisting in tracking of security incidents and in the collection and analysis of incident information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.6", + "title": "INCIDENT REPORTING", + "params": [ + { + "id": "ir-6_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "ir-6_b", + "desc": "organization-defined authorities", + "value": "organization-defined authorities" + } + ], + "props": [ + { + "class": "name", + "value": "IR-6" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ir-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires personnel to report suspected security incidents to the organizational incident response capability within \u003cinsert param-id=\"ir-6_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6a." + } + ] + }, + { + "class": "item", + "id": "smm_ir-6b.", + "prose": [ + "\u003cp class=\"description\"\u003eReports security incident information to \u003cinsert param-id=\"ir-6_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. The types of security incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.4" + }, + { + "href": "#ir.5" + }, + { + "href": "#ir.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-6.a.", + "props": [ + { + "class": "name", + "value": "IR-6(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-6.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which personnel report suspected security incidents to the organizational incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-6.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires personnel to report suspected security incidents to the organizational incident response capability within the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-6.b.", + "props": [ + { + "class": "name", + "value": "IR-6(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines authorities to whom security incident information is to be reported; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports security incident information to organization-defined authorities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident reporting records and documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel who have/should have reported incidents\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel (authorities) to whom incident information is to be reported\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing incident reporting\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.6.1.", + "title": "AUTOMATED REPORTING", + "props": [ + { + "class": "name", + "value": "IR-6 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to assist in the reporting of security incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ir.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to assist in the reporting of security incidents.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing reporting of security incidents\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.6.2.", + "title": "VULNERABILITIES RELATED TO INCIDENTS", + "props": [ + { + "class": "name", + "value": "IR-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reports information system vulnerabilities associated with reported security incidents to \u003cinsert param-id=\"ir-6_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-6.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom information system vulnerabilities associated with reported security incidents are to be reported; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-6.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports information system vulnerabilities associated with reported security incidents to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity incident reports and associated information system vulnerabilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel to whom vulnerabilities associated with security incidents are to be reported\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing reporting of vulnerabilities associated with security incidents\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-6_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.6.3.", + "title": "COORDINATION WITH SUPPLY CHAIN", + "props": [ + { + "class": "name", + "value": "IR-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities. Organizations determine the appropriate information to share considering the value gained from support by external organizations with the potential for harm due to sensitive information being released to outside organizations of perhaps questionable trustworthiness.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain coordination\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplans of other organization involved in supply chain activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing reporting of incident information involved in the supply chain\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + }, + { + "citations": [ + { + "href": "http://www.us-cert.gov", + "value": "http://www.us-cert.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.7", + "title": "INCIDENT RESPONSE ASSISTANCE", + "props": [ + { + "class": "name", + "value": "IR-7" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the information system for the handling and reporting of security incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services, when required.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.6" + }, + { + "href": "#ir.8" + }, + { + "href": "#sa.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides an incident response support resource:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-7-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethat is integral to the organizational incident response capability; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-7[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-7-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethat offers advice and assistance to users of the information system for the handling and reporting of security incidents.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-7[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response assistance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response assistance and support responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with access to incident response support and assistance capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for incident response assistance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing incident response assistance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.7.1.", + "title": "AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION / SUPPORT", + "props": [ + { + "class": "name", + "value": "IR-7 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to increase the availability of incident response-related information and support.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to increase the availability of incident response-related information and support.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response assistance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident response support and assistance\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response support and assistance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with access to incident response support and assistance capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for incident response assistance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing an increase in the availability of incident response information and support\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.7.2.", + "title": "COORDINATION WITH EXTERNAL PROVIDERS", + "props": [ + { + "class": "name", + "value": "IR-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ir-7.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-7 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ir-7.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies organizational incident response team members to the external providers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-7 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-7.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-7(2)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-7.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies organizational incident response team members to the external providers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-7(2)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response assistance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response support and assistance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal providers of information system protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ir.8", + "title": "INCIDENT RESPONSE PLAN", + "params": [ + { + "id": "ir-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ir-8_b", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "id": "ir-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ir-8_d", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + } + ], + "props": [ + { + "class": "name", + "value": "IR-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ir-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops an incident response plan that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ir-8a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides the organization with a roadmap for implementing its incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ir-8a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes the structure and organization of the incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.2." + } + ] + }, + { + "class": "item", + "id": "sms_ir-8a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides a high-level approach for how the incident response capability fits into the overall organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.3." + } + ] + }, + { + "class": "item", + "id": "sms_ir-8a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eMeets the unique requirements of the organization, which relate to mission, size, structure, and functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.4." + } + ] + }, + { + "class": "item", + "id": "sms_ir-8a.5.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines reportable incidents;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.5." + } + ] + }, + { + "class": "item", + "id": "sms_ir-8a.6.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides metrics for measuring the incident response capability within the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.6." + } + ] + }, + { + "class": "item", + "id": "sms_ir-8a.7.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines the resources and management support needed to effectively maintain and mature an incident response capability; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.7." + } + ] + }, + { + "class": "item", + "id": "sms_ir-8a.8.", + "prose": [ + "\u003cp class=\"description\"\u003eIs reviewed and approved by \u003cinsert param-id=\"ir-8_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.8." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ir-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eDistributes copies of the incident response plan to \u003cinsert param-id=\"ir-8_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8b." + } + ] + }, + { + "class": "item", + "id": "smm_ir-8c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the incident response plan \u003cinsert param-id=\"ir-8_c\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8c." + } + ] + }, + { + "class": "item", + "id": "smm_ir-8d.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8d." + } + ] + }, + { + "class": "item", + "id": "smm_ir-8e.", + "prose": [ + "\u003cp class=\"description\"\u003eCommunicates incident response plan changes to \u003cinsert param-id=\"ir-8_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8e." + } + ] + }, + { + "class": "item", + "id": "smm_ir-8f.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the incident response plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8f." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIt is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops an incident response plan that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the organization with a roadmap for implementing its incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edescribes the structure and organization of the incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides a high-level approach for how the incident response capability fits into the overall organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(3)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003emeets the unique requirements of the organization, which relate to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.a.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003emission;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esize;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003estructure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.4.4.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.5.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines reportable incidents;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(5)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.6.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides metrics for measuring the incident response capability within the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(6)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.7.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the resources and management support needed to effectively maintain and mature an incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(7)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.8.", + "props": [ + { + "class": "name", + "value": "IR-8(a)(8)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.a.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to review and approve the incident response plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eis reviewed and approved by organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(8)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.b.", + "props": [ + { + "class": "name", + "value": "IR-8(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.b.1.", + "props": [ + { + "class": "name", + "value": "IR-8(b)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.b.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(b)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.b.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines organizational elements to whom copies of the incident response plan are to be distributed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(b)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edistributes copies of the incident response plan to organization-defined incident response personnel (identified by name and/or by role) and organizational elements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.c.", + "props": [ + { + "class": "name", + "value": "IR-8(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the incident response plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the incident response plan with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the incident response plan to address system/organizational changes or problems encountered during plan:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eexecution; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003etesting;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(d)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.e.", + "props": [ + { + "class": "name", + "value": "IR-8(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.e.1.", + "props": [ + { + "class": "name", + "value": "IR-8(e)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.e.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines incident response personnel (identified by name and/or by role) to whom incident response plan changes are to be communicated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(e)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.e.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines organizational elements to whom incident response plan changes are to be communicated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(e)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecommunicates incident response plan changes to organization-defined incident response personnel (identified by name and/or by role) and organizational elements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(e)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.f.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the incident response plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(f)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of incident response plan reviews and approvals\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response planning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational incident response plan and related organizational processes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.9", + "title": "INFORMATION SPILLAGE RESPONSE", + "params": [ + { + "id": "ir-9_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ir-9_b", + "desc": "organization-defined actions", + "value": "organization-defined actions" + } + ], + "props": [ + { + "class": "name", + "value": "IR-9" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization responds to information spills by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ir-9a.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifying the specific information involved in the information system contamination;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9a." + } + ] + }, + { + "class": "item", + "id": "smm_ir-9b.", + "prose": [ + "\u003cp class=\"description\"\u003eAlerting \u003cinsert param-id=\"ir-9_a\"/\u003e of the information spill using a method of communication not associated with the spill;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9b." + } + ] + }, + { + "class": "item", + "id": "smm_ir-9c.", + "prose": [ + "\u003cp class=\"description\"\u003eIsolating the contaminated information system or system component;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9c." + } + ] + }, + { + "class": "item", + "id": "smm_ir-9d.", + "prose": [ + "\u003cp class=\"description\"\u003eEradicating the information from the contaminated information system or component;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9d." + } + ] + }, + { + "class": "item", + "id": "smm_ir-9e.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifying other information systems or system components that may have been subsequently contaminated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9e." + } + ] + }, + { + "class": "item", + "id": "smm_ir-9f.", + "prose": [ + "\u003cp class=\"description\"\u003ePerforming other \u003cinsert param-id=\"ir-9_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9f." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation spillage refers to instances where either classified or sensitive information is inadvertently placed on information systems that are not authorized to process such information. Such information spills often occur when information that is initially thought to be of lower sensitivity is transmitted to an information system and then is subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information (e.g., security category or classification level), the security capabilities of the information system, the specific nature of contaminated storage media, and the access authorizations (e.g., security clearances) of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-9.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponds to information spills by identifying the specific information causing the information system contamination;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.b.", + "props": [ + { + "class": "name", + "value": "IR-9(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-9.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel to be alerted of the information spillage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies a method of communication not associated with the information spill to use to alert organization-defined personnel of the spill;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponds to information spills by alerting organization-defined personnel of the information spill using a method of communication not associated with the spill;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(b)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponds to information spills by isolating the contaminated information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponds to information spills by eradicating the information from the contaminated information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponds to information spills by identifying other information systems that may have been subsequently contaminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(e)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.f.", + "props": [ + { + "class": "name", + "value": "IR-9(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-9.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines other actions to be performed in response to information spills; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponds to information spills by performing other organization-defined actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(f)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information spillage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of information spillage alerts/notifications, list of personnel who should receive alerts of information spillage\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of actions to be performed regarding information spillage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information spillage response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information spillage response actions and related communications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.9.1.", + "title": "RESPONSIBLE PERSONNEL", + "props": [ + { + "class": "name", + "value": "IR-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization assigns \u003cinsert param-id=\"ir-9_c\"/\u003e with responsibility for responding to information spills.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-9.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel with responsibility for responding to information spills; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-9.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eassigns organization-defined personnel with responsibility for responding to information spills.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information spillage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of personnel responsible for responding to information spillage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ir-9_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.9.2.", + "title": "TRAINING", + "props": [ + { + "class": "name", + "value": "IR-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides information spillage response training \u003cinsert param-id=\"ir-9_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-9.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide information spillage response training; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-9.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides information spillage response training with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information spillage response training\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation spillage response training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation spillage response training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation spillage response training records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response training responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ir-9_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.9.3.", + "title": "POST-SPILL OPERATIONS", + "props": [ + { + "class": "name", + "value": "IR-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"ir-9_e\"/\u003e to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrection actions for information systems contaminated due to information spillages may be very time-consuming. During those periods, personnel may not have access to the contaminated systems, which may potentially affect their ability to conduct organizational business.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-9.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines procedures that ensure organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-9.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information spillage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for post-spill operations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-9_e", + "desc": "organization-defined procedures", + "value": "organization-defined procedures" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.9.4.", + "title": "EXPOSURE TO UNAUTHORIZED PERSONNEL", + "props": [ + { + "class": "name", + "value": "IR-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"ir-9_f\"/\u003e for personnel exposed to information not within assigned access authorizations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity safeguards include, for example, making personnel exposed to spilled information aware of the federal laws, directives, policies, and/or regulations regarding the information and the restrictions imposed based on exposure to such information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-9.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed for personnel exposed to information not within assigned access authorizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-9.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards for personnel exposed to information not within assigned access authorizations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information spillage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity safeguards regarding information spillage/exposure to unauthorized personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for dealing with information exposed to unauthorized personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing safeguards for personnel exposed to information not within assigned access authorizations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-9_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ir.10", + "title": "INTEGRATED INFORMATION SECURITY ANALYSIS TEAM", + "props": [ + { + "class": "name", + "value": "IR-10" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes an integrated team of forensic/malicious code analysts, tool developers, and real-time operations personnel.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHaving an integrated team for incident response facilitates information sharing. Such capability allows organizational personnel, including developers, implementers, and operators, to leverage the team knowledge of the threat in order to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, it promotes the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated security analysis team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing intelligence development. This enables the team to identify adversary TTPs that are linked to the operations tempo or to specific missions/business functions, and to define responsive actions in a way that does not disrupt the mission/business operations. Ideally, information security analysis teams are distributed within organizations to make the capability more resilient.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization establishes an integrated team of forensic/malicious code analyst, tool developers, and real-time operations personnel.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response planning and security analysis team integration\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response and information security analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel participating on integrated security analysis teams\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "MAINTENANCE", + "controls": [ + { + "class": "SP800-53", + "id": "ma.1", + "title": "SYSTEM MAINTENANCE POLICY AND PROCEDURES", + "params": [ + { + "id": "ma-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ma-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ma-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "MA-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ma-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ma-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ma-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ma-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the system maintenance policy and associated system maintenance controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ma-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ma-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem maintenance policy \u003cinsert param-id=\"ma-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ma-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem maintenance procedures \u003cinsert param-id=\"ma-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-1.a.1.", + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a system maintenance policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the system maintenance policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the system maintenance policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.2.", + "props": [ + { + "class": "name", + "value": "MA-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the maintenance policy and associated system maintenance controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.b.1.", + "props": [ + { + "class": "name", + "value": "MA-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current system maintenance policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current system maintenance policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.b.2.", + "props": [ + { + "class": "name", + "value": "MA-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current system maintenance procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current system maintenance procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eMaintenance policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ma.2", + "title": "CONTROLLED MAINTENANCE", + "params": [ + { + "id": "ma-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ma-2_b", + "desc": "organization-defined maintenance-related information", + "value": "organization-defined maintenance-related information" + } + ], + "props": [ + { + "class": "name", + "value": "MA-2" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ma-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eSchedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2a." + } + ] + }, + { + "class": "item", + "id": "smm_ma-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eApproves and monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2b." + } + ] + }, + { + "class": "item", + "id": "smm_ma-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires that \u003cinsert param-id=\"ma-2_a\"/\u003e explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2c." + } + ] + }, + { + "class": "item", + "id": "smm_ma-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eSanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2d." + } + ] + }, + { + "class": "item", + "id": "smm_ma-2e.", + "prose": [ + "\u003cp class=\"description\"\u003eChecks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2e." + } + ] + }, + { + "class": "item", + "id": "smm_ma-2f.", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes \u003cinsert param-id=\"ma-2_b\"/\u003e in organizational maintenance records.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2f." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the information security aspects of the information system maintenance program and applies to all types of maintenance to any system component (including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, in-house, software maintenance agreement). System maintenance also includes those components not directly associated with information processing and/or data/information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example: (i) date and time of maintenance; (ii) name of individuals or group performing the maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed; and (v) information system components/equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational information systems. Organizations consider supply chain issues associated with replacement components for information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + }, + { + "href": "#ma.4" + }, + { + "href": "#mp.6" + }, + { + "href": "#pe.16" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.a.", + "props": [ + { + "class": "name", + "value": "MA-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eschedules maintenance and repairs on information system components in accordance with:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emanufacturer or vendor specifications; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganizational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms maintenance and repairs on information system components in accordance with:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emanufacturer or vendor specifications; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganizational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[2][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments maintenance and repairs on information system components in accordance with:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.a.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emanufacturer or vendor specifications; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.a.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganizational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[3][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews records of maintenance and repairs on information system components in accordance with:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.a.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emanufacturer or vendor specifications; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.a.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganizational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[4][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.b.", + "props": [ + { + "class": "name", + "value": "MA-2(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.c.", + "props": [ + { + "class": "name", + "value": "MA-2(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles required to explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that organization-defined personnel or roles explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003esanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.e.", + "prose": [ + "\u003cp class=\"decision\"\u003echecks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(e)" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.f.", + "props": [ + { + "class": "name", + "value": "MA-2(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines maintenance-related information to be included in organizational maintenance records; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eincludes organization-defined maintenance-related information in organizational maintenance records.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(f)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing controlled information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emanufacturer/vendor maintenance specifications\u003c/p\u003e", + "\u003cp class=\"object\"\u003eequipment sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for sanitizing information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing controlled maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing sanitization of information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.2.1.", + "title": "RECORD CONTENT", + "props": [ + { + "class": "name", + "value": "MA-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MA-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ma.2" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.2.2.", + "title": "AUTOMATED MAINTENANCE ACTIVITIES", + "props": [ + { + "class": "name", + "value": "MA-2 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-2.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys automated mechanisms to schedule, conduct, and document maintenance and repairs; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-2.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eProduces up-to date, accurate, and complete records of all maintenance and repair actions requested, scheduled, in process, and completed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#ma.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-2.2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eschedule maintenance and repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-2.2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econduct maintenance and repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-2.2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edocument maintenance and repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eproduces up-to-date, accurate, and complete records of all maintenance and repair actions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-2.2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003erequested;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-2.2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003escheduled;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-2.2.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ein process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(b)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-2.2.b.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompleted.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(b)[4]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing controlled information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting information system maintenance activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing controlled maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing production of records of maintenance and repair actions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ma.3", + "title": "MAINTENANCE TOOLS", + "props": [ + { + "class": "name", + "value": "MA-3" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization approves, controls, and monitors information system maintenance tools.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses security-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into organizational information systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware/software packet sniffers. This control does not cover hardware/software components that may support information system maintenance, yet are a part of the system, for example, the software implementing �ping,� �ls,� �ipconfig,� or the hardware and software implementing the monitoring port of an Ethernet switch.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ma.2" + }, + { + "href": "#ma.5" + }, + { + "href": "#mp.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-3-1.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves information system maintenance tools;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-3-2.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols information system maintenance tools; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-3-3.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors information system maintenance tools.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for approving, controlling, and monitoring maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing approval, control, and/or monitoring of maintenance tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.3.1.", + "title": "INSPECT TOOLS", + "props": [ + { + "class": "name", + "value": "MA-3 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIf, upon inspection of maintenance tools, organizations determine that the tools have been modified in an improper/unauthorized manner or contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance tool inspection records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for inspecting maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing inspection of maintenance tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.3.2.", + "title": "INSPECT MEDIA", + "props": [ + { + "class": "name", + "value": "MA-3 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIf, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for inspecting media for malicious code\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing inspection of media used for maintenance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.3.3.", + "title": "PREVENT UNAUTHORIZED REMOVAL", + "props": [ + { + "class": "name", + "value": "MA-3 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prevents the unauthorized removal of maintenance equipment containing organizational information by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-3.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eVerifying that there is no organizational information contained on the equipment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-3.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eSanitizing or destroying the equipment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3 (3)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-3.3.c.", + "prose": [ + "\u003cp class=\"description\"\u003eRetaining the equipment within the facility; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3 (3)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-3.3.d.", + "prose": [ + "\u003cp class=\"description\"\u003eObtaining an exemption from \u003cinsert param-id=\"ma-3_a\"/\u003e explicitly authorizing removal of the equipment from the facility.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3 (3)(d)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational information includes all information specifically owned by organizations and information provided to organizations in which organizations serve as information stewards.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization prevents the unauthorized removal of maintenance equipment containing organizational information by: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-3.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003everifying that there is no organizational information contained on the equipment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3(3)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-3.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esanitizing or destroying the equipment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3(3)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-3.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eretaining the equipment within the facility; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3(3)(c)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-3.3.d.", + "props": [ + { + "class": "name", + "value": "MA-3(3)(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-3.3.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefining personnel or roles that can grant an exemption from explicitly authorizing removal of the equipment from the facility; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3(3)(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-3.3.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtaining an exemption from organization-defined personnel or roles explicitly authorizing removal of the equipment from the facility.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3(3)(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eequipment sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexemptions for equipment removal\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for media sanitization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for preventing unauthorized removal of information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting media sanitization or destruction of equipment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting verification of media sanitization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ma-3_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.3.4.", + "title": "RESTRICTED TOOL USE", + "props": [ + { + "class": "name", + "value": "MA-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system restricts the use of maintenance tools to authorized personnel only.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to information systems that are used to carry out maintenance functions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization restricts the use of maintenance tools to authorized personnel only. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of personnel authorized to use maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance tool usage records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for restricting use of maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing restricted use of maintenance tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-88", + "value": "NIST Special Publication 800-88" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ma.4", + "title": "NONLOCAL MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-4" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ma-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eApproves and monitors nonlocal maintenance and diagnostic activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4a." + } + ] + }, + { + "class": "item", + "id": "smm_ma-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eAllows the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4b." + } + ] + }, + { + "class": "item", + "id": "smm_ma-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4c." + } + ] + }, + { + "class": "item", + "id": "smm_ma-4d.", + "prose": [ + "\u003cp class=\"description\"\u003eMaintains records for nonlocal maintenance and diagnostic activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4d." + } + ] + }, + { + "class": "item", + "id": "smm_ma-4e.", + "prose": [ + "\u003cp class=\"description\"\u003eTerminates session and network connections when nonlocal maintenance is completed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Typically, strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.17" + }, + { + "href": "#au.2" + }, + { + "href": "#au.3" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + }, + { + "href": "#ma.2" + }, + { + "href": "#ma.5" + }, + { + "href": "#mp.6" + }, + { + "href": "#pl.2" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.10" + }, + { + "href": "#sc.17" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-4.a.", + "props": [ + { + "class": "name", + "value": "MA-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves nonlocal maintenance and diagnostic activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors nonlocal maintenance and diagnostic activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eallows the use of nonlocal maintenance and diagnostic tools only:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eas consistent with organizational policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eas documented in the security plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains records for nonlocal maintenance and diagnostic activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-4.e.", + "props": [ + { + "class": "name", + "value": "MA-4(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-4.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eterminates sessions when nonlocal maintenance or diagnostics is completed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-4.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eterminates network connections when nonlocal maintenance or diagnostics is completed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(e)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing nonlocal information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ediagnostic records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing nonlocal maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing, supporting, and/or managing nonlocal maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for strong authentication of nonlocal maintenance diagnostic sessions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for terminating nonlocal maintenance sessions and network connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.4.1.", + "title": "AUDITING AND REVIEW", + "props": [ + { + "class": "name", + "value": "MA-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-4.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eAudits nonlocal maintenance and diagnostic sessions \u003cinsert param-id=\"ma-4_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-4.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the records of the maintenance and diagnostic sessions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.1.a.", + "props": [ + { + "class": "name", + "value": "MA-4(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines audit events to audit nonlocal maintenance and diagnostic sessions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudits organization-defined audit events for non-local maintenance and diagnostic sessions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(1)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews records of the maintenance and diagnostic sessions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing nonlocal information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of audit events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ediagnostic records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereviews of maintenance and diagnostic session records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with audit and review responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for audit and review of nonlocal maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing audit and review of nonlocal maintenance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ma-4_a", + "desc": "organization-defined audit events", + "value": "organization-defined audit events" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.2.", + "title": "DOCUMENT NONLOCAL MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-4 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization documents in the security plan for the information system, the policies and procedures for the establishment and use of nonlocal maintenance and diagnostic connections.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization documents in the security plan for the information system: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe policies for the establishment and use of nonlocal maintenance and diagnostic connections; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe procedures for the establishment and use of nonlocal maintenance and diagnostic connections.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-local information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ediagnostic records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.3.", + "title": "COMPARABLE SECURITY / SANITIZATION", + "props": [ + { + "class": "name", + "value": "MA-4 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-4.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-4.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eRemoves the component to be serviced from the information system prior to nonlocal maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component (with regard to potentially malicious software) before reconnecting the component to the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eComparable security capability on information systems, diagnostic tools, and equipment providing maintenance services implies that the implemented security controls on those systems, tools, and equipment are at least as comprehensive as the controls on the information system being serviced.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ma.3" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.3" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(3)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.3.b.", + "props": [ + { + "class": "name", + "value": "MA-4(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves the component to be serviced from the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(3)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esanitizes the component (with regard to organizational information) prior to nonlocal maintenance or diagnostic services and/or before removal from organizational facilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(3)(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.3.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003einspects and sanitizes the component (with regard to potentially malicious software) after service is performed on the component and before reconnecting the component to the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(3)(b)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing nonlocal information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice provider contracts and/or service-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einspection records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eequipment sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance provider\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for comparable security and sanitization for nonlocal maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for removal, sanitization, and inspection of components serviced via nonlocal maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing component sanitization and inspection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.4.", + "title": "AUTHENTICATION / SEPARATION OF MAINTENANCE SESSIONS", + "props": [ + { + "class": "name", + "value": "MA-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects nonlocal maintenance sessions by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-4.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploying \u003cinsert param-id=\"ma-4_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-4.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eSeparating the maintenance sessions from other network sessions with the information system by either:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (4)(b)" + } + ], + "parts": [ + { + "class": "item", + "id": "s_sms_ma-4.4.b.1.", + "prose": [ + "\u003cp class=\"description\"\u003ePhysically separated communications paths; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (4)(b)(1)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ma-4.4.b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eLogically separated communications paths based upon encryption.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (4)(b)(2)" + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization protects nonlocal maintenance sessions by: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.4.a.", + "props": [ + { + "class": "name", + "value": "MA-4(4)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefining replay resistant authenticators to be employed to protect nonlocal maintenance sessions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(4)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploying organization-defined authenticators that are replay resistant;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(4)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eseparating the maintenance sessions from other network sessions with the information system by either:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(4)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ephysically separated communications paths; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(4)(b)(1)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003elogically separated communications paths based upon encryption.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(4)(b)(2)" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing nonlocal information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork engineers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for protecting nonlocal maintenance sessions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing replay resistant authenticators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing logically separated/encrypted communications paths\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ma-4_b", + "desc": "organization-defined authenticators that are replay resistant", + "value": "organization-defined authenticators that are replay resistant" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.5.", + "title": "APPROVALS AND NOTIFICATIONS", + "props": [ + { + "class": "name", + "value": "MA-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-4.5.a.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires the approval of each nonlocal maintenance session by \u003cinsert param-id=\"ma-4_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-4.5.b.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies \u003cinsert param-id=\"ma-4_d\"/\u003e of the date and time of planned nonlocal maintenance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (5)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNotification may be performed by maintenance personnel. Approval of nonlocal maintenance sessions is accomplished by organizational personnel with sufficient information security and information system knowledge to determine the appropriateness of the proposed maintenance.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.5.a.", + "props": [ + { + "class": "name", + "value": "MA-4(5)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles required to approve each nonlocal maintenance session;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(5)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the approval of each nonlocal maintenance session by organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(5)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.5.b.", + "props": [ + { + "class": "name", + "value": "MA-4(5)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.5.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified of the date and time of planned nonlocal maintenance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(5)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.5.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies organization-defined personnel roles of the date and time of planned nonlocal maintenance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(5)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-local information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003enotifications supporting nonlocal maintenance sessions\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with notification responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with approval responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for approving and notifying personnel regarding nonlocal maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting notification and approval of nonlocal maintenance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ma-4_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ma-4_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.6.", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "MA-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-local information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms protecting nonlocal maintenance activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ediagnostic records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork engineers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms protecting nonlocal maintenance and diagnostic communications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.7.", + "title": "REMOTE DISCONNECT VERIFICATION", + "props": [ + { + "class": "name", + "value": "MA-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRemote disconnect verification ensures that remote connections from nonlocal maintenance sessions have been terminated and are no longer available for use.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-local information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms protecting nonlocal maintenance activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ediagnostic records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork engineers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing remote disconnect verifications of terminated nonlocal maintenance and diagnostic sessions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#197", + "value": "FIPS Publication 197" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-88", + "value": "NIST Special Publication 800-88" + } + ] + }, + { + "citations": [ + { + "href": "https://www.cnss.gov/policies.html", + "value": "CNSS Policy 15" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ma.5", + "title": "MAINTENANCE PERSONNEL", + "props": [ + { + "class": "name", + "value": "MA-5" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ma-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5a." + } + ] + }, + { + "class": "item", + "id": "smm_ma-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that non-escorted personnel performing maintenance on the information system have required access authorizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5b." + } + ] + }, + { + "class": "item", + "id": "smm_ma-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eDesignates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to individuals performing hardware or software maintenance on organizational information systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of supervising individuals relates to the maintenance performed on the information systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational information systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ia.8" + }, + { + "href": "#mp.2" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + }, + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-5.a.", + "props": [ + { + "class": "name", + "value": "MA-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes a process for maintenance personnel authorization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains a list of authorized maintenance organizations or personnel;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-5.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edesignates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice provider contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of authorized personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for authorizing and managing maintenance personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing authorization of maintenance personnel\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.5.1.", + "title": "INDIVIDUALS WITHOUT APPROPRIATE ACCESS", + "props": [ + { + "class": "name", + "value": "MA-5 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-5.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (1)(a)" + } + ], + "parts": [ + { + "class": "item", + "id": "s_sms_ma-5.1.a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eMaintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (1)(a)(1)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ma-5.1.a.2.", + "prose": [ + "\u003cp class=\"description\"\u003ePrior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (1)(a)(2)" + } + ] + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-5.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops and implements alternate security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement denies individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on organizational information systems. Procedures for the use of maintenance personnel can be documented in security plans for the information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.6" + }, + { + "href": "#pl.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-5.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-5.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-5.1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eare fully cleared;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ehave appropriate access authorizations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eare technically qualified;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances, or formal access approvals:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-5.1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eall volatile information storage components within the information system are sanitized; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eall nonvolatile storage media are removed; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eall nonvolatile storage media are physically disconnected from the system and secured; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(2)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and implements alternative security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of maintenance personnel requiring escort/supervision\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing maintenance personnel without appropriate access\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alternative security safeguards\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information storage component sanitization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.5.2.", + "title": "SECURITY CLEARANCES FOR CLASSIFIED SYSTEMS", + "props": [ + { + "class": "name", + "value": "MA-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for all compartments of information on the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ps.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-5.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity clearances for at least the highest classification level on the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity clearances for all compartments of information on the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eformal access approvals for at least the highest classification level on the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eformal access approvals for all compartments of information on the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing security clearances for maintenance personnel\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.5.3.", + "title": "CITIZENSHIP REQUIREMENTS FOR CLASSIFIED SYSTEMS", + "props": [ + { + "class": "name", + "value": "MA-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ps.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.5.4.", + "title": "FOREIGN NATIONALS", + "props": [ + { + "class": "name", + "value": "MA-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-5.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eCleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-5.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eApprovals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (4)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ps.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-5.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecleared foreign nationals (i.e., foreign nationals with appropriate security clearances) are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(4)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-5.4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ejointly owned and operated by the United States and foreign allied governments; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(4)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eowned and operated solely by foreign allied governments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(4)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eapprovals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(4)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003ememorandum of agreement\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities, organizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel managing memoranda of agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing foreign national maintenance personnel\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.5.5.", + "title": "NONSYSTEM-RELATED MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePersonnel performing maintenance activities in other capacities not directly related to the information system include, for example, physical plant personnel and janitorial personnel.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ma.6", + "title": "TIMELY MAINTENANCE", + "params": [ + { + "id": "ma-6_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "ma-6_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "MA-6" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization obtains maintenance support and/or spare parts for \u003cinsert param-id=\"ma-6_a\"/\u003e within \u003cinsert param-id=\"ma-6_b\"/\u003e of failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations specify the information system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support typically include having appropriate contracts in place.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.7" + }, + { + "href": "#sa.14" + }, + { + "href": "#sa.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-6-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components for which maintenance support and/or spare parts are to be obtained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-6-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which maintenance support and/or spare parts are to be obtained after a failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-6-3.", + "props": [ + { + "class": "name", + "value": "MA-6[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-6-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtains maintenance support for organization-defined information system components within the organization-defined time period of failure; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-6-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtains spare parts for organization-defined information system components within the organization-defined time period of failure.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice provider contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003einventory and availability of spare parts\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for ensuring timely maintenance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.6.1.", + "title": "PREVENTIVE MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization performs preventive maintenance on \u003cinsert param-id=\"ma-6_c\"/\u003e at \u003cinsert param-id=\"ma-6_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePreventive maintenance includes proactive care and servicing of organizational information systems components for the purpose of maintaining equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid/mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they actually fail. Methods of determining what preventive (or other) failure management policies to apply include, for example, original equipment manufacturer (OEM) recommendations, statistical failure records, requirements of codes, legislation, or regulations within a jurisdiction, expert opinion, maintenance that has already been conducted on similar equipment, or measured values and performance indications.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-6.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components on which preventive maintenance is to be performed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-6.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines time intervals within which preventive maintenance is to be performed on organization-defined information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-6.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms preventive maintenance on organization-defined information system components at organization-defined time intervals.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice provider contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system components requiring preventive maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for preventive maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing preventive maintenance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ma-6_c", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "ma-6_d", + "desc": "organization-defined time intervals", + "value": "organization-defined time intervals" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.6.2.", + "title": "PREDICTIVE MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization performs predictive maintenance on \u003cinsert param-id=\"ma-6_e\"/\u003e at \u003cinsert param-id=\"ma-6_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePredictive maintenance, or condition-based maintenance, attempts to evaluate the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled point in time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the goal of predicting the future trend of the equipment's condition. This approach uses principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thereby minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability. Predictive maintenance tends to include measurement of the item. To evaluate equipment condition, predictive maintenance utilizes nondestructive testing technologies such as infrared, acoustic (partial discharge and airborne ultrasonic), corona detection, vibration analysis, sound level measurements, oil analysis, and other specific online tests.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-6.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components on which predictive maintenance is to be performed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-6.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines time intervals within which predictive maintenance is to be performed on organization-defined information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-6.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms predictive maintenance on organization-defined information system components at organization-defined time intervals.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice provider contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system components requiring predictive maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for predictive maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing predictive maintenance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ma-6_e", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "ma-6_f", + "desc": "organization-defined time intervals", + "value": "organization-defined time intervals" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.6.3.", + "title": "AUTOMATED SUPPORT FOR PREDICTIVE MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA computerized maintenance management system maintains a computer database of information about the maintenance operations of organizations and automates processing equipment condition data in order to trigger maintenance planning, execution, and reporting.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice provider contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system components requiring predictive maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing the transfer of predictive maintenance data to a computerized maintenance management system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eoperations of the computer maintenance management system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "MEDIA PROTECTION", + "controls": [ + { + "class": "SP800-53", + "id": "mp.1", + "title": "MEDIA PROTECTION POLICY AND PROCEDURES", + "params": [ + { + "id": "mp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "mp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "mp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "MP-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_mp-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"mp-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_mp-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_mp-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the media protection policy and associated media protection controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_mp-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_mp-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eMedia protection policy \u003cinsert param-id=\"mp-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_mp-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eMedia protection procedures \u003cinsert param-id=\"mp-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-1.a.1.", + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a media protection policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the media protection policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the media protection policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.2.", + "props": [ + { + "class": "name", + "value": "MP-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the media protection policy and associated media protection controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.b.1.", + "props": [ + { + "class": "name", + "value": "MP-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current media protection policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current media protection policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.b.2.", + "props": [ + { + "class": "name", + "value": "MP-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current media protection procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current media protection procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eMedia protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with media protection responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.2", + "title": "MEDIA ACCESS", + "params": [ + { + "id": "mp-2_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "id": "mp-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "MP-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization restricts access to \u003cinsert param-id=\"mp-2_a\"/\u003e to \u003cinsert param-id=\"mp-2_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Restricting non-digital media access includes, for example, denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers. Restricting access to digital media includes, for example, limiting access to design specifications stored on compact disks in the media library to the project leader and the individuals on the development team.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ia.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pl.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-2-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of digital and/or non-digital media requiring restricted access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-2[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-2-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles authorized to access organization-defined types of digital and/or non-digital media; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-2[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-2-3.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricts access to organization-defined types of digital and/or non-digital media to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-2[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media access restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia storage facilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media protection responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for restricting information media\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media access restrictions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.2.1.", + "title": "AUTOMATED RESTRICTED ACCESS", + "props": [ + { + "class": "name", + "value": "MP-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-4 (2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.4.2." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.2.2.", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "MP-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-28 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.28.1." + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-111", + "value": "NIST Special Publication 800-111" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.3", + "title": "MEDIA MARKING", + "params": [ + { + "id": "mp-3_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "id": "mp-3_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + } + ], + "props": [ + { + "class": "name", + "value": "MP-3" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_mp-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eMarks information system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3a." + } + ] + }, + { + "class": "item", + "id": "smm_mp-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eExempts \u003cinsert param-id=\"mp-3_a\"/\u003e from marking as long as the media remain within \u003cinsert param-id=\"mp-3_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe term security marking refers to the application/use of human-readable security attributes. The term security labeling refers to the application/use of security attributes with regard to internal data structures within information systems (see AC-16). Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of information system media reflects applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#pl.2" + }, + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emarks information system media indicating the:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edistribution limitations of the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ehandling caveats of the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-3.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eapplicable security markings (if any) of the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-3.b.", + "props": [ + { + "class": "name", + "value": "MP-3(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of information system media to be exempted from marking as long as the media remain in designated controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines controlled areas where organization-defined types of information system media exempt from marking are to be retained; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-3.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eexempts organization-defined types of information system media from marking as long as the media remain within organization-defined controlled areas.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3(b)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media marking\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system media marking security attributes\u003c/p\u003e", + "\u003cp class=\"object\"\u003edesignated controlled areas\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media protection and marking responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for marking information media\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media marking\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.4", + "title": "MEDIA STORAGE", + "params": [ + { + "id": "mp-4_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "id": "mp-4_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + } + ], + "props": [ + { + "class": "name", + "value": "MP-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_mp-4a.", + "prose": [ + "\u003cp class=\"description\"\u003ePhysically controls and securely stores \u003cinsert param-id=\"mp-4_a\"/\u003e within \u003cinsert param-id=\"mp-4_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4a." + } + ] + }, + { + "class": "item", + "id": "smm_mp-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling information system media includes, for example, conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the media library, and maintaining accountability for all stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet, or a controlled media library. The type of media storage is commensurate with the security category and/or classification of the information residing on the media. Controlled areas are areas for which organizations provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and/or information systems. For media containing information determined by organizations to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on organizations or individuals if accessed by other than authorized personnel, fewer safeguards may be needed. In these situations, physical access controls provide adequate protection.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.6" + }, + { + "href": "#cp.9" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.7" + }, + { + "href": "#pe.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-4.a.", + "props": [ + { + "class": "name", + "value": "MP-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of digital and/or non-digital media to be physically controlled and securely stored within designated controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines controlled areas designated to physically control and securely store organization-defined types of digital and/or non-digital media;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-4.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ephysically controls organization-defined types of digital and/or non-digital media within organization-defined controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-4.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurely stores organization-defined types of digital and/or non-digital media within organization-defined controlled areas; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media storage\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system media\u003c/p\u003e", + "\u003cp class=\"object\"\u003edesignated controlled areas\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media protection and storage responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for storing information media\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing secure media storage/media protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.4.1.", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "MP-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-28 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.28.1." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.4.2.", + "title": "AUTOMATED RESTRICTED ACCESS", + "props": [ + { + "class": "name", + "value": "MP-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can include, for example, keypads on the external entries to media storage areas.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.9" + }, + { + "href": "#au.6" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003erestrict access to media storage areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudit access attempts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-4.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudit access granted.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media storage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia storage facilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media protection and storage responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms restricting access to media storage areas\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms auditing access attempts and access granted to media storage areas\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-56", + "value": "NIST Special Publication 800-56" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-57", + "value": "NIST Special Publication 800-57" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-111", + "value": "NIST Special Publication 800-111" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.5", + "title": "MEDIA TRANSPORT", + "params": [ + { + "id": "mp-5_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "id": "mp-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "MP-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_mp-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects and controls \u003cinsert param-id=\"mp-5_a\"/\u003e during transport outside of controlled areas using \u003cinsert param-id=\"mp-5_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5a." + } + ] + }, + { + "class": "item", + "id": "smm_mp-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eMaintains accountability for information system media during transport outside of controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5b." + } + ] + }, + { + "class": "item", + "id": "smm_mp-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments activities associated with the transport of information system media; 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Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel, and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#cp.9" + }, + { + "href": "#mp.3" + }, + { + "href": "#mp.4" + }, + { + "href": "#ra.3" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.28" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-5.a.", + "props": [ + { + "class": "name", + "value": "MP-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of information system media to be protected and controlled during transport outside of controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to protect and control organization-defined information system media during transport outside of controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-5.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects and controls organization-defined information system media during transport outside of controlled areas using organization-defined security safeguards;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains accountability for information system media during transport outside of controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-5.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments activities associated with the transport of information system media; 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"class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media transport responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.5.4.", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "MP-5 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to both portable storage devices (e.g., USB memory sticks, compact disks, digital video disks, external/removable hard disk drives) and mobile devices with storage capability (e.g., smart phones, tablets, E-readers).\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media transport\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system media transport records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media transport responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms protecting information on digital media during transportation outside controlled areas\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-60", + "value": "NIST Special Publication 800-60" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.6", + "title": "MEDIA SANITIZATION", + "params": [ + { + "id": "mp-6_a", + "desc": "organization-defined information system media", + "value": "organization-defined information system media" + }, + { + "id": "mp-6_b", + "desc": "organization-defined sanitization techniques and procedures", + "value": "organization-defined sanitization techniques and procedures" + } + ], + "props": [ + { + "class": "name", + "value": "MP-6" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_mp-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eSanitizes \u003cinsert param-id=\"mp-6_a\"/\u003e prior to disposal, release out of organizational control, or release for reuse using \u003cinsert param-id=\"mp-6_b\"/\u003e in accordance with applicable federal and organizational standards and policies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6a." + } + ] + }, + { + "class": "item", + "id": "smm_mp-6b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to all information system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include media found in scanners, copiers, printers, notebook computers, workstations, network components, and mobile devices. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media containing classified information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ma.2" + }, + { + "href": "#ma.4" + }, + { + "href": "#ra.3" + }, + { + "href": "#sc.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-6.a.", + "props": [ + { + "class": "name", + "value": "MP-6(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-6.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system media to be sanitized prior to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-6.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edisposal;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-6.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erelease out of organizational control; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-6.a.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003erelease for reuse;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-6.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines sanitization techniques or procedures to be used for sanitizing organization-defined information system media prior to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-6.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edisposal;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-6.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erelease out of organizational control; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-6.a.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003erelease for reuse;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[2][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-6.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esanitizes organization-defined information system media prior to disposal, release out of organizational control, or release for reuse using organization-defined sanitization techniques or procedures in accordance with applicable federal and organizational standards and policies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-6.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapplicable federal standards and policies addressing media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with media sanitization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.6.1.", + "title": "REVIEW / APPROVE / TRACK / DOCUMENT / VERIFY", + "props": [ + { + "class": "name", + "value": "MP-6 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reviews, approves, tracks, documents, and verifies media sanitization and disposal actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking/documenting actions include, for example, listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, specific files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken, personnel who performed the verification, and disposal action taken. Organizations verify that the sanitization of the media was effective prior to disposal.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-6.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews media sanitization and disposal actions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves media sanitization and disposal actions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003etracks media sanitization and disposal actions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments media sanitization and disposal actions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(1)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.1.5.", + "prose": [ + "\u003cp class=\"decision\"\u003everifies media sanitization and disposal actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(1)[5]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization and disposal records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereview records for media sanitization and disposal actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapprovals for media sanitization and disposal actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003etracking records\u003c/p\u003e", + "\u003cp class=\"object\"\u003everification records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media sanitization and disposal responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.2.", + "title": "EQUIPMENT TESTING", + "props": [ + { + "class": "name", + "value": "MP-6 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests sanitization equipment and procedures \u003cinsert param-id=\"mp-6_c\"/\u003e to verify that the intended sanitization is being achieved.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTesting of sanitization equipment and procedures may be conducted by qualified and authorized external entities (e.g., other federal agencies or external service providers).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-6.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency for testing sanitization equipment and procedures to verify that the intended sanitization is being achieved; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests sanitization equipment and procedures with the organization-defined frequency to verify that the intended sanitization is being achieved.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing testing of media sanitization equipment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eresults of media sanitization equipment and procedures testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media sanitization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "mp-6_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.3.", + "title": "NONDESTRUCTIVE TECHNIQUES", + "props": [ + { + "class": "name", + "value": "MP-6 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under the following circumstances: \u003cinsert param-id=\"mp-6_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to digital media containing classified information and Controlled Unclassified Information (CUI). Portable storage devices can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown and potentially untrustworthy sources and may contain malicious code that can be readily transferred to information systems through USB ports or other entry portals. While scanning such storage devices is always recommended, sanitization provides additional assurance that the devices are free of malicious code to include code capable of initiating zero-day attacks. Organizations consider nondestructive sanitization of portable storage devices when such devices are first purchased from the manufacturer or vendor prior to initial use or when organizations lose a positive chain of custody for the devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-6.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines circumstances requiring sanitization of portable storage devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eapplies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under organization-defined circumstances requiring sanitization of portable storage devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of circumstances requiring sanitization of portable storage devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media sanitization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media sanitization of portable storage devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "mp-6_d", + "desc": "organization-defined circumstances requiring sanitization of portable storage devices", + "value": "organization-defined circumstances requiring sanitization of portable storage devices" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.4.", + "title": "CONTROLLED UNCLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.5.", + "title": "CLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-6 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.6.", + "title": "MEDIA DESTRUCTION", + "props": [ + { + "class": "name", + "value": "MP-6 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.7.", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "MP-6 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization enforces dual authorization for the sanitization of \u003cinsert param-id=\"mp-6_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ dual authorization to ensure that information system media sanitization cannot occur unless two technically qualified individuals conduct the task. Individuals sanitizing information system media possess sufficient skills/expertise to determine if the proposed sanitization reflects applicable federal/organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, both protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#mp.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-6.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system media requiring dual authorization to be enforced for sanitization of such media; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces dual authorization for the sanitization of organization-defined information system media.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(7)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system media requiring dual authorization for sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media sanitization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes requiring dual authorization for media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing dual authorization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "mp-6_e", + "desc": "organization-defined information system media", + "value": "organization-defined information system media" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.8.", + "title": "REMOTE PURGING / WIPING OF INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-6 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides the capability to purge/wipe information from \u003cinsert param-id=\"mp-6_f\"/\u003e either remotely or under the following conditions: \u003cinsert param-id=\"mp-6_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects data/information on organizational information systems, system components, or devices (e.g., mobile devices) if such systems, components, or devices are obtained by unauthorized individuals. Remote purge/wipe commands require strong authentication to mitigate the risk of unauthorized individuals purging/wiping the system/component/device. The purge/wipe function can be implemented in a variety of ways including, for example, by overwriting data/information multiple times or by destroying the key necessary to decrypt encrypted data.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-6.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems, system components, or devices to purge/wipe either remotely or under specific organizational conditions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines conditions under which information is to be purged/wiped from organization-defined information systems, system components, or devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.8.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the capability to purge/wipe information from organization-defined information systems, system components, or devices either:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(8)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-6.8.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eremotely; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(8)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.8.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eunder organization-defined conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(8)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media sanitization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for purging/wiping media\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing purge/wipe capabilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "mp-6_f", + "desc": "organization-defined information systems, system components, or devices", + "value": "organization-defined information systems, system components, or devices" + }, + { + "id": "mp-6_g", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-60", + "value": "NIST Special Publication 800-60" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-88", + "value": "NIST Special Publication 800-88" + } + ] + }, + { + "citations": [ + { + "href": "http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml", + "value": "http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.7", + "title": "MEDIA USE", + "params": [ + { + "id": "mp-7_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "id": "mp-7_b", + "desc": "organization-defined information systems or system components", + "value": "organization-defined information systems or system components" + }, + { + "id": "mp-7_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "MP-7" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization [Selection: restricts; prohibits] the use of \u003cinsert param-id=\"mp-7_a\"/\u003e on \u003cinsert param-id=\"mp-7_b\"/\u003e using \u003cinsert param-id=\"mp-7_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on information systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict the use of information system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#pl.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-7-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of information system media to be:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-7-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricted on information systems or system components; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-7-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibited from use on information systems or system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-7-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems or system components on which the use of organization-defined types of information system media is to be one of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-7-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricted; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-7-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibited;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[2][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-7-3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to restrict or prohibit the use of organization-defined types of information system media on organization-defined information systems or system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-7-4.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricts or prohibits the use of organization-defined information system media on organization-defined information systems or system components using organization-defined security safeguards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem use policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media use responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media use\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms restricting or prohibiting use of information system media on information systems or system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.7.1.", + "title": "PROHIBIT USE WITHOUT OWNER", + "props": [ + { + "class": "name", + "value": "MP-7 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRequiring identifiable owners (e.g., individuals, organizations, or projects) for portable storage devices reduces the risk of using such technologies by allowing organizations to assign responsibility and accountability for addressing known vulnerabilities in the devices (e.g., malicious code insertion).\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem use policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media use responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media use\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms prohibiting use of media on information systems or system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.7.2.", + "title": "PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA", + "props": [ + { + "class": "name", + "value": "MP-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the use of sanitization-resistant media in organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSanitization-resistance applies to the capability to purge information from media. Certain types of media do not support sanitize commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media include, for example, compact flash, embedded flash on boards and devices, solid state drives, and USB removable media.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization prohibits the use of sanitization-resistant media in organizational information systems. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy, system use policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media use responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media use\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms prohibiting use of media on information systems or system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-111", + "value": "NIST Special Publication 800-111" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.8", + "title": "MEDIA DOWNGRADING", + "params": [ + { + "id": "mp-8_a", + "desc": "organization-defined information system media downgrading process", + "value": "organization-defined information system media downgrading process" + }, + { + "id": "mp-8_b", + "desc": "organization-defined strength and integrity", + "value": "organization-defined strength and integrity" + }, + { + "id": "mp-8_c", + "desc": "organization-defined information system media requiring downgrading", + "value": "organization-defined information system media requiring downgrading" + } + ], + "props": [ + { + "class": "name", + "value": "MP-8" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_mp-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes \u003cinsert param-id=\"mp-8_a\"/\u003e that includes employing downgrading mechanisms with \u003cinsert param-id=\"mp-8_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8a." + } + ] + }, + { + "class": "item", + "id": "smm_mp-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the information system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8b." + } + ] + }, + { + "class": "item", + "id": "smm_mp-8c.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies \u003cinsert param-id=\"mp-8_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8c." + } + ] + }, + { + "class": "item", + "id": "smm_mp-8d.", + "prose": [ + "\u003cp class=\"description\"\u003eDowngrades the identified information system media using the established process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to all information system media, digital and non-digital, subject to release outside of the organization, whether or not the media is considered removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading of media also ensures that empty space on the media (e.g., slack space within files) is devoid of information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-8.a.", + "props": [ + { + "class": "name", + "value": "MP-8(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-8.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the information system media downgrading process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-8.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the strength and integrity with which media downgrading mechanisms are to be employed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-8.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes an organization-defined information system media downgrading process that includes employing downgrading mechanisms with organization-defined strength and integrity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-8.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the information system media downgrading process is commensurate with the:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-8.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity category and/or classification level of the information to be removed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-8.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess authorizations of the potential recipients of the downgraded information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-8.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies/defines information system media requiring downgrading; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-8.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edowngrades the identified information system media using the established process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem categorization documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of media requiring downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.8.1.", + "title": "DOCUMENTATION OF PROCESS", + "props": [ + { + "class": "name", + "value": "MP-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization documents information system media downgrading actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can document the media downgrading process by providing information such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization documents information system media downgrading actions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of media requiring downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.8.2.", + "title": "EQUIPMENT TESTING", + "props": [ + { + "class": "name", + "value": "MP-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"mp-8_d\"/\u003e of downgrading equipment and procedures to verify correct performance \u003cinsert param-id=\"mp-8_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-8.2.1.", + "props": [ + { + "class": "name", + "value": "MP-8(2)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-8.2.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines tests to be employed for downgrading equipment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(2)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-8.2.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines procedures to verify correct performance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(2)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-8.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency for employing tests of downgrading equipment and procedures to verify correct performance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-8.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined tests of downgrading equipment and procedures to verify correct performance with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing testing of media downgrading equipment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eresults of downgrading equipment and procedures testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records: other relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing tests for downgrading equipment\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "mp-8_d", + "desc": "organization-defined tests", + "value": "organization-defined tests" + }, + { + "id": "mp-8_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.8.3.", + "title": "CONTROLLED UNCLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization downgrades information system media containing \u003cinsert param-id=\"mp-8_f\"/\u003e prior to public release in accordance with applicable federal and organizational standards and policies.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-8.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines Controlled Unclassified Information (CUI) contained on information system media that requires downgrading prior to public release; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-8.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edowngrades information system media containing organization-defined CUI prior to public release in accordance with applicable federal and organizational standards and policies.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing downgrading of media containing CUI\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapplicable federal and organizational standards and policies regarding protection of CUI\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia downgrading records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "mp-8_f", + "desc": "organization-defined Controlled Unclassified Information (CUI)", + "value": "organization-defined Controlled Unclassified Information (CUI)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.8.4.", + "title": "CLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-8 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDowngrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified information systems to unclassified media.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing downgrading of media containing classified information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing handling of classified information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eNSA standards and policies regarding protection of classified information\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia downgrading records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "PHYSICAL AND ENVIRONMENTAL PROTECTION", + "controls": [ + { + "class": "SP800-53", + "id": "pe.1", + "title": "PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES", + "params": [ + { + "id": "pe-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "pe-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pe-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"pe-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pe-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pe-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pe-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pe-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003ePhysical and environmental protection policy \u003cinsert param-id=\"pe-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_pe-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003ePhysical and environmental protection procedures \u003cinsert param-id=\"pe-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-1.a.1.", + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a physical and environmental protection policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the physical and environmental protection policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the physical and environmental protection policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.2.", + "props": [ + { + "class": "name", + "value": "PE-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.b.1.", + "props": [ + { + "class": "name", + "value": "PE-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current physical and environmental protection policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current physical and environmental protection policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.b.2.", + "props": [ + { + "class": "name", + "value": "PE-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current physical and environmental protection procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current physical and environmental protection procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical and environmental protection responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pe.2", + "title": "PHYSICAL ACCESS AUTHORIZATIONS", + "params": [ + { + "id": "pe-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, approves, and maintains a list of individuals with authorized access to the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2a." + } + ] + }, + { + "class": "item", + "id": "smm_pe-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eIssues authorization credentials for facility access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2b." + } + ] + }, + { + "class": "item", + "id": "smm_pe-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the access list detailing authorized facility access by individuals \u003cinsert param-id=\"pe-2_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2c." + } + ] + }, + { + "class": "item", + "id": "smm_pe-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eRemoves individuals from the facility access list when access is no longer required.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed (including level of forge-proof badges, smart cards, or identification cards) consistent with federal standards, policies, and procedures. This control only applies to areas within facilities that have not been designated as publicly accessible.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + }, + { + "href": "#ps.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-2.a.", + "props": [ + { + "class": "name", + "value": "PE-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a list of individuals with authorized access to the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves a list of individuals with authorized access to the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains a list of individuals with authorized access to the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eissues authorization credentials for facility access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-2.c.", + "props": [ + { + "class": "name", + "value": "PE-2(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the access list detailing authorized facility access by individuals;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the access list detailing authorized facility access by individuals with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves individuals from the facility access list when access is no longer required.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorized personnel access list\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorization credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access list reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access termination records and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access to information system facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access authorizations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.2.1.", + "title": "ACCESS BY POSITION / ROLE", + "props": [ + { + "class": "name", + "value": "PE-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization authorizes physical access to the facility where the information system resides based on position or role.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization authorizes physical access to the facility where the information system resides based on position or role. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of positions/roles and corresponding physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access to information system facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access authorizations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.2.2.", + "title": "TWO FORMS OF IDENTIFICATION", + "props": [ + { + "class": "name", + "value": "PE-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires two forms of identification from \u003cinsert param-id=\"pe-2_b\"/\u003e for visitor access to the facility where the information system resides.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAcceptable forms of government photo identification include, for example, passports, Personal Identity Verification (PIV) cards, and drivers� licenses. In the case of gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-2.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a list of acceptable forms of identification for visitor access to the facility where the information system resides; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-2.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires two forms of identification from the organization-defined list of acceptable forms of identification for visitor access to the facility where the information system resides.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of acceptable forms of identification for visitor access to the facility where information system resides\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorization forms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access to information system facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access authorizations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-2_b", + "desc": "organization-defined list of acceptable forms of identification", + "value": "organization-defined list of acceptable forms of identification" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.2.3.", + "title": "RESTRICT UNESCORTED ACCESS", + "props": [ + { + "class": "name", + "value": "PE-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization restricts unescorted access to the facility where the information system resides to personnel with [Selection (one or more): security clearances for all information contained within the system; formal access authorizations for all information contained within the system; need for access to all information contained within the system; \u003cinsert param-id=\"pe-2_c\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDue to the highly sensitive nature of classified information stored within certain facilities, it is important that individuals lacking sufficient security clearances, access approvals, or need to know, be escorted by individuals with appropriate credentials to ensure that such information is not exposed or otherwise compromised.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.2" + }, + { + "href": "#ps.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines credentials to be employed to restrict unescorted access to the facility where the information system resides to authorized personnel;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricts unescorted access to the facility where the information system resides to personnel with one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(3)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-2.3.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity clearances for all information contained within the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(3)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-2.3.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eformal access authorizations for all information contained within the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(3)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-2.3.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eneed for access to all information contained within the system; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(3)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-2.3.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined credentials.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(3)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorized personnel access list\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity clearances\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access to information system facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access authorizations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-2_c", + "desc": "organization-defined credentials", + "value": "organization-defined credentials" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.3", + "title": "PHYSICAL ACCESS CONTROL", + "params": [ + { + "id": "pe-3_a", + "desc": "organization-defined entry/exit points to the facility where the information system resides", + "value": "organization-defined entry/exit points to the facility where the information system resides" + }, + { + "id": "pe-3_b", + "desc": "organization-defined physical access control systems/devices", + "value": "organization-defined physical access control systems/devices" + }, + { + "id": "pe-3_c", + "desc": "organization-defined entry/exit points", + "value": "organization-defined entry/exit points" + }, + { + "id": "pe-3_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "pe-3_e", + "desc": "organization-defined circumstances requiring visitor escorts and monitoring", + "value": "organization-defined circumstances requiring visitor escorts and monitoring" + }, + { + "id": "pe-3_f", + "desc": "organization-defined physical access devices", + "value": "organization-defined physical access devices" + }, + { + "id": "pe-3_g", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pe-3_h", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces physical access authorizations at \u003cinsert param-id=\"pe-3_a\"/\u003e by;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pe-3a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eVerifying individual access authorizations before granting access to the facility; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pe-3a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eControlling ingress/egress to the facility using [Selection (one or more): \u003cinsert param-id=\"pe-3_b\"/\u003e; guards];\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pe-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eMaintains physical access audit logs for \u003cinsert param-id=\"pe-3_c\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3b." + } + ] + }, + { + "class": "item", + "id": "smm_pe-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides \u003cinsert param-id=\"pe-3_d\"/\u003e to control access to areas within the facility officially designated as publicly accessible;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3c." + } + ] + }, + { + "class": "item", + "id": "smm_pe-3d.", + "prose": [ + "\u003cp class=\"description\"\u003eEscorts visitors and monitors visitor activity \u003cinsert param-id=\"pe-3_e\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3d." + } + ] + }, + { + "class": "item", + "id": "smm_pe-3e.", + "prose": [ + "\u003cp class=\"description\"\u003eSecures keys, combinations, and other physical access devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3e." + } + ] + }, + { + "class": "item", + "id": "smm_pe-3f.", + "prose": [ + "\u003cp class=\"description\"\u003eInventories \u003cinsert param-id=\"pe-3_f\"/\u003e every \u003cinsert param-id=\"pe-3_g\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3f." + } + ] + }, + { + "class": "item", + "id": "smm_pe-3g.", + "prose": [ + "\u003cp class=\"description\"\u003eChanges combinations and keys \u003cinsert param-id=\"pe-3_h\"/\u003e and/or when keys are lost, combinations are compromised, or individuals are transferred or terminated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional physical security staff or other personnel such as administrative staff or information system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Safeguards for publicly accessible areas within organizational facilities include, for example, cameras, monitoring by guards, and isolating selected information systems and/or system components in secured areas. Physical access control systems comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The Federal Identity, Credential, and Access Management Program provides implementation guidance for identity, credential, and access management capabilities for physical access control systems. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g., a written log of individuals accessing the facility and when such access occurred), automated (e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points can include facility access points, interior access points to information systems and/or components requiring supplemental access controls, or both. Components of organizational information systems (e.g., workstations, terminals) may be located in areas designated as publicly accessible with organizations safeguarding access to such devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.4" + }, + { + "href": "#pe.5" + }, + { + "href": "#ps.3" + }, + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.a.", + "props": [ + { + "class": "name", + "value": "PE-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines entry/exit points to the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces physical access authorizations at organization-defined entry/exit points to the facility where the information system resides by:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003everifying individual access authorizations before granting access to the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](1)" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.a.2.2.", + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.a.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefining physical access control systems/devices to be employed to control ingress/egress to the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)[a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.a.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eusing one or more of the following ways to control ingress/egress to the facility:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)[b]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.a.2.2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined physical access control systems/devices; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)[b][1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.a.2.2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eguards;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)[b][2]" + } + ] + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.b.", + "props": [ + { + "class": "name", + "value": "PE-3(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines entry/exit points for which physical access audit logs are to be maintained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains physical access audit logs for organization-defined entry/exit points;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.c.", + "props": [ + { + "class": "name", + "value": "PE-3(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to control access to areas within the facility officially designated as publicly accessible;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides organization-defined security safeguards to control access to areas within the facility officially designated as publicly accessible;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.d.", + "props": [ + { + "class": "name", + "value": "PE-3(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines circumstances requiring visitor:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(d)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.d.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eescorts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(d)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.d.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(d)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ein accordance with organization-defined circumstances requiring visitor escorts and monitoring:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(d)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.d.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eescorts visitors;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(d)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.d.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors visitor activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(d)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.e.", + "props": [ + { + "class": "name", + "value": "PE-3(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esecures keys;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esecures combinations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(e)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.e.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esecures other physical access devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(e)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.f.", + "props": [ + { + "class": "name", + "value": "PE-3(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines physical access devices to be inventoried;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to inventory organization-defined physical access devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(f)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.f.3.", + "prose": [ + "\u003cp class=\"decision\"\u003einventories the organization-defined physical access devices with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(f)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.g.", + "props": [ + { + "class": "name", + "value": "PE-3(g)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.g.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to change combinations and keys; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(g)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.g.2.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges combinations and keys with the organization-defined frequency and/or when:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(g)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.g.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ekeys are lost;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(g)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.g.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ecombinations are compromised;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(g)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.g.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eindividuals are transferred or terminated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(g)[2][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einventory records of physical access control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of key and lock combination changes\u003c/p\u003e", + "\u003cp class=\"object\"\u003estorage locations for physical access control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards controlling access to designated publicly accessible areas within facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.3.1.", + "title": "INFORMATION SYSTEM ACCESS", + "props": [ + { + "class": "name", + "value": "PE-3 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization enforces physical access authorizations to the information system in addition to the physical access controls for the facility at \u003cinsert param-id=\"pe-3_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides additional physical security for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, data and communications centers).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines physical spaces containing one or more components of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces physical access authorizations to the information system in addition to the physical access controls for the facility at organization-defined physical spaces containing one or more components of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of areas within the facility containing concentrations of information system components or information system components requiring additional physical protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access control to the information system/components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access control for facility areas containing information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-3_i", + "desc": "organization-defined physical spaces containing one or more components of the information system", + "value": "organization-defined physical spaces containing one or more components of the information system" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.2.", + "title": "FACILITY / INFORMATION SYSTEM BOUNDARIES", + "props": [ + { + "class": "name", + "value": "PE-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization performs security checks \u003cinsert param-id=\"pe-3_j\"/\u003e at the physical boundary of the facility or information system for unauthorized exfiltration of information or removal of information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to perform security checks at the physical boundary of the facility or information system for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(2)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.2.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eunauthorized exfiltration of information; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(2)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.2.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoval of information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(2)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms security checks with the organization-defined frequency at the physical boundary of the facility or information system for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(2)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eunauthorized exfiltration of information; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(2)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoval of information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(2)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of security checks\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity audit reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity inspection reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility layout documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access control to the facility and/or information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access control for the facility or information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security checks for unauthorized exfiltration of information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-3_j", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.3.", + "title": "CONTINUOUS GUARDS / ALARMS / MONITORING", + "props": [ + { + "class": "name", + "value": "PE-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs guards and/or alarms to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs one or more of the following to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eguards; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ealarms.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility surveillance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility layout documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access control to the facility where the information system resides\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access control for the facility where the information system resides\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.4.", + "title": "LOCKABLE CASINGS", + "props": [ + { + "class": "name", + "value": "PE-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization uses lockable physical casings to protect \u003cinsert param-id=\"pe-3_k\"/\u003e from unauthorized physical access.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components to be protected from unauthorized physical access using lockable physical casings; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003euses lockable physical casings to protect organization-defined information system components from unauthorized physical access.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system components requiring protection through lockable physical casings\u003c/p\u003e", + "\u003cp class=\"object\"\u003elockable physical casings\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eLockable physical casings\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-3_k", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.5.", + "title": "TAMPER PROTECTION", + "props": [ + { + "class": "name", + "value": "PE-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"pe-3_l\"/\u003e to [Selection (one or more): detect; prevent] physical tampering or alteration of \u003cinsert param-id=\"pe-3_m\"/\u003e within the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may implement tamper detection/prevention at selected hardware components or tamper detection at some components and tamper prevention at other components. Tamper detection/prevention activities can employ many types of anti-tamper technologies including, for example, tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to detect and/or prevent physical tampering or alteration of organization-defined hardware components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines hardware components within the information system for which security safeguards are to be employed to detect and/or prevent physical tampering or alteration of such components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards to do one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(5)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.5.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edetect physical tampering or alteration of organization-defined hardware components within the information system; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(5)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.5.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprevent physical tampering or alteration of organization-defined hardware components within the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(5)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards to detect/prevent physical tampering or alteration of information system hardware components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes to detect/prevent physical tampering or alteration of information system hardware components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/security safeguards supporting and/or implementing detection/prevention of physical tampering/alternation of information system hardware components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-3_l", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "pe-3_m", + "desc": "organization-defined hardware components", + "value": "organization-defined hardware components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.6.", + "title": "FACILITY PENETRATION TESTING", + "props": [ + { + "class": "name", + "value": "PE-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs a penetration testing process that includes \u003cinsert param-id=\"pe-3_n\"/\u003e, unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency of unannounced attempts to be included in a penetration testing process to bypass or circumvent security controls associated with physical access points to the facility; 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In addition, physical safeguards may be necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Security safeguards to control physical access to system distribution and transmission lines include, for example: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-4-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system distribution and transmission lines requiring physical access controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-4[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-4-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to control physical access to organization-defined information system distribution and transmission lines within organizational facilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-4[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-4-3.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols physical access to organization-defined information system distribution and transmission lines within organizational facilities using organization-defined security safeguards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-4[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access control for transmission medium\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility communications and wiring diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of physical security safeguards applied to information system distribution and transmission lines\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for access control to distribution and transmission lines\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.cnss.gov/Assets/pdf/nstissi_7003.pdf", + "value": "NSTISSI No. 7003" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pe.5", + "title": "ACCESS CONTROL FOR OUTPUT DEVICES", + "props": [ + { + "class": "name", + "value": "PE-5" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eControlling physical access to output devices includes, for example, placing output devices in locked rooms or other secured areas and allowing access to authorized individuals only, and placing output devices in locations that can be monitored by organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of information system output devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + }, + { + "href": "#pe.18" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access control for display medium\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility layout of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eactual displays from information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for access control to output devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing access control to output devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.5.1.", + "title": "ACCESS TO OUTPUT BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "PE-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_pe-5.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eControls physical access to output from \u003cinsert param-id=\"pe-5_a\"/\u003e; 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and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5(1)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-5.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that only authorized individuals receive output from the device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of output devices and associated outputs requiring physical access controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records for areas containing output devices and related outputs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for access control to output devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing access control to output devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-5_a", + "desc": "organization-defined output devices", + "value": "organization-defined output devices" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.5.2.", + "title": "ACCESS TO OUTPUT BY INDIVIDUAL IDENTITY", + "props": [ + { + "class": "name", + "value": "PE-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_pe-5.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eControls physical access to output from \u003cinsert param-id=\"pe-5_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_pe-5.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eLinks individual identity to receipt of the output from the device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eControlling physical access to selected output devices includes, for example, installing security functionality on printers, copiers, and facsimile machines that allows organizations to implement authentication (e.g., using a PIN or hardware token) on output devices prior to the release of output to individuals.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-5.2.a.", + "props": [ + { + "class": "name", + "value": "PE-5(2)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-5.2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines output devices whose output requires physical access controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5(2)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-5.2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system controls physical access to output from organization-defined output devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5(2)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system links individual identity to receipt of the output from the device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5(2)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of output devices and associated outputs requiring physical access controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records for areas containing output devices and related outputs\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for access control to output devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing access control to output devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-5_b", + "desc": "organization-defined output devices", + "value": "organization-defined output devices" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.5.3.", + "title": "MARKING OUTPUT DEVICES", + "props": [ + { + "class": "name", + "value": "PE-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization marks \u003cinsert param-id=\"pe-5_c\"/\u003e indicating the appropriate security marking of the information permitted to be output from the device.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOutputs devices include, for example, printers, monitors, facsimile machines, scanners, copiers, and audio devices. This control enhancement is generally applicable to information system output devices other than mobiles devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-5.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system output devices to be marked with appropriate security marking of the information permitted to be output from such devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-5.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emarks organization-defined information system output devices indicating the appropriate security marking of the information permitted to be output from the device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity markings for information types permitted as output from information system output devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for marking output devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-5_c", + "desc": "organization-defined information system output devices", + "value": "organization-defined information system output devices" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.6", + "title": "MONITORING PHYSICAL ACCESS", + "params": [ + { + "id": "pe-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pe-6_b", + "desc": "organization-defined events or potential indications of events", + "value": "organization-defined events or potential indications of events" + } + ], + "props": [ + { + "class": "name", + "value": "PE-6" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors physical access to the facility where the information system resides to detect and respond to physical security incidents;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6a." + } + ] + }, + { + "class": "item", + "id": "smm_pe-6b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews physical access logs \u003cinsert param-id=\"pe-6_a\"/\u003e and upon occurrence of \u003cinsert param-id=\"pe-6_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6b." + } + ] + }, + { + "class": "item", + "id": "smm_pe-6c.", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinates results of reviews and investigations with the organizational incident response capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, apparent security violations or suspicious physical access activities. Suspicious physical access activities include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-6.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors physical access to the facility where the information system resides to detect and respond to physical security incidents;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-6.b.", + "props": [ + { + "class": "name", + "value": "PE-6(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review physical access logs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines events or potential indication of events requiring physical access logs to be reviewed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-6.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews physical access logs with the organization-defined frequency and upon occurrence of organization-defined events or potential indications of events; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(b)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-6.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates results of reviews and investigations with the organizational incident response capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access log reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring physical access\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing reviewing of physical access logs\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.6.1.", + "title": "INTRUSION ALARMS / SURVEILLANCE EQUIPMENT", + "props": [ + { + "class": "name", + "value": "PE-6 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization monitors physical intrusion alarms and surveillance equipment.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization monitors physical intrusion alarms and surveillance equipment. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access log reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring physical intrusion alarms and surveillance equipment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical intrusion alarms and surveillance equipment\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.6.2.", + "title": "AUTOMATED INTRUSION RECOGNITION / RESPONSES", + "props": [ + { + "class": "name", + "value": "PE-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to recognize \u003cinsert param-id=\"pe-6_c\"/\u003e and initiate \u003cinsert param-id=\"pe-6_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-6.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines classes/types of intrusions to be recognized by automated mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-6.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines response actions to be initiated by automated mechanisms when organization-defined classes/types of intrusions are recognized; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-6.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to recognize organization-defined classes/types of intrusions and initiate organization-defined response actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of response actions to be initiated when specific classes/types of intrusions are recognized\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring physical access\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing recognition of classes/types of intrusions and initiation of a response\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-6_c", + "desc": "organization-defined classes/types of intrusions", + "value": "organization-defined classes/types of intrusions" + }, + { + "id": "pe-6_d", + "desc": "organization-defined response actions", + "value": "organization-defined response actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.6.3.", + "title": "VIDEO SURVEILLANCE", + "props": [ + { + "class": "name", + "value": "PE-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs video surveillance of \u003cinsert param-id=\"pe-6_e\"/\u003e and retains video recordings for \u003cinsert param-id=\"pe-6_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on recording surveillance video for purposes of subsequent review, if circumstances so warrant (e.g., a break-in detected by other means). It does not require monitoring surveillance video although organizations may choose to do so. Note that there may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-6.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines operational areas where video surveillance is to be employed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-6.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period to retain video recordings of organization-defined operational areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-6.3.3.", + "props": [ + { + "class": "name", + "value": "PE-6(3)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-6.3.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys video surveillance of organization-defined operational areas; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(3)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-6.3.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains video recordings for the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(3)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003evideo surveillance equipment used to monitor operational areas\u003c/p\u003e", + "\u003cp class=\"object\"\u003evideo recordings of operational areas where video surveillance is employed\u003c/p\u003e", + "\u003cp class=\"object\"\u003evideo surveillance equipment logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring physical access\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing video surveillance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-6_e", + "desc": "organization-defined operational areas", + "value": "organization-defined operational areas" + }, + { + "id": "pe-6_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.6.4.", + "title": "MONITORING PHYSICAL ACCESS TO INFORMATION SYSTEMS", + "props": [ + { + "class": "name", + "value": "PE-6 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization monitors physical access to the information system in addition to the physical access monitoring of the facility as \u003cinsert param-id=\"pe-6_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides additional monitoring for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, communications centers).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.2" + }, + { + "href": "#ps.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-6.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines physical spaces containing one or more components of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-6.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors physical access to the information system in addition to the physical access monitoring of the facility at organization-defined physical spaces containing one or more components of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of areas within the facility containing concentrations of information system components or information system components requiring additional physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring physical access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access monitoring for facility areas containing information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-6_g", + "desc": "organization-defined physical spaces containing one or more components of the information system", + "value": "organization-defined physical spaces containing one or more components of the information system" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.7", + "title": "VISITOR CONTROL", + "props": [ + { + "class": "name", + "value": "PE-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PE-2 and PE-3\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + } + ] + }, + { + "class": "SP800-53", + "id": "pe.8", + "title": "VISITOR ACCESS RECORDS", + "params": [ + { + "id": "pe-8_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "pe-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-8" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eMaintains visitor access records to the facility where the information system resides for \u003cinsert param-id=\"pe-8_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-8a." + } + ] + }, + { + "class": "item", + "id": "smm_pe-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews visitor access records \u003cinsert param-id=\"pe-8_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eVisitor access records include, for example, names and organizations of persons visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purposes of visits, and names and organizations of persons visited. Visitor access records are not required for publicly accessible areas.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-8.a.", + "props": [ + { + "class": "name", + "value": "PE-8(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-8.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period to maintain visitor access records to the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-8(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-8.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains visitor access records to the facility where the information system resides for the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-8(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-8.b.", + "props": [ + { + "class": "name", + "value": "PE-8(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-8.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review visitor access records; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-8(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-8.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews visitor access records with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-8(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing visitor access records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003evisitor access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003evisitor access record or log reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with visitor access records responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maintaining and reviewing visitor access records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing maintenance and review of visitor access records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.8.1.", + "title": "AUTOMATED RECORDS MAINTENANCE / REVIEW", + "props": [ + { + "class": "name", + "value": "PE-8 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to facilitate the maintenance and review of visitor access records. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing visitor access records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting management of visitor access records\u003c/p\u003e", + "\u003cp class=\"object\"\u003evisitor access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with visitor access records responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maintaining and reviewing visitor access records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing maintenance and review of visitor access records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.8.2.", + "title": "PHYSICAL ACCESS RECORDS", + "props": [ + { + "class": "name", + "value": "PE-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PE-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pe.2" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.9", + "title": "POWER EQUIPMENT AND CABLING", + "props": [ + { + "class": "name", + "value": "PE-9" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects power equipment and power cabling for the information system from damage and destruction.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the types of protection necessary for power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. This includes, for example, generators and power cabling outside of buildings, internal cabling and uninterruptable power sources within an office or data center, and power sources for self-contained entities such as vehicles and satellites.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization protects power equipment and power cabling for the information system from damage and destruction. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing power equipment/cabling protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacilities housing power equipment/cabling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for protecting power equipment/cabling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing protection of power equipment/cabling\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.9.1.", + "title": "REDUNDANT CABLING", + "props": [ + { + "class": "name", + "value": "PE-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs redundant power cabling paths that are physically separated by \u003cinsert param-id=\"pe-9_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysically separate, redundant power cables help to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-9.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the distance by which redundant power cabling paths are to be physically separated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-9(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-9.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys redundant power cabling paths that are physically separated by organization-defined distance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-9(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing power equipment/cabling protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacilities housing power equipment/cabling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for protecting power equipment/cabling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing protection of power equipment/cabling\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-9_a", + "desc": "organization-defined distance", + "value": "organization-defined distance" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.9.2.", + "title": "AUTOMATIC VOLTAGE CONTROLS", + "props": [ + { + "class": "name", + "value": "PE-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automatic voltage controls for \u003cinsert param-id=\"pe-9_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-9.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines critical information system components that require automatic voltage controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-9(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-9.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automatic voltage controls for organization-defined critical information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-9(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing voltage control\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of critical information system components requiring automatic voltage controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomatic voltage control mechanisms and associated configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for environmental protection of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing automatic voltage controls\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-9_b", + "desc": "organization-defined critical information system components", + "value": "organization-defined critical information system components" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.10", + "title": "EMERGENCY SHUTOFF", + "params": [ + { + "id": "pe-10_a", + "desc": "organization-defined location by information system or system component", + "value": "organization-defined location by information system or system component" + } + ], + "props": [ + { + "class": "name", + "value": "PE-10" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-10a.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides the capability of shutting off power to the information system or individual system components in emergency situations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10a." + } + ] + }, + { + "class": "item", + "id": "smm_pe-10b.", + "prose": [ + "\u003cp class=\"description\"\u003ePlaces emergency shutoff switches or devices in \u003cinsert param-id=\"pe-10_a\"/\u003e to facilitate safe and easy access for personnel; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10b." + } + ] + }, + { + "class": "item", + "id": "smm_pe-10c.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects emergency power shutoff capability from unauthorized activation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-10.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the capability of shutting off power to the information system or individual system components in emergency situations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-10.b.", + "props": [ + { + "class": "name", + "value": "PE-10(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-10.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the location of emergency shutoff switches or devices by information system or system component;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-10.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eplaces emergency shutoff switches or devices in the organization-defined location by information system or system component to facilitate safe and easy access for personnel; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-10.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects emergency power shutoff capability from unauthorized activation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing power source emergency shutoff\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eemergency shutoff controls or switches\u003c/p\u003e", + "\u003cp class=\"object\"\u003elocations housing emergency shutoff switches and devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity safeguards protecting emergency power shutoff capability from unauthorized activation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for emergency power shutoff capability (both implementing and using the capability)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing emergency power shutoff\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.10.1.", + "title": "ACCIDENTAL / UNAUTHORIZED ACTIVATION", + "props": [ + { + "class": "name", + "value": "PE-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PE-10\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pe.10" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.11", + "title": "EMERGENCY POWER", + "props": [ + { + "class": "name", + "value": "PE-11" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides a short-term uninterruptible power supply to facilitate [Selection (one or more): an orderly shutdown of the information system; transition of the information system to long-term alternate power] in the event of a primary power source loss.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#at.3" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides a short-term uninterruptible power supply to facilitate one or more of the following in the event of a primary power source loss: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-11-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ean orderly shutdown of the information system; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-11-2.", + "prose": [ + "\u003cp class=\"decision\"\u003etransition of the information system to long-term alternate power.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing emergency power\u003c/p\u003e", + "\u003cp class=\"object\"\u003euninterruptible power supply\u003c/p\u003e", + "\u003cp class=\"object\"\u003euninterruptible power supply documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003euninterruptible power supply test records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for emergency power and/or planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing uninterruptible power supply\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethe uninterruptable power supply\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.11.1.", + "title": "LONG-TERM ALTERNATE POWER SUPPLY - MINIMAL OPERATIONAL CAPABILITY", + "props": [ + { + "class": "name", + "value": "PE-11 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement can be satisfied, for example, by the use of a secondary commercial power supply or other external power supply. Long-term alternate power supplies for the information system can be either manually or automatically activated.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing emergency power\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate power supply\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate power supply documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate power supply test records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for emergency power and/or planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing alternate power supply\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethe alternate power supply\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.11.2.", + "title": "LONG-TERM ALTERNATE POWER SUPPLY - SELF-CONTAINED", + "props": [ + { + "class": "name", + "value": "PE-11 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides a long-term alternate power supply for the information system that is:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_pe-11.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eSelf-contained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_pe-11.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eNot reliant on external power generation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11 (2)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_pe-11.2.c.", + "prose": [ + "\u003cp class=\"description\"\u003eCapable of maintaining [Selection: minimally required operational capability; full operational capability] in the event of an extended loss of the primary power source.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11 (2)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement can be satisfied, for example, by the use of one or more generators with sufficient capacity to meet the needs of the organization. Long-term alternate power supplies for organizational information systems are either manually or automatically activated.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides a long-term alternate power supply for the information system that is: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-11.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eself-contained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11(2)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-11.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003enot reliant on external power generation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11(2)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-11.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ecapable of maintaining one of the following in the event of an extended loss of the primary power source:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11(2)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-11.2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eminimally required operational capability; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11(2)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-11.2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003efull operational capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11(2)(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing emergency power\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate power supply\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate power supply documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate power supply test records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for emergency power and/or planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing alternate power supply\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethe alternate power supply\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.12", + "title": "EMERGENCY LIGHTING", + "props": [ + { + "class": "name", + "value": "PE-12" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs and maintains automatic emergency lighting for the information system that: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-12-1.", + "prose": [ + "\u003cp class=\"decision\"\u003eactivates in the event of a power outage or disruption; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-12[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-12-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecovers emergency exits and evacuation routes within the facility.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-12[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing emergency lighting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eemergency lighting documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eemergency lighting test records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eemergency exits and evacuation routes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for emergency lighting and/or planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing emergency lighting capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.12.1.", + "title": "ESSENTIAL MISSIONS / BUSINESS FUNCTIONS", + "props": [ + { + "class": "name", + "value": "PE-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing emergency lighting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eemergency lighting documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eemergency lighting test records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eemergency exits and evacuation routes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eareas/locations within facility supporting essential missions and business functions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for emergency lighting and/or planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing emergency lighting capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.13", + "title": "FIRE PROTECTION", + "props": [ + { + "class": "name", + "value": "PE-13" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-13-1.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys fire suppression and detection devices/systems for the information system that are supported by an independent energy source; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-13-2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003efire suppression and detection devices/systems documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for fire detection and suppression devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing fire suppression/detection devices/systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.13.1.", + "title": "DETECTION DEVICES / SYSTEMS", + "props": [ + { + "class": "name", + "value": "PE-13 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs fire detection devices/systems for the information system that activate automatically and notify \u003cinsert param-id=\"pe-13_a\"/\u003e and \u003cinsert param-id=\"pe-13_b\"/\u003e in the event of a fire.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-13.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified in the event of a fire;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines emergency responders to be notified in the event of a fire;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys fire detection devices/systems for the information system that, in the event of a fire,:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(1)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-13.1.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eactivate automatically;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(1)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.1.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003enotify organization-defined personnel or roles; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(1)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.1.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003enotify organization-defined emergency responders.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(1)[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealarm service-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003efire suppression and detection devices/systems documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications of fire events\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for fire detection and suppression devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing fire detection devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eactivation of fire detection devices/systems (simulated)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated notifications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-13_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "pe-13_b", + "desc": "organization-defined emergency responders", + "value": "organization-defined emergency responders" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.13.2.", + "title": "SUPPRESSION DEVICES / SYSTEMS", + "props": [ + { + "class": "name", + "value": "PE-13 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to Assignment: organization-defined personnel or roles] and \u003cinsert param-id=\"pe-13_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-13.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be provided automatic notification of any activation of fire suppression devices/systems for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines emergency responders to be provided automatic notification of any activation of fire suppression devices/systems for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys fire suppression devices/systems for the information system that provide automatic notification of any activation to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(2)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-13.2.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined personnel or roles; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(2)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.2.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined emergency responders.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(2)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efire suppression and detection devices/systems documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealarm service-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for fire detection and suppression devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing fire suppression devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eactivation of fire suppression devices/systems (simulated)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated notifications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-13_c", + "desc": "organization-defined emergency responders", + "value": "organization-defined emergency responders" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.13.3.", + "title": "AUTOMATIC FIRE SUPPRESSION", + "props": [ + { + "class": "name", + "value": "PE-13 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efire suppression and detection devices/systems documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealarm service-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for fire detection and suppression devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing fire suppression devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eactivation of fire suppression devices/systems (simulated)\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.13.4.", + "title": "INSPECTIONS", + "props": [ + { + "class": "name", + "value": "PE-13 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that the facility undergoes \u003cinsert param-id=\"pe-13_d\"/\u003e inspections by authorized and qualified inspectors and resolves identified deficiencies within \u003cinsert param-id=\"pe-13_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-13.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency of inspections to be conducted on the facility by authorized and qualified inspectors;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the facility undergoes inspections by authorized and qualified inspectors with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period to resolve deficiencies identified when the facility undergoes such inspections; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(4)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.4.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eresolves identified deficiencies within the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(4)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einspection plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003einspection results\u003c/p\u003e", + "\u003cp class=\"object\"\u003einspect reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for planning, approving, and executing fire inspections\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "pe-13_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pe-13_e", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.14", + "title": "TEMPERATURE AND HUMIDITY CONTROLS", + "params": [ + { + "id": "pe-14_a", + "desc": "organization-defined acceptable levels", + "value": "organization-defined acceptable levels" + }, + { + "id": "pe-14_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-14" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-14a.", + "prose": [ + "\u003cp class=\"description\"\u003eMaintains temperature and humidity levels within the facility where the information system resides at \u003cinsert param-id=\"pe-14_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14a." + } + ] + }, + { + "class": "item", + "id": "smm_pe-14b.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors temperature and humidity levels \u003cinsert param-id=\"pe-14_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-14.a.", + "props": [ + { + "class": "name", + "value": "PE-14(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-14.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines acceptable temperature levels to be maintained within the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-14.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines acceptable humidity levels to be maintained within the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-14.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains temperature levels within the facility where the information system resides at the organization-defined levels;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-14.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains humidity levels within the facility where the information system resides at the organization-defined levels;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-14.b.", + "props": [ + { + "class": "name", + "value": "PE-14(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-14.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to monitor temperature levels;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-14.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to monitor humidity levels;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-14.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors temperature levels with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(b)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-14.b.4.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors humidity levels with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(b)[4]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing temperature and humidity control\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etemperature and humidity controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003etemperature and humidity controls documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etemperature and humidity records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing maintenance and monitoring of temperature and humidity levels\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.14.1.", + "title": "AUTOMATIC CONTROLS", + "props": [ + { + "class": "name", + "value": "PE-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-14.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automatic temperature controls in the facility to prevent fluctuations potentially harmful to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-14.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automatic humidity controls in the facility to prevent fluctuations potentially harmful to the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing temperature and humidity controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for temperature and humidity\u003c/p\u003e", + "\u003cp class=\"object\"\u003etemperature and humidity controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003etemperature and humidity documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing temperature and humidity levels\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.14.2.", + "title": "MONITORING WITH ALARMS / NOTIFICATIONS", + "props": [ + { + "class": "name", + "value": "PE-14 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-14.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys temperature monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-14.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys temperature monitoring that provides notification of changes potentially harmful to personnel or equipment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-14.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys humidity monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-14.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys humidity monitoring that provides notification of changes potentially harmful to personnel or equipment.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing temperature and humidity monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003elogs or records of temperature and humidity monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of changes to temperature and humidity levels that generate alarms or notifications\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing temperature and humidity monitoring\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.15", + "title": "WATER DAMAGE PROTECTION", + "props": [ + { + "class": "name", + "value": "PE-15" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-15-1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccessible;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-15[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-15-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eworking properly; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-15[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-15-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eknown to key personnel.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-15[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing water damage protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaster shutoff valves\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaster shutoff valve documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eMaster water-shutoff valves\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for activating master water-shutoff\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.15.1.", + "title": "AUTOMATION SUPPORT", + "props": [ + { + "class": "name", + "value": "PE-15 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to detect the presence of water in the vicinity of the information system and alerts \u003cinsert param-id=\"pe-15_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can include, for example, water detection sensors, alarms, and notification systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-15.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be alerted when the presence of water is detected in the vicinity of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-15(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-15.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to detect the presence of water in the vicinity of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-15(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-15.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ealerts organization-defined personnel or roles when the presence of water is detected in the vicinity of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-15(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing water damage protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for water shutoff valves\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms detecting presence of water in vicinity of information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications of water detection in information system facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing water detection capability and alerts for the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-15_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.16", + "title": "DELIVERY AND REMOVAL", + "params": [ + { + "id": "pe-16_a", + "desc": "organization-defined types of information system components", + "value": "organization-defined types of information system components" + } + ], + "props": [ + { + "class": "name", + "value": "PE-16" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization authorizes, monitors, and controls \u003cinsert param-id=\"pe-16_a\"/\u003e entering and exiting the facility and maintains records of those items.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEffectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#ma.2" + }, + { + "href": "#ma.3" + }, + { + "href": "#mp.5" + }, + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-16-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of information system components to be authorized, monitored, and controlled as such components are entering and exiting the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes organization-defined information system components entering the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-3.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors organization-defined information system components entering the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-4.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols organization-defined information system components entering the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-5.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes organization-defined information system components exiting the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[5]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-6.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors organization-defined information system components exiting the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[6]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-7.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols organization-defined information system components exiting the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[7]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-8.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains records of information system components entering the facility; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[8]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-9.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains records of information system components exiting the facility.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[9]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing delivery and removal of information system components from the facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of items entering and exiting the facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for controlling information system components entering and exiting the facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for authorizing, monitoring, and controlling information system-related items entering and exiting the facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing authorizing, monitoring, and controlling information system-related items entering and exiting the facility\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.17", + "title": "ALTERNATE WORK SITE", + "params": [ + { + "id": "pe-17_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + } + ], + "props": [ + { + "class": "name", + "value": "PE-17" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-17a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"pe-17_a\"/\u003e at alternate work sites;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17a." + } + ] + }, + { + "class": "item", + "id": "smm_pe-17b.", + "prose": [ + "\u003cp class=\"description\"\u003eAssesses as feasible, the effectiveness of security controls at alternate work sites; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17b." + } + ] + }, + { + "class": "item", + "id": "smm_pe-17c.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides a means for employees to communicate with information security personnel in case of security incidents or problems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlternate work sites may include, for example, government facilities or private residences of employees. While commonly distinct from alternative processing sites, alternate work sites may provide readily available alternate locations as part of contingency operations. Organizations may define different sets of security controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations and the federal telework initiative.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#cp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-17.a.", + "props": [ + { + "class": "name", + "value": "PE-17(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-17.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security controls to be employed at alternate work sites;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-17.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security controls at alternate work sites;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-17.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eassesses, as feasible, the effectiveness of security controls at alternate work sites; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-17.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides a means for employees to communicate with information security personnel in case of security incidents or problems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate work sites for organizational personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security controls required for alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eassessments of security controls at alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel approving use of alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel using alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel assessing controls at alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security at alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity controls employed at alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003emeans of communications between personnel at alternate work sites and security personnel\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-46", + "value": "NIST Special Publication 800-46" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pe.18", + "title": "LOCATION OF INFORMATION SYSTEM COMPONENTS", + "params": [ + { + "id": "pe-18_a", + "desc": "organization-defined physical and environmental hazards", + "value": "organization-defined physical and environmental hazards" + } + ], + "props": [ + { + "class": "name", + "value": "PE-18" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization positions information system components within the facility to minimize potential damage from \u003cinsert param-id=\"pe-18_a\"/\u003e and to minimize the opportunity for unauthorized access.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. In addition, organizations consider the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to information systems and therefore increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones).\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#pe.19" + }, + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-18-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines physical hazards that could result in potential damage to information system components within the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-18-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines environmental hazards that could result in potential damage to information system components within the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-18-3.", + "prose": [ + "\u003cp class=\"decision\"\u003epositions information system components within the facility to minimize potential damage from organization-defined physical and environmental hazards; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-18-4.", + "prose": [ + "\u003cp class=\"decision\"\u003epositions information system components within the facility to minimize the opportunity for unauthorized access.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing positioning of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation providing the location and position of information system components within the facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003elocations housing information system components within the facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of physical and environmental hazards with potential to damage information system components within the facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for positioning information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for positioning information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.18.1.", + "title": "FACILITY SITE", + "props": [ + { + "class": "name", + "value": "PE-18 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#pm.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-18.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eplans the location or site of the facility where the information system resides with regard to physical hazards;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-18.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eplans the location or site of the facility where the information system resides with regard to environmental hazards;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-18.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003efor existing facilities, considers the physical hazards in its risk mitigation strategy; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-18.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003efor existing facilities, considers the environmental hazards in its risk mitigation strategy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18(1)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical site planning documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational assessment of risk, contingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk mitigation strategy documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with site selection responsibilities for the facility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with risk mitigation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for site planning\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.19", + "title": "INFORMATION LEAKAGE", + "props": [ + { + "class": "name", + "value": "PE-19" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects the information system from information leakage due to electromagnetic signals emanations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation leakage is the intentional or unintentional release of information to an untrusted environment from electromagnetic signals emanations. Security categories or classifications of information systems (with respect to confidentiality) and organizational security policies guide the selection of security controls employed to protect systems against information leakage due to electromagnetic signals emanations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization protects the information system from information leakage due to electromagnetic signals emanations. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information leakage due to electromagnetic signals emanations\u003c/p\u003e", + "\u003cp class=\"object\"\u003emechanisms protecting the information system against electronic signals emanation\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords from electromagnetic signals emanation tests\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing protection from information leakage due to electromagnetic signals emanations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.19.1.", + "title": "NATIONAL EMISSIONS / TEMPEST POLICIES AND PROCEDURES", + "props": [ + { + "class": "name", + "value": "PE-19 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that information system components, associated data communications, and networks are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that the following are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-19.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-19(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-19.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eassociated data communications; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-19(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-19.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003enetworks.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-19(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information leakage that comply with national emissions and TEMPEST policies and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system component design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation other relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system components for compliance with national emissions and TEMPEST policies and procedures\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pe.20", + "title": "ASSET MONITORING AND TRACKING", + "params": [ + { + "id": "pe-20_a", + "desc": "organization-defined asset location technologies", + "value": "organization-defined asset location technologies" + }, + { + "id": "pe-20_b", + "desc": "organization-defined assets", + "value": "organization-defined assets" + }, + { + "id": "pe-20_c", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + } + ], + "props": [ + { + "class": "name", + "value": "PE-20" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-20a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"pe-20_a\"/\u003e to track and monitor the location and movement of \u003cinsert param-id=\"pe-20_b\"/\u003e within \u003cinsert param-id=\"pe-20_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-20a." + } + ] + }, + { + "class": "item", + "id": "smm_pe-20b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-20b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAsset location technologies can help organizations ensure that critical assets such as vehicles or essential information system components remain in authorized locations. Organizations consult with the Office of the General Counsel and the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) regarding the deployment and use of asset location technologies to address potential privacy concerns.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-20.a.", + "props": [ + { + "class": "name", + "value": "PE-20(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-20.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines assets whose location and movement are to be tracked and monitored;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-20(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-20.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines asset location technologies to be employed to track and monitor the location and movement of organization-defined assets;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-20(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-20.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines controlled areas within which to track and monitor organization-defined assets;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-20(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-20.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined asset location technologies to track and monitor the location and movement of organization-defined assets within organization-defined controlled areas; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-20(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-20.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards and guidance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-20(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing asset monitoring and tracking\u003c/p\u003e", + "\u003cp class=\"object\"\u003easset location technologies and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of organizational assets requiring tracking and monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003easset monitoring and tracking records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with asset monitoring and tracking responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for tracking and monitoring assets\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing tracking and monitoring of assets\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "PLANNING", + "controls": [ + { + "class": "SP800-53", + "id": "pl.1", + "title": "SECURITY PLANNING POLICY AND PROCEDURES", + "params": [ + { + "id": "pl-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "pl-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pl-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pl-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"pl-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pl-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pl-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the security planning policy and associated security planning controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pl-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pl-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity planning policy \u003cinsert param-id=\"pl-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_pl-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity planning procedures \u003cinsert param-id=\"pl-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PL family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-1.a.1.", + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a planning policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the planning policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the planning policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.2.", + "props": [ + { + "class": "name", + "value": "PL-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the planning policy and associated planning controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.b.1.", + "props": [ + { + "class": "name", + "value": "PL-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current planning policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current planning policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.b.2.", + "props": [ + { + "class": "name", + "value": "PL-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current planning procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current planning procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePlanning policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with planning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-18", + "value": "NIST Special Publication 800-18" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pl.2", + "title": "SYSTEM SECURITY PLAN", + "params": [ + { + "id": "pl-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "pl-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pl-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops a security plan for the information system that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pl-2a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with the organization�s enterprise architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eExplicitly defines the authorization boundary for the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.2." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes the operational context of the information system in terms of missions and business processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.3." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides the security categorization of the information system including supporting rationale;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.4." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.5.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes the operational environment for the information system and relationships with or connections to other information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.5." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.6.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides an overview of the security requirements for the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.6." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.7.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies any relevant overlays, if applicable;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.7." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.8.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes the security controls in place or planned for meeting those requirements including a rationale for the tailoring decisions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.8." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.9.", + "prose": [ + "\u003cp class=\"description\"\u003eIs reviewed and approved by the authorizing official or designated representative prior to plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.9." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pl-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eDistributes copies of the security plan and communicates subsequent changes to the plan to \u003cinsert param-id=\"pl-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2b." + } + ] + }, + { + "class": "item", + "id": "smm_pl-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the security plan for the information system \u003cinsert param-id=\"pl-2_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2c." + } + ] + }, + { + "class": "item", + "id": "smm_pl-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2d." + } + ] + }, + { + "class": "item", + "id": "smm_pl-2e.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the security plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity plans relate security requirements to a set of security controls and control enhancements. Security plans also describe, at a high level, how the security controls and control enhancements meet those security requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls/enhancements. Security plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the security control baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide use or to address specialized requirements, technologies, or missions/environments of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access Management, space operations). Appendix I provides guidance on developing overlays. Security plans need not be single documents; the plans can be a collection of various documents including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. For example, security plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.14" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.20" + }, + { + "href": "#ca.2" + }, + { + "href": "#ca.3" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.9" + }, + { + "href": "#cp.2" + }, + { + "href": "#ir.8" + }, + { + "href": "#ma.4" + }, + { + "href": "#ma.5" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#pl.7" + }, + { + "href": "#pm.1" + }, + { + "href": "#pm.7" + }, + { + "href": "#pm.8" + }, + { + "href": "#pm.9" + }, + { + "href": "#pm.11" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.17" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a security plan for the information system that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eis consistent with the organization’s enterprise architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eexplicitly defines the authorization boundary for the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edescribes the operational context of the information system in terms of missions and business processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(3)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the security categorization of the information system including supporting rationale;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(4)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.5.", + "prose": [ + "\u003cp class=\"decision\"\u003edescribes the operational environment for the information system and relationships with or connections to other information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(5)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.6.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides an overview of the security requirements for the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(6)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.7.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies any relevant overlays, if applicable;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(7)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.8.", + "prose": [ + "\u003cp class=\"decision\"\u003edescribes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplemental decisions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(8)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.9.", + "prose": [ + "\u003cp class=\"decision\"\u003eis reviewed and approved by the authorizing official or designated representative prior to plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(9)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.b.", + "props": [ + { + "class": "name", + "value": "PL-2(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom copies of the security plan are to be distributed and subsequent changes to the plan are to be communicated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edistributes copies of the security plan and communicates subsequent changes to the plan to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.c.", + "props": [ + { + "class": "name", + "value": "PL-2(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the security plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the security plan for the information system with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the plan to address:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-2.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges to the information system/environment of operation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eproblems identified during plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eproblems identified during security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(d)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the security plan from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-2.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edisclosure; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(e)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security plan development and implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of security plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security plan development/review/update/approval\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the information system security plan\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pl.2.1.", + "title": "CONCEPT OF OPERATIONS", + "props": [ + { + "class": "name", + "value": "PL-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PL-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pl.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pl.2.2.", + "title": "FUNCTIONAL ARCHITECTURE", + "props": [ + { + "class": "name", + "value": "PL-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PL-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pl.8" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pl.2.3.", + "title": "PLAN / COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES", + "props": [ + { + "class": "name", + "value": "PL-2 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization plans and coordinates security-related activities affecting the information system with \u003cinsert param-id=\"pl-2_c\"/\u003e before conducting such activities in order to reduce the impact on other organizational entities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity-related activities include, for example, security assessments, audits, hardware and software maintenance, patch management, and contingency plan testing. Advance planning and coordination includes emergency and nonemergency (i.e., planned or nonurgent unplanned) situations. The process defined by organizations to plan and coordinate security-related activities can be included in security plans for information systems or other documents, as appropriate.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.4" + }, + { + "href": "#ir.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pl-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines individuals or groups with whom security-related activities affecting the information system are to be planned and coordinated before conducting such activities in order to reduce the impact on other organizational entities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pl-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eplans and coordinates security-related activities affecting the information system with organization-defined individuals or groups before conducting such activities in order to reduce the impact on other organizational entities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security-related activity planning for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational individuals or groups with whom security-related activities are to be planned and coordinated\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "pl-2_c", + "desc": "organization-defined individuals or groups", + "value": "organization-defined individuals or groups" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-18", + "value": "NIST Special Publication 800-18" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pl.3", + "title": "SYSTEM SECURITY PLAN UPDATE", + "props": [ + { + "class": "name", + "value": "PL-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PL-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pl.2" + } + ] + }, + { + "class": "SP800-53", + "id": "pl.4", + "title": "RULES OF BEHAVIOR", + "params": [ + { + "id": "pl-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-4" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pl-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4a." + } + ] + }, + { + "class": "item", + "id": "smm_pl-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eReceives a signed acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4b." + } + ] + }, + { + "class": "item", + "id": "smm_pl-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the rules of behavior \u003cinsert param-id=\"pl-4_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4c." + } + ] + }, + { + "class": "item", + "id": "smm_pl-4d.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires individuals who have signed a previous version of the rules of behavior to read and re-sign when the rules of behavior are revised/updated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.8" + }, + { + "href": "#ac.9" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.20" + }, + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#cm.11" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#mp.7" + }, + { + "href": "#ps.6" + }, + { + "href": "#ps.8" + }, + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-4.a.", + "props": [ + { + "class": "name", + "value": "PL-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes, for individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emakes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereceives a signed acknowledgement from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-4.c.", + "props": [ + { + "class": "name", + "value": "PL-4(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the rules of behavior;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the rules of behavior with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires individuals who have signed a previous version of the rules of behavior to read and resign when the rules of behavior are revised/updated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing rules of behavior for information system users\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003esigned acknowledgements\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords for rules of behavior reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for establishing, reviewing, and updating rules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel who are authorized users of the information system and have signed and resigned rules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for establishing, reviewing, disseminating, and updating rules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pl.4.1.", + "title": "SOCIAL MEDIA AND NETWORKING RESTRICTIONS", + "props": [ + { + "class": "name", + "value": "PL-4 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes in the rules of behavior, explicit restrictions on the use of social media/networking sites and posting organizational information on public websites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses rules of behavior related to the use of social media/networking sites: (i) when organizational personnel are using such sites for official duties or in the conduct of official business; (ii) when organizational information is involved in social media/networking transactions; and (iii) when personnel are accessing social media/networking sites from organizational information systems. Organizations also address specific rules that prevent unauthorized entities from obtaining and/or inferring non-public organizational information (e.g., system account information, personally identifiable information) from social media/networking sites.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes the following in the rules of behavior: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pl-4.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eexplicit restrictions on the use of social media/networking sites; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pl-4.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eposting organizational information on public websites.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing rules of behavior for information system users\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for establishing, reviewing, and updating rules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel who are authorized users of the information system and have signed rules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for establishing rules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the establishment of rules of behavior\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-18", + "value": "NIST Special Publication 800-18" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pl.5", + "title": "PRIVACY IMPACT ASSESSMENT", + "props": [ + { + "class": "name", + "value": "PL-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into Appendix J, AR-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "Appendix J" + }, + { + "href": "", + "value": "AR-2" + } + ] + }, + { + "class": "SP800-53", + "id": "pl.6", + "title": "SECURITY-RELATED ACTIVITY PLANNING", + "props": [ + { + "class": "name", + "value": "PL-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PL-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pl.2" + } + ] + }, + { + "class": "SP800-53", + "id": "pl.7", + "title": "SECURITY CONCEPT OF OPERATIONS", + "params": [ + { + "id": "pl-7_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-7" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pl-7a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-7a." + } + ] + }, + { + "class": "item", + "id": "smm_pl-7b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the CONOPS \u003cinsert param-id=\"pl-7_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-7b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe security CONOPS may be included in the security plan for the information system or in other system development life cycle-related documents, as appropriate. Changes to the CONOPS are reflected in ongoing updates to the security plan, the information security architecture, and other appropriate organizational documents (e.g., security specifications for procurements/acquisitions, system development life cycle documents, and systems/security engineering documents).\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-7.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-7(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-7.b.", + "props": [ + { + "class": "name", + "value": "PL-7(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-7.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the security CONOPS; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-7(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-7.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the security CONOPS with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-7(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security CONOPS development\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security CONOPS reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity CONOPS for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of security CONOPS reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for developing, reviewing, and updating the security CONOPS\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the development, review, and update of the security CONOPS\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pl.8", + "title": "INFORMATION SECURITY ARCHITECTURE", + "params": [ + { + "id": "pl-8_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pl-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops an information security architecture for the information system that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pl-8a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pl-8a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes how the information security architecture is integrated into and supports the enterprise architecture; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8a.2." + } + ] + }, + { + "class": "item", + "id": "sms_pl-8a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes any information security assumptions about, and dependencies on, external services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8a.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pl-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the information security architecture \u003cinsert param-id=\"pl-8_a\"/\u003e to reflect updates in the enterprise architecture; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8b." + } + ] + }, + { + "class": "item", + "id": "smm_pl-8c.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that planned information security architecture changes are reflected in the security plan, the security Concept of Operations (CONOPS), and organizational procurements/acquisitions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses actions taken by organizations in the design and development of information systems. The information security architecture at the individual information system level is consistent with and complements the more global, organization-wide information security architecture described in PM-7 that is integral to and developed as part of the enterprise architecture. The information security architecture includes an architectural description, the placement/allocation of security functionality (including security controls), security-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security architecture can include other important security-related information, for example, user roles and access privileges assigned to each role, unique security requirements, the types of information processed, stored, and transmitted by the information system, restoration priorities of information and information system services, and any other specific protection needs. In today�s modern architecture, it is becoming less common for organizations to control all information resources. There are going to be key dependencies on external information services and service providers. Describing such dependencies in the information security architecture is important to developing a comprehensive mission/business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational information systems is critical to implementing and maintaining an effective information security architecture. The development of the information security architecture is coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to support privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure that organizations develop an information security architecture for the information system, and that the security architecture is integrated with or tightly coupled to the enterprise architecture through the organization-wide information security architecture. In contrast, SA-17 is primarily directed at external information technology product/system developers and integrators (although SA-17 could be used internally within organizations for in-house system development). SA-17, which is complementary to PL-8, is selected when organizations outsource the development of information systems or information system components to external entities, and there is a need to demonstrate/show consistency with the organization�s enterprise architecture and information security architecture.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + }, + { + "href": "#pl.2" + }, + { + "href": "#pm.7" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.17" + }, + { + "href": "", + "value": "Appendix J" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-8.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops an information security architecture for the information system that describes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-8.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(a)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-8.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ehow the information security architecture is integrated into and supports the enterprise architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(a)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-8.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eany information security assumptions about, and dependencies on, external services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(a)(3)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-8.b.", + "props": [ + { + "class": "name", + "value": "PL-8(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-8.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the information security architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-8.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the information security architecture with the organization-defined frequency to reflect updates in the enterprise architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-8.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that planned information security architecture changes are reflected in:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-8.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe security plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-8.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe security Concept of Operations (CONOPS); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-8.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organizational procurements/acquisitions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(c)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information security architecture development\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information security architecture reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity CONOPS for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of information security architecture reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security architecture development responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for developing, reviewing, and updating the information security architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the development, review, and update of the information security architecture\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pl.8.1.", + "title": "DEFENSE-IN-DEPTH", + "props": [ + { + "class": "name", + "value": "PL-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization designs its security architecture using a defense-in-depth approach that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_pl-8.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eAllocates \u003cinsert param-id=\"pl-8_b\"/\u003e to \u003cinsert param-id=\"pl-8_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_pl-8.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the allocated security safeguards operate in a coordinated and mutually reinforcing manner.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations strategically allocate security safeguards (procedural, technical, or both) in the security architecture so that adversaries have to overcome multiple safeguards to achieve their objective. Requiring adversaries to defeat multiple mechanisms makes it more difficult to successfully attack critical information resources (i.e., increases adversary work factor) and also increases the likelihood of detection. The coordination of allocated safeguards is essential to ensure that an attack that involves one safeguard does not create adverse unintended consequences (e.g., lockout, cascading alarms) by interfering with another safeguard. Placement of security safeguards is a key activity. Greater asset criticality or information value merits additional layering. Thus, an organization may choose to place anti-virus software at organizational boundary layers, email/web servers, notebook computers, and workstations to maximize the number of related safeguards adversaries must penetrate before compromising the information and information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.29" + }, + { + "href": "#sc.36" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pl-8.1.a.", + "props": [ + { + "class": "name", + "value": "PL-8(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pl-8.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pl-8.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(1)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pl-8.1.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edesigns its security architecture using a defense-in-depth approach that allocates organization-defined security safeguards to organization-defined locations and architectural layers; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(1)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_pl-8.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edesigns its security architecture using a defense-in-depth approach that ensures the allocated organization-defined security safeguards operate in a coordinated and mutually reinforcing manner.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information security architecture development\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity CONOPS for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security architecture development responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for designing the information security architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the design of the information security architecture\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pl-8_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "pl-8_c", + "desc": "organization-defined locations and architectural layers", + "value": "organization-defined locations and architectural layers" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pl.8.2.", + "title": "SUPPLIER DIVERSITY", + "props": [ + { + "class": "name", + "value": "PL-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that \u003cinsert param-id=\"pl-8_d\"/\u003e allocated to \u003cinsert param-id=\"pl-8_e\"/\u003e are obtained from different suppliers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDifferent information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms according to their priorities and development schedules. By having different products at different locations (e.g., server, boundary, desktop) there is an increased likelihood that at least one will detect the malicious code.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pl-8.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pl-8.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pl-8.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that organization-defined security safeguards allocated to organization-defined locations and architectural layers are obtained from different suppliers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information security architecture development\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity CONOPS for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security architecture development responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for obtaining information security safeguards from different suppliers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pl-8_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "pl-8_e", + "desc": "organization-defined locations and architectural layers", + "value": "organization-defined locations and architectural layers" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pl.9", + "title": "CENTRAL MANAGEMENT", + "params": [ + { + "id": "pl-9_a", + "desc": "organization-defined security controls and related processes", + "value": "organization-defined security controls and related processes" + } + ], + "props": [ + { + "class": "name", + "value": "PL-9" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization centrally manages \u003cinsert param-id=\"pl-9_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management refers to the organization-wide management and implementation of selected security controls and related processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed security controls and processes. As central management of security controls is generally associated with common controls, such management promotes and facilitates standardization of security control implementations and management and judicious use of organizational resources. Centrally-managed security controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate as part of organizational continuous monitoring. As part of the security control selection process, organizations determine which controls may be suitable for central management based on organizational resources and capabilities. Organizations consider that it may not always be possible to centrally manage every aspect of a security control. In such cases, the security control is treated as a hybrid control with the control managed and implemented either centrally or at the information system level. Controls and control enhancements that are candidates for full or partial central management include, but are not limited to: AC-2 (1) (2) (3) (4); AC-17 (1) (2) (3) (9); AC-18 (1) (3) (4) (5); AC-19 (4); AC-22; AC-23; AT-2 (1) (2); AT-3 (1) (2) (3); AT-4; AU-6 (1) (3) (5) (6) (9); AU-7 (1) (2); AU-11, AU-13, AU-16, CA-2 (1) (2) (3); CA-3 (1) (2) (3); CA-7 (1); CA-9; CM-2 (1) (2); CM-3 (1) (4); CM-4; CM-6 (1); CM-7 (4) (5); CM-8 (all); CM-9 (1); CM-10; CM-11; CP-7 (all); CP-8 (all); SC-43; SI-2; SI-3; SI-7; and SI-8.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-9-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security controls and related processes to be centrally managed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-9[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-9-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecentrally manages organization-defined security controls and related processes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-9[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security plan development and implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for planning/implementing central management of security controls and related processes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for central management of security controls and related processes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing central management of security controls and related processes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + } + ] + } + } + ] + }, + { + "class": "family", + "title": "PERSONNEL SECURITY", + "controls": [ + { + "class": "SP800-53", + "id": "ps.1", + "title": "PERSONNEL SECURITY POLICY AND PROCEDURES", + "params": [ + { + "id": "ps-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ps-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PS-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ps-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ps-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ps-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ps-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the personnel security policy and associated personnel security controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ps-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ps-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003ePersonnel security policy \u003cinsert param-id=\"ps-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ps-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003ePersonnel security procedures \u003cinsert param-id=\"ps-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-1.a.1.", + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an personnel security policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the personnel security policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the personnel security policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.2.", + "props": [ + { + "class": "name", + "value": "PS-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the personnel security policy and associated personnel security controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.b.1.", + "props": [ + { + "class": "name", + "value": "PS-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current personnel security policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current personnel security policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.b.2.", + "props": [ + { + "class": "name", + "value": "PS-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current personnel security procedures; 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Personnel security criteria include, for example, position sensitivity background screening requirements.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ps-3.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection have valid access authorizations that are demonstrated by assigned official government duties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-3(3)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ps-3.3.b.", + "props": [ + { + "class": "name", + "value": "PS-3(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ps-3.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines additional personnel screening criteria to be 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protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ps-3_b", + "desc": "organization-defined additional personnel screening criteria", + "value": "organization-defined additional personnel screening criteria" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.gpo.gov/fdsys/granule/CFR-2012-title5-vol2/CFR-2012-title5-vol2-sec731-106/content-detail.html", + "value": "5 C.F.R. 731.106" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-60", + "value": "NIST Special Publication 800-60" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-73", + "value": "NIST Special Publication 800-73" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-76", + "value": "NIST Special Publication 800-76" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + }, + { + "citations": [ + { + "href": "http://www.dni.gov/index.php/intelligence-community/ic-policies-reports/intelligence-community-directives", + "value": "ICD 704" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ps.4", + "title": "PERSONNEL TERMINATION", + "params": [ + { + "id": "ps-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "ps-4_b", + "desc": "organization-defined information security topics", + "value": "organization-defined information security topics" + }, + { + "id": "ps-4_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-4_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization, upon termination of individual employment:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ps-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eDisables information system access within \u003cinsert param-id=\"ps-4_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4a." + } + ] + }, + { + "class": "item", + "id": "smm_ps-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eTerminates/revokes any authenticators/credentials associated with the individual;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4b." + } + ] + }, + { + "class": "item", + "id": "smm_ps-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eConducts exit interviews that include a discussion of \u003cinsert param-id=\"ps-4_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4c." + } + ] + }, + { + "class": "item", + "id": "smm_ps-4d.", + "prose": [ + "\u003cp class=\"description\"\u003eRetrieves all security-related organizational information system-related property;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4d." + } + ] + }, + { + "class": "item", + "id": "smm_ps-4e.", + "prose": [ + "\u003cp class=\"description\"\u003eRetains access to organizational information and information systems formerly controlled by terminated individual; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4e." + } + ] + }, + { + "class": "item", + "id": "smm_ps-4f.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies \u003cinsert param-id=\"ps-4_c\"/\u003e within \u003cinsert param-id=\"ps-4_d\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4f." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for information system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and nonavailability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the information system accounts of individuals that are being terminated prior to the individuals being notified.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#ps.5" + }, + { + "href": "#ps.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, upon termination of individual employment,:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-4.a.", + "props": [ + { + "class": "name", + "value": "PS-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period within which to disable information system access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edisables information system access within the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eterminates/revokes any authenticators/credentials associated with the individual;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.c.", + "props": [ + { + "class": "name", + "value": "PS-4(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information security topics to be discussed when conducting exit interviews;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts exit interviews that include a discussion of organization-defined information security topics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eretrieves all security-related organizational information system-related property;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains access to organizational information and information systems formerly controlled by the terminated individual;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(e)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.f.", + "props": [ + { + "class": "name", + "value": "PS-4(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-4.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified of the termination;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which to notify organization-defined personnel or roles; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(f)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.f.3.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies organization-defined personnel or roles within the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(f)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing personnel termination\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of personnel termination actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of terminated or revoked authenticators/credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of exit interviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for personnel termination\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing personnel termination notifications\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for disabling information system access/revoking authenticators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ps.4.1.", + "title": "POST-EMPLOYMENT REQUIREMENTS", + "props": [ + { + "class": "name", + "value": "PS-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ps-4.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ps-4.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ps-4.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies terminated individuals of applicable, legally binding, post-employment requirements for the protection of organizational information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(1)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ps-4.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires terminated individuals to sign an acknowledgement of post-employment requirements as part of the organizational termination process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing personnel termination\u003c/p\u003e", + "\u003cp class=\"object\"\u003esigned post-employment acknowledgement forms\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of applicable, legally binding post-employment requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for post-employment requirements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ps.4.2.", + "title": "AUTOMATED NOTIFICATION", + "props": [ + { + "class": "name", + "value": "PS-4 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to notify \u003cinsert param-id=\"ps-4_e\"/\u003e upon termination of an individual.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn organizations with a large number of employees, not all personnel who need to know about termination actions receive the appropriate notifications�or, if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to specific organizational personnel or roles (e.g., management personnel, supervisors, personnel security officers, information security officers, systems administrators, or information technology administrators) when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including, for example, telephonically, via electronic mail, via text message, or via websites.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ps-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified upon termination of an individual; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ps-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to notify organization-defined personnel or roles upon termination of an individual.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing personnel termination\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of personnel termination actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated notifications of employee terminations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for personnel termination\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing personnel termination notifications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ps-4_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ps.5", + "title": "PERSONNEL TRANSFER", + "params": [ + { + "id": "ps-5_a", + "desc": "organization-defined transfer or reassignment actions", + "value": "organization-defined transfer or reassignment actions" + }, + { + "id": "ps-5_b", + "desc": "organization-defined time period following the formal transfer action", + "value": "organization-defined time period following the formal transfer action" + }, + { + "id": "ps-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-5_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-5" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ps-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and confirms ongoing operational need for current logical and physical access authorizations to information systems/facilities when individuals are reassigned or transferred to other positions within the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5a." + } + ] + }, + { + "class": "item", + "id": "smm_ps-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eInitiates \u003cinsert param-id=\"ps-5_a\"/\u003e within \u003cinsert param-id=\"ps-5_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5b." + } + ] + }, + { + "class": "item", + "id": "smm_ps-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eModifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5c." + } + ] + }, + { + "class": "item", + "id": "smm_ps-5d.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies \u003cinsert param-id=\"ps-5_c\"/\u003e within \u003cinsert param-id=\"ps-5_d\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing information system accounts and establishing new accounts; (iii) changing information system access authorizations (i.e., privileges); and (iv) providing for access to official records to which individuals had access at previous work locations and in previous information system accounts.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#ps.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen individuals are reassigned or transferred to other positions within the organization, reviews and confirms ongoing operational need for current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003elogical access authorizations to information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ephysical access authorizations to information systems and facilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.b.", + "props": [ + { + "class": "name", + "value": "PS-5(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-5.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines transfer or reassignment actions to be initiated following transfer or reassignment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which transfer or reassignment actions must occur following transfer or reassignment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003einitiates organization-defined transfer or reassignment actions within the organization-defined time period following transfer or reassignment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(b)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.c.", + "prose": [ + "\u003cp class=\"decision\"\u003emodifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.d.", + "props": [ + { + "class": "name", + "value": "PS-5(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-5.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified when individuals are reassigned or transferred to other positions within the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which to notify organization-defined personnel or roles when individuals are reassigned or transferred to other positions within the organization; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies organization-defined personnel or roles within the organization-defined time period when individuals are reassigned or transferred to other positions within the organization.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(d)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing personnel transfer\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of personnel transfer actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system and facility access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities organizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for personnel transfer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing personnel transfer notifications\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for disabling information system access/revoking authenticators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ps.6", + "title": "ACCESS AGREEMENTS", + "params": [ + { + "id": "ps-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ps-6_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PS-6" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ps-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops and documents access agreements for organizational information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6a." + } + ] + }, + { + "class": "item", + "id": "smm_ps-6b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the access agreements \u003cinsert param-id=\"ps-6_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6b." + } + ] + }, + { + "class": "item", + "id": "smm_ps-6c.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that individuals requiring access to organizational information and information systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6c." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ps-6c.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSign appropriate access agreements prior to being granted access; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6c.1." + } + ] + }, + { + "class": "item", + "id": "sms_ps-6c.2.", + "prose": [ + "\u003cp class=\"description\"\u003eRe-sign access agreements to maintain access to organizational information systems when access agreements have been updated or \u003cinsert param-id=\"ps-6_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6c.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAccess agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.4" + }, + { + "href": "#ps.2" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.4" + }, + { + "href": "#ps.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-6.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents access agreements for organizational information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-6.b.", + "props": [ + { + "class": "name", + "value": "PS-6(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the access agreements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the access agreements with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-6.c.", + "props": [ + { + "class": "name", + "value": "PS-6(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-6.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(c)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-6.c.2.", + "props": [ + { + "class": "name", + "value": "PS-6(c)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-6.c.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to re-sign access agreements to maintain access to organizational information systems when access agreements have been updated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(c)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-6.c.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that individuals requiring access to organizational information and information systems re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(c)(2)[2]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access agreements for organizational information and information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of access agreement reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel who have signed/resigned access agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for access agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting access agreements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ps.6.1.", + "title": "INFORMATION REQUIRING SPECIAL PROTECTION", + "props": [ + { + "class": "name", + "value": "PS-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PS-3\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ps.3" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ps.6.2.", + "title": "CLASSIFIED INFORMATION REQUIRING SPECIAL PROTECTION", + "props": [ + { + "class": "name", + "value": "PS-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that access to classified information requiring special protection is granted only to individuals who:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ps-6.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eHave a valid access authorization that is demonstrated by assigned official government duties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ps-6.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eSatisfy associated personnel security criteria; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (2)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ps-6.2.c.", + "prose": [ + "\u003cp class=\"description\"\u003eHave read, understood, and signed a nondisclosure agreement.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (2)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClassified information requiring special protection includes, for example, collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that access to classified information requiring special protection is granted only to individuals who:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ps-6.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ehave a valid access authorization that is demonstrated by assigned official government duties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(2)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ps-6.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esatisfy associated personnel security criteria; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(2)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ps-6.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ehave read, understood, and signed a nondisclosure agreement.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(2)(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access agreements for organizational information and information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel security criteria\u003c/p\u003e", + "\u003cp class=\"object\"\u003esigned nondisclosure agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel who have signed nondisclosure agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for access to classified information requiring special protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ps.6.3.", + "title": "POST-EMPLOYMENT REQUIREMENTS", + "props": [ + { + "class": "name", + "value": "PS-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ps-6.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ps-6.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ps-6.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(3)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ps-6.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires individuals to sign an acknowledgement of these requirements, if applicable, as part of granting initial access to covered information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(3)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access agreements for organizational information and information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esigned post-employment acknowledgement forms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of applicable, legally binding post-employment requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel who have signed access agreements that include post-employment requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for post-employment requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting notifications and individual acknowledgements of post-employment requirements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ps.7", + "title": "THIRD-PARTY PERSONNEL SECURITY", + "params": [ + { + "id": "ps-7_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-7" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ps-7a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes personnel security requirements including security roles and responsibilities for third-party providers;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7a." + } + ] + }, + { + "class": "item", + "id": "smm_ps-7b.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires third-party providers to comply with personnel security policies and procedures established by the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7b." + } + ] + }, + { + "class": "item", + "id": "smm_ps-7c.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments personnel security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7c." + } + ] + }, + { + "class": "item", + "id": "smm_ps-7d.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires third-party providers to notify \u003cinsert param-id=\"ps-7_a\"/\u003e of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges within \u003cinsert param-id=\"ps-7_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7d." + } + ] + }, + { + "class": "item", + "id": "smm_ps-7e.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors provider compliance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThird-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. Third-party providers may have personnel working at organizational facilities with credentials, badges, or information system privileges issued by organizations. Notifications of third-party personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.2" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.4" + }, + { + "href": "#ps.5" + }, + { + "href": "#ps.6" + }, + { + "href": "#sa.9" + }, + { + "href": "#sa.21" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-7.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes personnel security requirements, including security roles and responsibilities, for third-party providers;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires third-party providers to comply with personnel security policies and procedures established by the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-7.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments personnel security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-7.d.", + "props": [ + { + "class": "name", + "value": "PS-7(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-7.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-7.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-7.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires third-party providers to notify organization-defined personnel or roles within the organization-defined time period of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7(d)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-7.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors provider compliance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7(e)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing third-party personnel security\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of personnel security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecompliance monitoring process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethird-party providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing and monitoring third-party personnel security\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing monitoring of provider compliance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-35", + "value": "NIST Special Publication 800-35" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ps.8", + "title": "PERSONNEL SANCTIONS", + "params": [ + { + "id": "ps-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-8" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ps-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys a formal sanctions process for individuals failing to comply with established information security policies and procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-8a." + } + ] + }, + { + "class": "item", + "id": "smm_ps-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies \u003cinsert param-id=\"ps-8_a\"/\u003e within \u003cinsert param-id=\"ps-8_b\"/\u003e when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational sanctions processes reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.4" + }, + { + "href": "#ps.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-8.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys a formal sanctions process for individuals failing to comply with established information security policies and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-8(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-8.b.", + "props": [ + { + "class": "name", + "value": "PS-8(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-8.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified when a formal employee sanctions process is initiated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-8(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-8.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-8(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-8.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies organization-defined personnel or roles within the organization-defined time period when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-8(b)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing personnel sanctions\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of formal sanctions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing personnel sanctions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing notifications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "RISK ASSESSMENT", + "controls": [ + { + "class": "SP800-53", + "id": "ra.1", + "title": "RISK ASSESSMENT POLICY AND PROCEDURES", + "params": [ + { + "id": "ra-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ra-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ra-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "RA-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ra-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ra-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ra-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ra-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ra-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ra-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eRisk assessment policy \u003cinsert param-id=\"ra-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ra-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eRisk assessment procedures \u003cinsert param-id=\"ra-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the RA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-1.a.1.", + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a risk assessment policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the risk assessment policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the risk assessment policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.2.", + "props": [ + { + "class": "name", + "value": "RA-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.b.1.", + "props": [ + { + "class": "name", + "value": "RA-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current risk assessment policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current risk assessment policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.b.2.", + "props": [ + { + "class": "name", + "value": "RA-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current risk assessment procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current risk assessment procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003erisk assessment policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with risk assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ra.2", + "title": "SECURITY CATEGORIZATION", + "props": [ + { + "class": "name", + "value": "RA-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ra-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eCategorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2a." + } + ] + }, + { + "class": "item", + "id": "smm_ra-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments the security categorization results (including supporting rationale) in the security plan for the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2b." + } + ] + }, + { + "class": "item", + "id": "smm_ra-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClearly defined authorization boundaries are a prerequisite for effective security categorization decisions. Security categories describe the potential adverse impacts to organizational operations, organizational assets, and individuals if organizational information and information systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of chief information officers, senior information security officers, information system owners, mission/business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes carried out by organizations facilitate the development of inventories of information assets, and along with CM-8, mappings to specific information system components where information is processed, stored, or transmitted.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + }, + { + "href": "#mp.4" + }, + { + "href": "#ra.3" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecategorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments the security categorization results (including supporting rationale) in the security plan for the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity planning policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security categorization of organizational information and information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity categorization documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security categorization and risk assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security categorization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-60", + "value": "NIST Special Publication 800-60" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ra.3", + "title": "RISK ASSESSMENT", + "params": [ + { + "id": "ra-3_a", + "desc": "organization-defined document", + "value": "organization-defined document" + }, + { + "id": "ra-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ra-3_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ra-3_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "RA-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ra-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eConducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3a." + } + ] + }, + { + "class": "item", + "id": "smm_ra-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments risk assessment results in [Selection: security plan; risk assessment report; \u003cinsert param-id=\"ra-3_a\"/\u003e];\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3b." + } + ] + }, + { + "class": "item", + "id": "smm_ra-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews risk assessment results \u003cinsert param-id=\"ra-3_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3c." + } + ] + }, + { + "class": "item", + "id": "smm_ra-3d.", + "prose": [ + "\u003cp class=\"description\"\u003eDisseminates risk assessment results to \u003cinsert param-id=\"ra-3_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3d." + } + ] + }, + { + "class": "item", + "id": "smm_ra-3e.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the risk assessment \u003cinsert param-id=\"ra-3_d\"/\u003e or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also take into account risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems. Risk assessments (either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.2" + }, + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information the system processes, stores, or transmits;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.b.", + "props": [ + { + "class": "name", + "value": "RA-3(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a document in which risk assessment results are to be documented (if not documented in the security plan or risk assessment report);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments risk assessment results in one of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-3.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe security plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe risk assessment report; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(b)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.b.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization-defined document;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(b)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.c.", + "props": [ + { + "class": "name", + "value": "RA-3(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-3.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review risk assessment results;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews risk assessment results with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.d.", + "props": [ + { + "class": "name", + "value": "RA-3(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-3.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom risk assessment results are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates risk assessment results to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + 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class=\"object\"\u003erisk assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment results\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with risk assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for risk assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy04/m04-04.pdf", + "value": "OMB Memorandum 04-04" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://idmanagement.gov", + "value": "http://idmanagement.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ra.4", + "title": "RISK ASSESSMENT UPDATE", + "props": [ + { + "class": "name", + "value": "RA-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into RA-3\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ra.3" + } + ] + }, + { + "class": "SP800-53", + "id": "ra.5", + "title": "VULNERABILITY SCANNING", + "params": [ + { + "id": "ra-5_a", + "desc": "organization-defined frequency and/or randomly in accordance with organization-defined process", + "value": "organization-defined frequency and/or randomly in accordance with organization-defined process" + }, + { + "id": "ra-5_b", + "desc": "organization-defined response times", + "value": "organization-defined response times" + }, + { + "id": "ra-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "RA-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ra-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eScans for vulnerabilities in the information system and hosted applications \u003cinsert param-id=\"ra-5_a\"/\u003e and when new vulnerabilities potentially affecting the system/applications are identified and reported;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5a." + } + ] + }, + { + "class": "item", + "id": "smm_ra-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ra-5b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eEnumerating platforms, software flaws, and improper configurations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ra-5b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eFormatting checklists and test procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5b.2." + } + ] + }, + { + "class": "item", + "id": "sms_ra-5b.3.", + "prose": [ + "\u003cp class=\"description\"\u003eMeasuring vulnerability impact;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5b.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ra-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eAnalyzes vulnerability scan reports and results from security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5c." + } + ] + }, + { + "class": "item", + "id": "smm_ra-5d.", + "prose": [ + "\u003cp class=\"description\"\u003eRemediates legitimate vulnerabilities \u003cinsert param-id=\"ra-5_b\"/\u003e in accordance with an organizational assessment of risk; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5d." + } + ] + }, + { + "class": "item", + "id": "smm_ra-5e.", + "prose": [ + "\u003cp class=\"description\"\u003eShares information obtained from the vulnerability scanning process and security control assessments with \u003cinsert param-id=\"ra-5_c\"/\u003e to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.6" + }, + { + "href": "#ra.2" + }, + { + "href": "#ra.3" + }, + { + "href": "#sa.11" + }, + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.a.", + "props": [ + { + "class": "name", + "value": "RA-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.a.1.", + "props": [ + { + "class": "name", + "value": "RA-5(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency for conducting vulnerability scans on the information system and hosted applications; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the process for conducting random vulnerability scans on the information system and hosted applications;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ein accordance with the organization-defined frequency and/or organization-defined process for conducting random scans, scans for vulnerabilities in:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ehosted applications;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[2][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen new vulnerabilities potentially affecting the system/applications are identified and reported, scans for vulnerabilities in:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.a.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.a.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ehosted applications;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.b.1.", + "props": [ + { + "class": "name", + "value": "RA-5(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eenumerating platforms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eenumerating software flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(b)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.b.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eenumerating improper configurations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(b)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.b.2.", + "props": [ + { + "class": "name", + "value": "RA-5(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eformatting checklists;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eformatting test procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(b)(2)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emeasuring vulnerability impact;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(b)(3)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.c.", + "props": [ + { + "class": "name", + "value": "RA-5(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalyzes vulnerability scan reports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalyzes results from security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.d.", + "props": [ + { + "class": "name", + "value": "RA-5(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines response times to remediate legitimate vulnerabilities in accordance with an organizational assessment of risk;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eremediates legitimate vulnerabilities within the organization-defined response times in accordance with an organizational assessment of risk;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(d)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.e.", + "props": [ + { + "class": "name", + "value": "RA-5(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles with whom information obtained from the vulnerability scanning process and security control assessments is to be shared;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eshares information obtained from the vulnerability scanning process with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(e)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.e.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eshares information obtained from security control assessments with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(e)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning tools and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with risk assessment, security control assessment and vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with vulnerability remediation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability scanning, analysis, remediation, and information sharing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ra.5.1.", + "title": "UPDATE TOOL CAPABILITY", + "props": [ + { + "class": "name", + "value": "RA-5 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This updating process helps to ensure that potential vulnerabilities in the information system are identified and addressed as quickly as possible.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eProcedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning tools and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.2.", + "title": "UPDATE BY FREQUENCY / PRIOR TO NEW SCAN / WHEN IDENTIFIED", + "props": [ + { + "class": "name", + "value": "RA-5 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization updates the information system vulnerabilities scanned [Selection (one or more): \u003cinsert param-id=\"ra-5_d\"/\u003e; prior to a new scan; when new vulnerabilities are identified and reported].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#si.3" + }, + { + "href": "#si.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ra-5.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to update the information system vulnerabilities scanned;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the information system vulnerabilities scanned one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(2)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ra-5.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(2)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprior to a new scan; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(2)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.2.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen new vulnerabilities are identified and reported.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(2)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eProcedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning tools and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ra-5_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.3.", + "title": "BREADTH / DEPTH OF COVERAGE", + "props": [ + { + "class": "name", + "value": "RA-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs vulnerability scanning procedures that can identify the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs vulnerability scanning procedures that can identify:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ra-5.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe breadth of coverage (i.e., information system components scanned); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe depth of coverage (i.e., vulnerabilities checked).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eProcedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning tools and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.4.", + "title": "DISCOVERABLE INFORMATION", + "props": [ + { + "class": "name", + "value": "RA-5 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization determines what information about the information system is discoverable by adversaries and subsequently takes \u003cinsert param-id=\"ra-5_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDiscoverable information includes information that adversaries could obtain without directly compromising or breaching the information system, for example, by collecting information the system is exposing or by conducting extensive searches of the web. Corrective actions can include, for example, notifying appropriate organizational personnel, removing designated information, or changing the information system to make designated information less relevant or attractive to adversaries.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ra-5.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines corrective actions to be taken if information about the information system is discoverable by adversaries;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines what information about the information system is discoverable by adversaries; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esubsequently takes organization-defined corrective actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(4)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eProcedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003epenetration test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of corrective actions taken\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with vulnerability scanning and/or penetration testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for risk response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for incident management and response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for risk response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for incident management and response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing risk response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing incident management and response\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ra-5_e", + "desc": "organization-defined corrective actions", + "value": "organization-defined corrective actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.5.", + "title": "PRIVILEGED ACCESS", + "props": [ + { + "class": "name", + "value": "RA-5 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements privileged access authorization to \u003cinsert param-id=\"ra-5_f\"/\u003e for selected \u003cinsert param-id=\"ra-5_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, the nature of the vulnerability scanning may be more intrusive or the information system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and also protects the sensitive nature of such scanning.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ra-5.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system components to which privileged access is authorized for selected vulnerability scanning activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines vulnerability scanning activities selected for privileged access authorization to organization-defined information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements privileged access authorization to organization-defined information system components for selected organization-defined vulnerability scanning activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system components for vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel access authorization list\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorization credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for access control to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for configuration management of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ra-5_f", + "desc": "organization-identified information system components", + "value": "organization-identified information system components" + }, + { + "id": "ra-5_g", + "desc": "organization-defined vulnerability scanning activities", + "value": "organization-defined vulnerability scanning activities" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.6.", + "title": "AUTOMATED TREND ANALYSES", + "props": [ + { + "class": "name", + "value": "RA-5 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ir.4" + }, + { + "href": "#ir.5" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing trend analysis of vulnerability scan results\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.7.", + "title": "AUTOMATED DETECTION AND NOTIFICATION OF UNAUTHORIZED COMPONENTS", + "props": [ + { + "class": "name", + "value": "RA-5 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.8" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.8.", + "title": "REVIEW HISTORIC AUDIT LOGS", + "props": [ + { + "class": "name", + "value": "RA-5 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#au.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of audit log reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003e\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with audit record review responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp 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"props": [ + { + "class": "name", + "value": "RA-6" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs a technical surveillance countermeasures survey at \u003cinsert param-id=\"ra-6_a\"/\u003e [Selection (one or more): \u003cinsert param-id=\"ra-6_b\"/\u003e; \u003cinsert param-id=\"ra-6_c\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTechnical surveillance countermeasures surveys are performed by qualified personnel to detect the presence of technical surveillance devices/hazards and to identify technical security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities. Such surveys provide evaluations of the technical security postures of organizations and facilities and typically include thorough visual, electronic, and physical examinations in and about surveyed facilities. The surveys also provide useful input into risk assessments and organizational exposure to potential adversaries.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-6-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines locations to employ technical surveillance countermeasure surveys;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-6[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-6-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to employ technical surveillance countermeasure surveys;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-6[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-6-3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines events or indicators which, if they occur, trigger a technical surveillance countermeasures survey;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-6[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-6-4.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys a technical surveillance countermeasures survey at organization-defined locations one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-6[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-6-4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency; 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and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_sa-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_sa-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_sa-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem and services acquisition policy \u003cinsert param-id=\"sa-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_sa-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem and services acquisition procedures \u003cinsert param-id=\"sa-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-1.a.1.", + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a system and services acquisition policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-1.a.1.1.b.", 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+ "class": "name", + "value": "SA-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the system and services acquisition policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the system and services acquisition policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-1.a.2.", + "props": [ + { + "class": "name", + "value": "SA-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": 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organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines information security requirements for the information system or information system service in mission/business process planning;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-2a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines, documents, and allocates the resources required to protect the information system or information system service as part of its capital planning and investment control process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-2b." + } + ] + }, + { + "class": "item", + "id": "smm_sa-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes a discrete line item for information security in organizational programming and budgeting documentation.\u003c/p\u003e" + ], + "props": [ + { + 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system using \u003cinsert param-id=\"sa-3_a\"/\u003e that incorporates information security considerations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines and documents information security roles and responsibilities throughout the system development life cycle;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3b." + } + ] + }, + { + "class": "item", + "id": "smm_sa-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies individuals having information security roles and responsibilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3c." + } + ] + }, + { + "class": "item", + "id": "smm_sa-3d.", + "prose": [ + "\u003cp class=\"description\"\u003eIntegrates the organizational information security risk management process into system development life cycle activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA well-defined system development life cycle provides the foundation for the successful development, implementation, and operation of organizational information systems. To apply the required security controls within the system development life cycle requires a basic understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical missions/business functions. The security engineering principles in SA-8 cannot be properly applied if individuals that design, code, and test information systems and system components (including information technology products) do not understand security. Therefore, organizations include qualified personnel, for example, chief information security officers, security architects, security engineers, and information system security officers in system development life cycle activities to ensure that security requirements are incorporated into organizational information systems. It is equally important that developers include individuals on the development team that possess the requisite security expertise and skills to ensure that needed security capabilities are effectively integrated into the information system. Security awareness and training programs can help ensure that individuals having key security roles and responsibilities have the appropriate experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security requirements into enterprise architecture also helps to ensure that important security considerations are addressed early in the system development life cycle and that those considerations are directly related to the organizational mission/business processes. This process also facilitates the integration of the information security architecture into the enterprise architecture, consistent with organizational risk management and information security strategies.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#pm.7" + }, + { + "href": "#sa.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-3.a.", + "props": [ + { + "class": "name", + "value": "SA-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a system development life cycle that incorporates information security considerations to be used to manage the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emanages the information system using the organization-defined system development life cycle;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines and documents information security roles and responsibilities throughout the system development life cycle;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies individuals having information security roles and responsibilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegrates the organizational information security risk management process into system development life cycle activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security into the system development life cycle process\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system development life cycle documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation security risk management strategy/program documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security and system life cycle development responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security risk management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and documenting the SDLC\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for identifying SDLC roles and responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for integrating information security risk management into the SDLC\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the SDLC\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-64", + "value": "NIST Special Publication 800-64" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.4", + "title": "ACQUISITION PROCESS", + "props": [ + { + "class": "name", + "value": "SA-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity functional requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity strength requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4b." + } + ] + }, + { + "class": "item", + "id": "smm_sa-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity assurance requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4c." + } + ] + }, + { + "class": "item", + "id": "smm_sa-4d.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity-related documentation requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4d." + } + ] + }, + { + "class": "item", + "id": "smm_sa-4e.", + "prose": [ + "\u003cp class=\"description\"\u003eRequirements for protecting security-related documentation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4e." + } + ] + }, + { + "class": "item", + "id": "smm_sa-4f.", + "prose": [ + "\u003cp class=\"description\"\u003eDescription of the information system development environment and environment in which the system is intended to operate; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4f." + } + ] + }, + { + "class": "item", + "id": "smm_sa-4g.", + "prose": [ + "\u003cp class=\"description\"\u003eAcceptance criteria.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system components are discrete, identifiable information technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an information system. Information system components include commercial information technology products. Security functional requirements include security capabilities, security functions, and security mechanisms. Security strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to direct attack, and resistance to tampering or bypass. Security assurance requirements include: (i) development processes, procedures, practices, and methodologies; and (ii) evidence from development and assessment activities providing grounds for confidence that the required security functionality has been implemented and the required security strength has been achieved. Security documentation requirements address all phases of the system development life cycle. Security functionality, assurance, and documentation requirements are expressed in terms of security controls and control enhancements that have been selected through the tailoring process. The security control tailoring process includes, for example, the specification of parameter values through the use of assignment and selection statements and the specification of platform dependencies and implementation information. Security documentation provides user and administrator guidance regarding the implementation and operation of security controls. The level of detail required in security documentation is based on the security category or classification level of the information system and the degree to which organizations depend on the stated security capability, functions, or mechanisms to meet overall risk response expectations (as defined in the organizational risk management strategy). Security requirements can also include organizationally mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for information systems, information system components, and information system services are defined in the same manner as such criteria for any organizational acquisition or procurement. The Federal Acquisition Regulation (FAR) Section 7.103 contains information security requirements from FISMA.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#pl.2" + }, + { + "href": "#ps.7" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.11" + }, + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contracts for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity functional requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity strength requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity assurance requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity-related documentation requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-4.e.", + "prose": [ + "\u003cp class=\"decision\"\u003erequirements for protecting security-related documentation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(e)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-4.f.", + "prose": [ + "\u003cp class=\"decision\"\u003edescription of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-4.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system development environment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-4.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe environment in which the system is intended to operate; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(f)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-4.g.", + "prose": [ + "\u003cp class=\"decision\"\u003eacceptance criteria.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(g)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security functional, strength, and assurance requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for determining information system security functional, strength, and assurance requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for developing acquisition contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.4.1.", + "title": "FUNCTIONAL PROPERTIES OF SECURITY CONTROLS", + "props": [ + { + "class": "name", + "value": "SA-4 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFunctional properties of security controls describe the functionality (i.e., security capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security functional requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developer or service provider\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for determining information system security functional, requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for developing acquisition contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.2.", + "title": "DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS", + "props": [ + { + "class": "name", + "value": "SA-4 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes: [Selection (one or more): security-relevant external system interfaces; high-level design; low-level design; source code or hardware schematics; \u003cinsert param-id=\"sa-4_a\"/\u003e] at \u003cinsert param-id=\"sa-4_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may require different levels of detail in design and implementation documentation for security controls employed in organizational information systems, system components, or information system services based on mission/business requirements, requirements for trustworthiness/resiliency, and requirements for analysis and testing. Information systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of multiple subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules with particular emphasis on software and firmware (but not excluding hardware) and the interfaces between modules providing security-relevant functionality. Source code and hardware schematics are typically referred to as the implementation representation of the information system.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines level of detail that the developer is required to provide in design and implementation information for the security controls to be employed in the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines design/implementation information that the developer is to provide for the security controls to be employed (if selected);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes, at the organization-defined level of detail, one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.2.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity-relevant external system interfaces;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.2.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ehigh-level design;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.2.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003elow-level design;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.2.3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003esource code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][d]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.2.3.e.", + "prose": [ + "\u003cp class=\"decision\"\u003ehardware schematics; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][e]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.2.3.f.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined design/implementation information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][f]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system components, or information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003edesign and implementation information for security controls employed in the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developer or service provider\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for determining level of detail for system design and security controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for developing acquisition contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing development of system design details\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-4_a", + "desc": "organization-defined design/implementation information", + "value": "organization-defined design/implementation information" + }, + { + "id": "sa-4_b", + "desc": "organization-defined level of detail", + "value": "organization-defined level of detail" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.3.", + "title": "DEVELOPMENT METHODS / TECHNIQUES / PRACTICES", + "props": [ + { + "class": "name", + "value": "SA-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes \u003cinsert param-id=\"sa-4_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFollowing a well-defined system development life cycle that includes state-of-the-practice software development methods, systems/security engineering methods, quality control processes, and testing, evaluation, and validation techniques helps to reduce the number and severity of latent errors within information systems, system components, and information system services. Reducing the number/severity of such errors reduces the number of vulnerabilities in those systems, components, and services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines state-of-the-practice system/security engineering methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines software development methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines testing/evaluation/validation techniques to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines quality control processes to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.3.5.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[5]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.3.5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined state-of-the-practice system/security engineering methods;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[5][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.3.5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined software development methods;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[5][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.3.5.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined testing/evaluation/validation techniques; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[5][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.3.5.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined quality control processes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[5][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system/security engineering methods to be included in developer’s system development life cycle process\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of software development methods to be included in developer’s system development life cycle process\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of testing/evaluation/validation techniques to be included in developer’s system development life cycle process\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of quality control processes to be included in developer’s system development life cycle process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security and system life cycle responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developer or service provider\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for development methods, techniques, and processes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-4_c", + "desc": "organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes", + "value": "organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.4.", + "title": "ASSIGNMENT OF COMPONENTS TO SYSTEMS", + "props": [ + { + "class": "name", + "value": "SA-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-8 (9)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.8.9." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.5.", + "title": "SYSTEM / COMPONENT / SERVICE CONFIGURATIONS", + "props": [ + { + "class": "name", + "value": "SA-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-4.5.a.", + "prose": [ + "\u003cp class=\"description\"\u003eDeliver the system, component, or service with \u003cinsert param-id=\"sa-4_d\"/\u003e implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-4.5.b.", + "prose": [ + "\u003cp class=\"description\"\u003eUse the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (5)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity configurations include, for example, the U.S. Government Configuration Baseline (USGCB) and any limitations on functions, ports, protocols, and services. Security characteristics include, for example, requiring that all default passwords have been changed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.5.a.", + "props": [ + { + "class": "name", + "value": "SA-4(5)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security configurations to be implemented by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(5)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to deliver the system, component, or service with organization-defined security configurations implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(5)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(5)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configurations to be implemented by developer of the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developer or service provider\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms used to verify that the configuration of the information system, component, or service, as delivered, is as specified\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-4_d", + "desc": "organization-defined security configurations", + "value": "organization-defined security configurations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.6.", + "title": "USE OF INFORMATION ASSURANCE PRODUCTS", + "props": [ + { + "class": "name", + "value": "SA-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-4.6.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (6)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-4.6.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (6)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCOTS IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.6.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(6)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.6.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(6)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configurations to be implemented by developer of the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for ensuring information assurance products are NSA-approved and are evaluated and/or validated products in accordance with NSA-approved procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for selecting and employing evaluated and/or validated information assurance products and services that compose an NSA-approved solution to protect classified information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.7.", + "title": "NIAP-APPROVED PROTECTION PROFILES", + "props": [ + { + "class": "name", + "value": "SA-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-4.7.a.", + "prose": [ + "\u003cp class=\"description\"\u003eLimits the use of commercially provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-4.7.b.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (7)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.7.a.", + "prose": [ + "\u003cp class=\"decision\"\u003elimits the use of commercially-provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(7)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(7)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eNAIP-approved protection profiles\u003c/p\u003e", + "\u003cp class=\"object\"\u003eFIPS-validation information for cryptographic functionality\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for ensuring information assurance products are have been evaluated against a NIAP-approved protection profile or for ensuring products relying on cryptographic functionality are FIPS-validated\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for selecting and employing products/services evaluated against a NIAP-approved protection profile or FIPS-validated products\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.8.", + "title": "CONTINUOUS MONITORING PLAN", + "props": [ + { + "class": "name", + "value": "SA-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains \u003cinsert param-id=\"sa-4_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe objective of continuous monitoring plans is to determine if the complete set of planned, required, and deployed security controls within the information system, system component, or information system service continue to be effective over time based on the inevitable changes that occur. 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SA-9 describes requirements for external information system services with organizations identifying which functions, ports, protocols, and services are provided from external sources.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + }, + { + "href": "#sa.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe functions intended for organizational use;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe ports intended for organizational use;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(9)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.9.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe protocols intended for organizational use; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(9)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.9.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe services intended for organizational use.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(9)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation 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class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.10.", + "title": "USE OF APPROVED PIV PRODUCTS", + "props": [ + { + "class": "name", + "value": "SA-4 (10)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + 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"props": [ + { + "class": "name", + "value": "SA-5" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eObtains administrator documentation for the information system, system component, or information system service that describes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_sa-5a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSecure configuration, installation, and operation of the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": 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class=\"description\"\u003eUser-accessible security functions/mechanisms and how to effectively use those security functions/mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5b.1." + } + ] + }, + { + "class": "item", + "id": "sms_sa-5b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eMethods for user interaction, which enables individuals to use the system, component, or service in a more secure manner; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5b.2." + } + ] + }, + { + "class": "item", + "id": "sms_sa-5b.3.", + "prose": [ + "\u003cp class=\"description\"\u003eUser responsibilities in maintaining the security of the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5b.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_sa-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent and takes \u003cinsert param-id=\"sa-5_a\"/\u003e in response;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5c." + } + ] + }, + { + "class": "item", + "id": "smm_sa-5d.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects documentation as required, in accordance with the risk management strategy; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5d." + } + ] + }, + { + "class": "item", + "id": "smm_sa-5e.", + "prose": [ + "\u003cp class=\"description\"\u003eDistributes documentation to \u003cinsert param-id=\"sa-5_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control helps organizational personnel understand the implementation and operation of security controls associated with information systems, system components, and information system services. Organizations consider establishing specific measures to determine the quality/completeness of the content provided. The inability to obtain needed documentation may occur, for example, due to the age of the information system/component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the effective implementation or operation of security controls. The level of protection provided for selected information system, component, or service documentation is commensurate with the security category or classification of the system. For example, documentation associated with a key DoD weapons system or command and control system would typically require a higher level of protection than a routine administrative system. Documentation that addresses information system vulnerabilities may also require an increased level of protection. Secure operation of the information system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + }, + { + "href": "#pl.2" + }, + { + "href": "#pl.4" + }, + { + "href": "#ps.2" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtains administrator documentation for the information system, system component, or information system service that describes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.a.1.", + "props": [ + { + "class": "name", + "value": "SA-5(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esecure configuration of the system, system component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esecure installation of the system, system component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esecure operation of the system, system component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.a.2.", + "props": [ + { + "class": "name", + "value": "SA-5(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.a.2.1.", + "prose": 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"props": [ + { + "class": "name", + "value": "SA-5(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.b.1.", + "props": [ + { + "class": "name", + "value": "SA-5(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003euser-accessible security functions/mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ehow to effectively use those functions/mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emethods for user interaction, which enables individuals to use the system, component, or service in a more secure manner;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(b)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003euser responsibilities in maintaining the security of the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(b)(3)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.c.", + "props": [ + { + "class": "name", + "value": "SA-5(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines actions to be taken after documented attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003etakes organization-defined actions in response;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(c)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects documentation as required, in accordance with the risk management strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.e.", + "props": [ + { + "class": "name", + "value": "SA-5(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or 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response to documented attempts to obtain information system, system component, or information system service documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk management strategy documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for obtaining, protecting, and distributing information system administrator and user documentation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.5.1.", + "title": "FUNCTIONAL PROPERTIES OF SECURITY CONTROLS", + "props": [ + { + "class": "name", + "value": "SA-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.4.1." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.5.2.", + "title": "SECURITY-RELEVANT EXTERNAL SYSTEM INTERFACES", + "props": [ + { + "class": "name", + "value": "SA-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4 (2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.4.2." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.5.3.", + "title": "HIGH-LEVEL DESIGN", + "props": [ + { + "class": "name", + "value": "SA-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4 (2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.4.2." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.5.4.", + "title": "LOW-LEVEL DESIGN", + "props": [ + { + "class": "name", + "value": "SA-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4 (2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.4.2." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.5.5.", + "title": "SOURCE CODE", + "props": [ + { + "class": "name", + "value": "SA-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4 (2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.4.2." + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.6", + "title": "SOFTWARE USAGE RESTRICTIONS", + "props": [ + { + "class": "name", + "value": "SA-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-10 and SI-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.10" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "SP800-53", + "id": "sa.7", + "title": "USER-INSTALLED SOFTWARE", + "props": [ + { + "class": "name", + "value": "SA-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-11 and SI-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.11" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "SP800-53", + "id": "sa.8", + "title": "SECURITY ENGINEERING PRINCIPLES", + "props": [ + { + "class": "name", + "value": "SA-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations apply security engineering principles primarily to new development information systems or systems undergoing major upgrades. For legacy systems, organizations apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware within those systems. Security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security requirements into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring that system developers are trained on how to build secure software; (vi) tailoring security controls to meet organizational and operational needs; (vii) performing threat modeling to identify use cases, threat agents, attack vectors, and attack patterns as well as compensating controls and design patterns needed to mitigate risk; and (viii) reducing risk to acceptable levels, thus enabling informed risk management decisions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.7" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.17" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization applies information system security engineering principles in: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-8-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe specification of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-8[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-8-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe design of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-8[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-8-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe development of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-8[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-8-4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe implementation of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-8[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-8-5.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe modification of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-8[5]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security engineering principles used in the specification, design, development, implementation, and modification of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation security requirements and specifications for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system specification, design, development, implementation, and modification responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for applying security engineering principles in information system specification, design, development, implementation, and modification\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the application of security engineering principles in information system specification, design, development, implementation, and modification\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-27", + "value": "NIST Special Publication 800-27" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.9", + "title": "EXTERNAL INFORMATION SYSTEM SERVICES", + "params": [ + { + "id": "sa-9_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + }, + { + "id": "sa-9_b", + "desc": "organization-defined processes, methods, and techniques", + "value": "organization-defined processes, methods, and techniques" + } + ], + "props": [ + { + "class": "name", + "value": "SA-9" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-9a.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires that providers of external information system services comply with organizational information security requirements and employ \u003cinsert param-id=\"sa-9_a\"/\u003e in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-9b.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines and documents government oversight and user roles and responsibilities with regard to external information system services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9b." + } + ] + }, + { + "class": "item", + "id": "smm_sa-9c.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"sa-9_b\"/\u003e to monitor security control compliance by external service providers on an ongoing basis.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal information system services are services that are implemented outside of the authorization boundaries of organizational information systems. This includes services that are used by, but not a part of, organizational information systems. FISMA and OMB policy require that organizations using external service providers that are processing, storing, or transmitting federal information or operating information systems on behalf of the federal government ensure that such providers meet the same security requirements that federal agencies are required to meet. Organizations establish relationships with external service providers in a variety of ways including, for example, through joint ventures, business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, and supply chain exchanges. The responsibility for managing risks from the use of external information system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External information system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for security controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.3" + }, + { + "href": "#ir.7" + }, + { + "href": "#ps.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-9.a.", + "props": [ + { + "class": "name", + "value": "SA-9(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-9.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security controls to be employed by providers of external information system services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-9.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that providers of external information system services comply with organizational information security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-9.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that providers of external information system services employ organization-defined security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-9.b.", + "props": [ + { + "class": "name", + "value": "SA-9(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-9.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines and documents government oversight with regard to external information system services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-9.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines and documents user roles and responsibilities with regard to external information system services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-9.c.", + "props": [ + { + "class": "name", + "value": "SA-9(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-9.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines processes, methods, and techniques to be employed to monitor security control compliance by external service providers; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-9.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined processes, methods, and techniques to monitor security control compliance by external service providers on an ongoing basis.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing methods and techniques for monitoring security control compliance by external service providers of information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts, service-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational security requirements and security specifications for external provider services\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity control assessment evidence from external providers of information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal providers of information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring security control compliance by external service providers on an ongoing basis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for monitoring security control compliance by external service providers on an ongoing basis\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.9.1.", + "title": "RISK ASSESSMENTS / ORGANIZATIONAL APPROVALS", + "props": [ + { + "class": "name", + "value": "SA-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-9.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eConducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-9.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the acquisition or outsourcing of dedicated information security services is approved by \u003cinsert param-id=\"sa-9_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.6" + }, + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(1)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.1.b.", + "props": [ + { + "class": "name", + "value": "SA-9(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles designated to approve the acquisition or outsourcing of dedicated information security services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(1)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the acquisition or outsourcing of dedicated information security services is approved by organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(1)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapproval records for acquisition or outsourcing of dedicated information security services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal providers of information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated information security services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for approving the outsourcing of dedicated information security services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing risk assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing approval processes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-9_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.9.2.", + "title": "IDENTIFICATION OF FUNCTIONS / PORTS / PROTOCOLS / SERVICES", + "props": [ + { + "class": "name", + "value": "SA-9 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires providers of \u003cinsert param-id=\"sa-9_d\"/\u003e to identify the functions, ports, protocols, and other services required for the use of such services.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be particularly useful when the need arises to understand the trade-offs involved in restricting certain functions/services or blocking certain ports/protocols.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external information system services for which providers of such services are to identify the functions, ports, protocols, and other services required for the use of such services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires providers of organization-defined external information system services to identify:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(2)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe functions required for the use of such services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(2)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe ports required for the use of such services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(2)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.2.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe protocols required for the use of such services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(2)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.2.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe other services required for the use of such services.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(2)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation, service-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational security requirements and security specifications for external service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of required functions, ports, protocols, and other services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal providers of information system services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "sa-9_d", + "desc": "organization-defined external information system services", + "value": "organization-defined external information system services" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.9.3.", + "title": "ESTABLISH / MAINTAIN TRUST RELATIONSHIP WITH PROVIDERS", + "props": [ + { + "class": "name", + "value": "SA-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes, documents, and maintains trust relationships with external service providers based on \u003cinsert param-id=\"sa-9_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe degree of confidence that the risk from using external services is at an acceptable level depends on the trust that organizations place in the external providers, individually or in combination. Trust relationships can help organization to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered. Such relationships can be complicated due to the number of potential entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and the types of interactions between the parties. In some cases, the degree of trust is based on the amount of direct control organizations are able to exert on external service providers with regard to employment of security controls necessary for the protection of the service/information and the evidence brought forth as to the effectiveness of those controls. The level of control is typically established by the terms and conditions of the contracts or service-level agreements and can range from extensive control (e.g., negotiating contracts or agreements that specify security requirements for the providers) to very limited control (e.g., using contracts or service-level agreements to obtain commodity services such as commercial telecommunications services). In other cases, levels of trust are based on factors that convince organizations that required security controls have been employed and that determinations of control effectiveness exist. For example, separately authorized external information system services provided to organizations through well-established business relationships may provide degrees of trust in such services within the tolerable risk range of the organizations using the services. External service providers may also outsource selected services to other external entities, making the trust relationship more difficult and complicated to manage. Depending on the nature of the services, organizations may find it very difficult to place significant trust in external providers. This is not due to any inherent untrustworthiness on the part of providers, but to the intrinsic level of risk in the services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines requirements, properties, factors, or conditions defining acceptable trust relationships;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ebased on organization-defined requirements, properties, factors, or conditions defining acceptable trust relationships:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(3)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.3.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes trust relationships with external service providers;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(3)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.3.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments trust relationships with external service providers; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(3)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.3.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains trust relationships with external service providers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(3)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational security requirements, properties, factors, or conditions defining acceptable trust relationships\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation of trust relationships with external service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal providers of information system services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "sa-9_e", + "desc": "organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships", + "value": "organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.9.4.", + "title": "CONSISTENT INTERESTS OF CONSUMERS AND PROVIDERS", + "props": [ + { + "class": "name", + "value": "SA-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sa-9_f\"/\u003e to ensure that the interests of \u003cinsert param-id=\"sa-9_g\"/\u003e are consistent with and reflect organizational interests.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAs organizations increasingly use external service providers, the possibility exists that the interests of the service providers may diverge from organizational interests. In such situations, simply having the correct technical, procedural, or operational safeguards in place may not be sufficient if the service providers that implement and control those safeguards are not operating in a manner consistent with the interests of the consuming organizations. Possible actions that organizations might take to address such concerns include, for example, requiring background checks for selected service provider personnel, examining ownership records, employing only trustworthy service providers (i.e., providers with which organizations have had positive experiences), and conducting periodic/unscheduled visits to service provider facilities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external service providers whose interests are to be consistent with and reflect organizational interests;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(4)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational security requirements/safeguards for external service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel security policies for external service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eassessments performed on external service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal providers of information system services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and employing safeguards to ensure consistent interests with external service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing safeguards to ensure consistent interests with external service providers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-9_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "sa-9_g", + "desc": "organization-defined external service providers", + "value": "organization-defined external service providers" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.9.5.", + "title": "PROCESSING, STORAGE, AND SERVICE LOCATION", + "props": [ + { + "class": "name", + "value": "SA-9 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization restricts the location of [Selection (one or more): information processing; information/data; information system services] to \u003cinsert param-id=\"sa-9_h\"/\u003e based on \u003cinsert param-id=\"sa-9_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe location of information processing, information/data storage, or information system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions/business functions. This situation exists when external providers control the location of processing, storage or services. The criteria external providers use for the selection of processing, storage, or service locations may be different from organizational criteria. For example, organizations may want to ensure that data/information storage locations are restricted to certain locations to facilitate incident response activities (e.g., forensic analyses, after-the-fact investigations) in case of information security breaches/compromises. Such incident response activities may be adversely affected by the governing laws or protocols in the locations where processing and storage occur and/or the locations from which information system services emanate.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines locations where organization-defined information processing, information/data, and/or information system services are to be restricted;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines requirements or conditions to restrict the location of information processing, information/data, and/or information system services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricts the location of one or more of the following to organization-defined locations based on organization-defined requirements or conditions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(5)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.5.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation processing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(5)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.5.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation/data; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(5)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.5.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation services.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(5)[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003erestricted locations for information processing\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation/data and/or information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation processing, information/data, and/or information system services to be maintained in restricted locations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational security requirements or conditions for external providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal providers of information system services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining requirements to restrict locations of information processing, information/data, or information services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for ensuring the location is restricted in accordance with requirements or conditions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-9_h", + "desc": "organization-defined locations", + "value": "organization-defined locations" + }, + { + "id": "sa-9_i", + "desc": "organization-defined requirements or conditions", + "value": "organization-defined requirements or conditions" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-35", + "value": "NIST Special Publication 800-35" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.10", + "title": "DEVELOPER CONFIGURATION MANAGEMENT", + "params": [ + { + "id": "sa-10_a", + "desc": "organization-defined configuration items under configuration management", + "value": "organization-defined configuration items under configuration management" + }, + { + "id": "sa-10_b", + "desc": "organization-defined personnel", + "value": "organization-defined personnel" + } + ], + "props": [ + { + "class": "name", + "value": "SA-10" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-10a.", + "prose": [ + "\u003cp class=\"description\"\u003ePerform configuration management during system, component, or service [Selection (one or more): design; development; implementation; operation];\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-10b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocument, manage, and control the integrity of changes to \u003cinsert param-id=\"sa-10_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10b." + } + ] + }, + { + "class": "item", + "id": "smm_sa-10c.", + "prose": [ + "\u003cp class=\"description\"\u003eImplement only organization-approved changes to the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10c." + } + ] + }, + { + "class": "item", + "id": "smm_sa-10d.", + "prose": [ + "\u003cp class=\"description\"\u003eDocument approved changes to the system, component, or service and the potential security impacts of such changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10d." + } + ] + }, + { + "class": "item", + "id": "smm_sa-10e.", + "prose": [ + "\u003cp class=\"description\"\u003eTrack security flaws and flaw resolution within the system, component, or service and report findings to \u003cinsert param-id=\"sa-10_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control also applies to organizations conducting internal information systems development and integration. Organizations consider the quality and completeness of the configuration management activities conducted by developers as evidence of applying effective security safeguards. Safeguards include, for example, protecting from unauthorized modification or destruction, the master copies of all material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the information system, information system component, or information system service requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. Configuration items that are placed under configuration management (if existence/use is required by other security controls) include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and software/firmware source code with previous versions; and test fixtures and documentation. Depending on the mission/business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the life cycle.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.9" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-10.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to perform configuration management during one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-10.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esystem, component, or service design;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esystem, component, or service development;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esystem, component, or service implementation; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003esystem, component, or service operation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.b.", + "props": [ + { + "class": "name", + "value": "SA-10(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-10.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines configuration items to be placed under configuration management;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-10.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edocument the integrity of changes to organization-defined items under configuration management;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emanage the integrity of changes to organization-defined items under configuration management;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(b)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.b.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrol the integrity of changes to organization-defined items under configuration management;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(b)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.c.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to implement only organization-approved changes to the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.d.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to document:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-10.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproved changes to the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe potential security impacts of such changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(d)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.e.", + "props": [ + { + "class": "name", + "value": "SA-10(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-10.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel to whom findings, resulting from security flaws and flaw resolution tracked within the system, component, or service, are to be reported;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(e)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-10.e.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003etrack security flaws within the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(e)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.e.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003etrack security flaw resolution within the system, component, or service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(e)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.e.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ereport findings to organization-defined personnel.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(e)[2][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity flaw and flaw resolution tracking records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem change authorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.10.1.", + "title": "SOFTWARE / FIRMWARE INTEGRITY VERIFICATION", + "props": [ + { + "class": "name", + "value": "SA-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement allows organizations to detect unauthorized changes to software and firmware components through the use of tools, techniques, and/or mechanisms provided by developers. Integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esoftware and firmware integrity verification records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem change authorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.2.", + "title": "ALTERNATIVE CONFIGURATION MANAGEMENT PROCESSES", + "props": [ + { + "class": "name", + "value": "SA-10 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf (COTS) information technology products. Alternate configuration management processes include organizational personnel that: (i) are responsible for reviewing/approving proposed changes to information systems, system components, and information system services; and (ii) conduct security impact analyses prior to the implementation of any changes to systems, components, or services (e.g., a configuration control board that considers security impacts of changes during development and includes representatives of both the organization and the developer, when applicable).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides an alternative configuration management process with organizational personnel in the absence of a dedicated developer configuration management team.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.3.", + "title": "HARDWARE INTEGRITY VERIFICATION", + "props": [ + { + "class": "name", + "value": "SA-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement allows organizations to detect unauthorized changes to hardware components through the use of tools, techniques, and/or mechanisms provided by developers. Organizations verify the integrity of hardware components, for example, with hard-to-copy labels and verifiable serial numbers provided by developers, and by requiring the implementation of anti-tamper technologies. Delivered hardware components also include updates to such components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ehardware integrity verification records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.4.", + "title": "TRUSTED GENERATION", + "props": [ + { + "class": "name", + "value": "SA-10 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions and software/firmware source and object code with previous versions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses changes to hardware, software, and firmware components between versions during development. In contrast, SA-10 (1) and SA-10 (3) allow organizations to detect unauthorized changes to hardware, software, and firmware components through the use of tools, techniques, and/or mechanisms provided by developers.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-10.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity-relevant hardware descriptions with previous versions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-10.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware/firmware source and object code with previous versions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration control audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.5.", + "title": "MAPPING INTEGRITY FOR VERSION CONTROL", + "props": [ + { + "class": "name", + "value": "SA-10 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses changes to hardware, software, and firmware components during initial development and during system life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs and source code) and the equivalent data in master copies on-site in operational environments is essential to ensure the availability of organizational information systems supporting critical missions and/or business functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eversion control change/update records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification records between master copies of security-relevant hardware, software, and firmware (including designs and source code)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.6.", + "title": "TRUSTED DISTRIBUTION", + "props": [ + { + "class": "name", + "value": "SA-10 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe trusted distribution of security-relevant hardware, software, and firmware updates helps to ensure that such updates are faithful representations of the master copies maintained by the developer and have not been tampered with during distribution.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.11", + "title": "DEVELOPER SECURITY TESTING AND EVALUATION", + "params": [ + { + "id": "sa-11_a", + "desc": "organization-defined depth and coverage", + "value": "organization-defined depth and coverage" + } + ], + "props": [ + { + "class": "name", + "value": "SA-11" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-11a.", + "prose": [ + "\u003cp class=\"description\"\u003eCreate and implement a security assessment plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-11b.", + "prose": [ + "\u003cp class=\"description\"\u003ePerform [Selection (one or more): unit; integration; system; regression] testing/evaluation at \u003cinsert param-id=\"sa-11_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11b." + } + ] + }, + { + "class": "item", + "id": "smm_sa-11c.", + "prose": [ + "\u003cp class=\"description\"\u003eProduce evidence of the execution of the security assessment plan and the results of the security testing/evaluation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11c." + } + ] + }, + { + "class": "item", + "id": "smm_sa-11d.", + "prose": [ + "\u003cp class=\"description\"\u003eImplement a verifiable flaw remediation process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11d." + } + ] + }, + { + "class": "item", + "id": "smm_sa-11e.", + "prose": [ + "\u003cp class=\"description\"\u003eCorrect flaws identified during security testing/evaluation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopmental security testing/evaluation occurs at all post-design phases of the system development life cycle. Such testing/evaluation confirms that the required security controls are implemented correctly, operating as intended, enforcing the desired security policy, and meeting established security requirements. Security properties of information systems may be affected by the interconnection of system components or changes to those components. These interconnections or changes (e.g., upgrading or replacing applications and operating systems) may adversely affect previously implemented security controls. This control provides additional types of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of security testing/evaluation refers to the rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security assessment plans, flaw remediation processes, and the evidence that the plans/processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#cm.4" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-11.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to create and implement a security plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.b.", + "props": [ + { + "class": "name", + "value": "SA-11(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-11.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the depth of testing/evaluation to be performed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the coverage of testing/evaluation to be performed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to perform one or more of the following testing/evaluation at the organization-defined depth and coverage:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(b)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-11.b.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eunit testing/evaluation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(b)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.b.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegration testing/evaluation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(b)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.b.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003esystem testing/evaluation; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(b)[3][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.b.3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eregression testing/evaluation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(b)[3][d]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.c.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to produce evidence of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-11.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe execution of the security assessment plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe results of the security testing/evaluation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.d.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to implement a verifiable flaw remediation process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.e.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to correct flaws identified during security testing/evaluation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(e)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security test plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of developer security testing results for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity flaw and remediation tracking records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.11.1.", + "title": "STATIC CODE ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eStatic code analysis provides a technology and methodology for security reviews. Such analysis can be used to identify security vulnerabilities and enforce security coding practices. Static code analysis is most effective when used early in the development process, when each code change can be automatically scanned for potential weaknesses. Static analysis can provide clear remediation guidance along with defects to enable developers to fix such defects. Evidence of correct implementation of static analysis can include, for example, aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were fixed. An excessively high density of ignored findings (commonly referred to as ignored or false positives) indicates a potential problem with the analysis process or tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security test plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security testing results\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity flaw and remediation tracking records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003estatic code analysis tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.2.", + "title": "THREAT AND VULNERABILITY ANALYSES", + "props": [ + { + "class": "name", + "value": "SA-11 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to perform threat and vulnerability analyses and subsequent testing/evaluation of the as-built system, component, or service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eApplications may deviate significantly from the functional and design specifications created during the requirements and design phases of the system development life cycle. Therefore, threat and vulnerability analyses of information systems, system components, and information system services prior to delivery are critical to the effective operation of those systems, components, and services. Threat and vulnerability analyses at this phase of the life cycle help to ensure that design or implementation changes have been accounted for, and that any new vulnerabilities created as a result of those changes have been reviewed and mitigated.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.15" + }, + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to perform:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethreat analyses of the as-built, system component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003evulnerability analyses of the as-built, system component, or service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esubsequent testing/evaluation of the as-built, system component, or service.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security test plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of developer security testing results for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system risk assessment reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethreat and vulnerability analysis reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.3.", + "title": "INDEPENDENT VERIFICATION OF ASSESSMENT PLANS / EVIDENCE", + "props": [ + { + "class": "name", + "value": "SA-11 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-11.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires an independent agent satisfying \u003cinsert param-id=\"sa-11_b\"/\u003e to verify the correct implementation of the developer security assessment plan and the evidence produced during security testing/evaluation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-11.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the independent agent is either provided with sufficient information to complete the verification process or granted the authority to obtain such information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndependent agents have the necessary qualifications (i.e., expertise, skills, training, and experience) to verify the correct implementation of developer security assessment plans.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#ca.7" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.3.a.", + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines independence criteria that an independent agent is required to satisfy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires an independent agent satisfying organization-defined independence criteria to verify:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.3.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe correct implementation of the developer security assessment plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.3.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe evidence produced during security testing/evaluation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the independent agent is either:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovided with sufficient information to complete the verification process; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(3)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003egranted the authority to obtain such information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(3)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification and validation reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity test and evaluation plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity test and evaluation results for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification agent\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-11_b", + "desc": "organization-defined independence criteria", + "value": "organization-defined independence criteria" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.4.", + "title": "MANUAL CODE REVIEWS", + "props": [ + { + "class": "name", + "value": "SA-11 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to perform a manual code review of \u003cinsert param-id=\"sa-11_c\"/\u003e using \u003cinsert param-id=\"sa-11_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eManual code reviews are usually reserved for the critical software and firmware components of information systems. Such code reviews are uniquely effective at identifying weaknesses that require knowledge of the application�s requirements or context which are generally unavailable to more automated analytic tools and techniques such as static or dynamic analysis. Components benefiting from manual review include for example, verifying access control matrices against application controls and reviewing more detailed aspects of cryptographic implementations and controls.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines specific code for which the developer of the information system, system component, or information system service is required to perform a manual code review;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines processes, procedures, and/or techniques to be used when the developer performs a manual code review of organization-defined specific code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to perform a manual code review of organization-defined specific code using organization-defined processes, procedures, and/or techniques.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(4)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocesses, procedures, and/or techniques for performing manual code reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security testing and evaluation plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security testing and evaluation results\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of code requiring manual reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of manual code reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification agent\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-11_c", + "desc": "organization-defined specific code", + "value": "organization-defined specific code" + }, + { + "id": "sa-11_d", + "desc": "organization-defined processes, procedures, and/or techniques", + "value": "organization-defined processes, procedures, and/or techniques" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.5.", + "title": "PENETRATION TESTING", + "props": [ + { + "class": "name", + "value": "SA-11 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to perform penetration testing at \u003cinsert param-id=\"sa-11_e\"/\u003e and with \u003cinsert param-id=\"sa-11_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePenetration testing is an assessment methodology in which assessors, using all available information technology product and/or information system documentation (e.g., product/system design specifications, source code, and administrator/operator manuals) and working under specific constraints, attempt to circumvent implemented security features of information technology products and information systems. Penetration testing can include, for example, white, gray, or black box testing with analyses performed by skilled security professionals simulating adversary actions. The objective of penetration testing is to uncover potential vulnerabilities in information technology products and information systems resulting from implementation errors, configuration faults, or other operational deployment weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide greater levels of analysis than would ordinarily be possible.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines for the developer of the information system, system component, or information system service:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(5)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.5.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe breadth of penetration testing to be performed by the developer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(5)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.5.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe depth of penetration testing to be performed by the developer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(5)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines constraints under which the developer is to perform penetration testing; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to perform penetration testing at organization-defined breadth/depth and with organization-defined constraints.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer penetration testing and evaluation plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer penetration testing and evaluation results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification agent\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-11_e", + "desc": "organization-defined breadth/depth", + "value": "organization-defined breadth/depth" + }, + { + "id": "sa-11_f", + "desc": "organization-defined constraints", + "value": "organization-defined constraints" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.6.", + "title": "ATTACK SURFACE REVIEWS", + "props": [ + { + "class": "name", + "value": "SA-11 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAttack surfaces of information systems are exposed areas that make those systems more vulnerable to cyber attacks. This includes any accessible areas where weaknesses or deficiencies in information systems (including the hardware, software, and firmware components) provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers: (i) analyze both design and implementation changes to information systems; and (ii) mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes, for example, deprecation of unsafe functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security testing and evaluation plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security testing and evaluation results\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of attack surface reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.7.", + "title": "VERIFY SCOPE OF TESTING / EVALUATION", + "props": [ + { + "class": "name", + "value": "SA-11 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at \u003cinsert param-id=\"sa-11_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eVerifying that security testing/evaluation provides complete coverage of required security controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance corresponding to the degree of formality of the analysis. Rigorously demonstrating security control coverage at the highest levels of assurance can be provided by the use of formal modeling and analysis techniques including correlation between control implementation and corresponding test cases.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the depth of testing/evaluation to ensure the scope of security/testing evaluation provides complete coverage of required security controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at the organization-defined depth of testing/evaluation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(7)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security testing and evaluation plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security testing and evaluation results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification agent\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-11_g", + "desc": "organization-defined depth of testing/evaluation", + "value": "organization-defined depth of testing/evaluation" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.8.", + "title": "DYNAMIC CODE ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-11 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to help to ensure that security functionality performs in the manner in which it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security test and evaluation plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity test and evaluation results\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity flaw and remediation tracking reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=50341", + "value": "ISO/IEC 15408" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://nvd.nist.gov", + "value": "http://nvd.nist.gov" + } + ] + }, + { + "citations": [ + { + "href": "http://cwe.mitre.org", + "value": "http://cwe.mitre.org" + } + ] + }, + { + "citations": [ + { + "href": "http://cve.mitre.org", + "value": "http://cve.mitre.org" + } + ] + }, + { + "citations": [ + { + "href": "http://capec.mitre.org", + "value": "http://capec.mitre.org" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.12", + "title": "SUPPLY CHAIN PROTECTION", + "params": [ + { + "id": "sa-12_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SA-12" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects against supply chain threats to the information system, system component, or information system service by employing \u003cinsert param-id=\"sa-12_a\"/\u003e as part of a comprehensive, defense-in-breadth information security strategy.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems (including system components that compose those systems) need to be protected throughout the system development life cycle (i.e., during design, development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). Protection of organizational information systems is accomplished through threat awareness, by the identification, management, and reduction of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to respond to risk. Organizations consider implementing a standardized process to address supply chain risk with respect to information systems and system components, and to educate the acquisition workforce on threats, risk, and required security controls. Organizations use the acquisition/procurement processes to require supply chain entities to implement necessary security safeguards to: (i) reduce the likelihood of unauthorized modifications at each stage in the supply chain; and (ii) protect information systems and information system components, prior to taking delivery of such systems/components. This control also applies to information system services. Security safeguards include, for example: (i) security controls for development systems, development facilities, and external connections to development systems; (ii) vetting development personnel; and (iii) use of tamper-evident packaging during shipping/warehousing. Methods for reviewing and protecting development plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#cm.8" + }, + { + "href": "#ir.4" + }, + { + "href": "#pe.16" + }, + { + "href": "#pl.8" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.10" + }, + { + "href": "#sa.14" + }, + { + "href": "#sa.15" + }, + { + "href": "#sa.18" + }, + { + "href": "#sa.19" + }, + { + "href": "#sc.29" + }, + { + "href": "#sc.30" + }, + { + "href": "#sc.38" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-12-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to protect against supply chain threats to the information system, system component, or information system service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-12-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects against supply chain threats to the information system, system component, or information system service by employing organization-defined security safeguards as part of a comprehensive, defense-in-breadth information security strategy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of supply chain threats\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards to be taken against supply chain threats\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem development life cycle documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining safeguards for and protecting against supply chain threats\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing safeguards for supply chain threats\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.12.1.", + "title": "ACQUISITION STRATEGIES / TOOLS / METHODS", + "props": [ + { + "class": "name", + "value": "SA-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sa-12_b\"/\u003e for the purchase of the information system, system component, or information system service from suppliers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of acquisition and procurement processes by organizations early in the system development life cycle provides an important vehicle to protect the supply chain. Organizations use available all-source intelligence analysis to inform the tailoring of acquisition strategies, tools, and methods. There are a number of different tools and techniques available (e.g., obscuring the end use of an information system or system component, using blind or filtered buys). Organizations also consider creating incentives for suppliers who: (i) implement required security safeguards; (ii) promote transparency into their organizational processes and security practices; (iii) provide additional vetting of the processes and security practices of subordinate suppliers, critical information system components, and services; (iv) restrict purchases from specific suppliers or countries; and (v) provide contract language regarding the prohibition of tainted or counterfeit components. In addition, organizations consider minimizing the time between purchase decisions and required delivery to limit opportunities for adversaries to corrupt information system components or products. Finally, organizations can use trusted/controlled distribution, delivery, and warehousing options to reduce supply chain risk (e.g., requiring tamper-evident packaging of information system components during shipping and warehousing).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the following to be employed for the purchase of the information system, system component, or information system service from suppliers:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003etailored acquisition strategies;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003econtract tools;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprocurement methods; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(1)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined tailored acquisition strategies, contract tools, and procurement methods for the purchase of the information system, system component, or information system service from suppliers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of acquisition strategies, contract tools, and procure methods into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for information systems or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003epurchase orders/requisitions for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem component\u003c/p\u003e", + "\u003cp class=\"object\"\u003eor information system service from suppliers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-12_b", + "desc": "organization-defined tailored acquisition strategies, contract tools, and procurement methods", + "value": "organization-defined tailored acquisition strategies, contract tools, and procurement methods" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.2.", + "title": "SUPPLIER REVIEWS", + "props": [ + { + "class": "name", + "value": "SA-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupplier reviews include, for example: (i) analysis of supplier processes used to design, develop, test, implement, verify, deliver, and support information systems, system components, and information system services; and (ii) assessment of supplier training and experience in developing systems, components, or services with the required security capability. These reviews provide organizations with increased levels of visibility into supplier activities during the system development life cycle to promote more effective supply chain risk management. Supplier reviews can also help to determine whether primary suppliers have security safeguards in place and a practice for vetting subordinate suppliers, for example, second- and third-tier suppliers, and any subcontractors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of supplier due diligence reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for conducting supplier reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing supplier reviews\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.3.", + "title": "TRUSTED SHIPPING AND WAREHOUSING", + "props": [ + { + "class": "name", + "value": "SA-12 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-12 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.12.1." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.4.", + "title": "DIVERSITY OF SUPPLIERS", + "props": [ + { + "class": "name", + "value": "SA-12 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-12 (13)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.12.13." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.5.", + "title": "LIMITATION OF HARM", + "props": [ + { + "class": "name", + "value": "SA-12 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sa-12_c\"/\u003e to limit harm from potential adversaries identifying and targeting the organizational supply chain.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupply chain risk is part of the advanced persistent threat (APT). Security safeguards and countermeasures to reduce the probability of adversaries successfully identifying and targeting the supply chain include, for example: (i) avoiding the purchase of custom configurations to reduce the risk of acquiring information systems, components, or products that have been corrupted via supply chain actions targeted at specific organizations; (ii) employing a diverse set of suppliers to limit the potential harm from any given supplier in the supply chain; (iii) employing approved vendor lists with standing reputations in industry, and (iv) using procurement carve outs (i.e., exclusions to commitments or obligations).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to limit harm from potential adversaries identifying and targeting the organizational supply chain; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards to limit harm from potential adversaries identifying and targeting the organizational supply chain.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards to be taken to protect organizational supply chain against potential supply chain threats\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and employing safeguards to limit harm from adversaries of the organizational supply chain\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the definition and employment of safeguards to protect the organizational supply chain\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-12_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.6.", + "title": "MINIMIZING PROCUREMENT TIME", + "props": [ + { + "class": "name", + "value": "SA-12 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-12 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.12.1." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.7.", + "title": "ASSESSMENTS PRIOR TO SELECTION / ACCEPTANCE / UPDATE", + "props": [ + { + "class": "name", + "value": "SA-12 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization conducts an assessment of the information system, system component, or information system service prior to selection, acceptance, or update.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAssessments include, for example, testing, evaluations, reviews, and analyses. Independent, third-party entities or organizational personnel conduct assessments of systems, components, products, tools, and services. Organizations conduct assessments to uncover unintentional vulnerabilities and intentional vulnerabilities including, for example, malicious code, malicious processes, defective software, and counterfeits. Assessments can include, for example, static analyses, dynamic analyses, simulations, white, gray, and black box testing, fuzz testing, penetration testing, and ensuring that components or services are genuine (e.g., using tags, cryptographic hash verifications, or digital signatures). Evidence generated during security assessments is documented for follow-on actions carried out by organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#sa.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization conducts an assessment of the information system, system component, or information system service prior to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eselection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eacceptance; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(7)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.7.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdate.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(7)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity test and evaluation results\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability assessment results\u003c/p\u003e", + "\u003cp class=\"object\"\u003epenetration testing results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational risk assessment results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for conducting assessments prior to selection, acceptance, or update\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the conducting of assessments prior to selection, acceptance, or update\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.8.", + "title": "USE OF ALL-SOURCE INTELLIGENCE", + "props": [ + { + "class": "name", + "value": "SA-12 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization uses all-source intelligence analysis of suppliers and potential suppliers of the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAll-source intelligence analysis is employed by organizations to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of intelligence products and/or organizations and activities that incorporate all sources of information, most frequently including human intelligence, imagery intelligence, measurement and signature intelligence, signals intelligence, and open source data in the production of finished intelligence. Where available, such information is used to analyze the risk of both intentional and unintentional vulnerabilities from development, manufacturing, and delivery processes, people, and the environment. This review is performed on suppliers at multiple tiers in the supply chain sufficient to manage risks.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization uses all-source intelligence analysis of:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esuppliers of the information system, system component, or information system service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003epotential suppliers of the information system, system component, or information system service.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(8)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of all-source intelligence analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for use of an all-source analysis of suppliers and potential suppliers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the use of all-source analysis of suppliers and potential suppliers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.9.", + "title": "OPERATIONS SECURITY", + "props": [ + { + "class": "name", + "value": "SA-12 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sa-12_d\"/\u003e in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupply chain information includes, for example: user identities; uses for information systems, information system components, and information system services; supplier identities; supplier processes; security requirements; design specifications; testing and evaluation results; and system/component configurations. This control enhancement expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process of identifying critical information and subsequently analyzing friendly actions attendant to operations and other activities to: (i) identify those actions that can be observed by potential adversaries; (ii) determine indicators that adversaries might obtain that could be interpreted or pieced together to derive critical information in sufficient time to cause harm to organizations; (iii) implement safeguards or countermeasures to eliminate or reduce to an acceptable level, exploitable vulnerabilities; and (iv) consider how aggregated information may compromise the confidentiality of users or uses of the supply chain. OPSEC may require organizations to withhold critical mission/business information from suppliers and may include the use of intermediaries to hide the end use, or users, of information systems, system components, or information system services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines Operations Security (OPSEC) safeguards to be employed in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined OPSEC safeguards in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of all-source intelligence analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and employing OPSEC safeguards\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the definition and employment of OPSEC safeguards\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-12_d", + "desc": "organization-defined Operations Security (OPSEC) safeguards", + "value": "organization-defined Operations Security (OPSEC) safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.10.", + "title": "VALIDATE AS GENUINE AND NOT ALTERED", + "props": [ + { + "class": "name", + "value": "SA-12 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sa-12_e\"/\u003e to validate that the information system or system component received is genuine and has not been altered.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor some information system components, especially hardware, there are technical means to help determine if the components are genuine or have been altered. Security safeguards used to validate the authenticity of information systems and information system components include, for example, optical/nanotechnology tagging and side-channel analysis. For hardware, detailed bill of material information can highlight the elements with embedded logic complete with component and production location.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to validate that the information system or system component received is genuine and has not been altered; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards to validate that the information system or system components received is genuine and has not been altered.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(10)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures address the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidentiary documentation (including applicable configurations) indicating the information system, system component, or information system service are genuine and have not been altered\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and employing validation safeguards\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the definition and employment of validation safeguards\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-12_e", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.11.", + "title": "PENETRATION TESTING / ANALYSIS OF ELEMENTS, PROCESSES, AND ACTORS", + "props": [ + { + "class": "name", + "value": "SA-12 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs [Selection (one or more): organizational analysis, independent third-party analysis, organizational penetration testing, independent third-party penetration testing] of \u003cinsert param-id=\"sa-12_f\"/\u003e associated with the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses analysis and/or testing of the supply chain, not just delivered items. Supply chain elements are information technology products or product components that contain programmable logic and that are critically important to information system functions. Supply chain processes include, for example: (i) hardware, software, and firmware development processes; (ii) shipping/handling procedures; (iii) personnel and physical security programs; (iv) configuration management tools/measures to maintain provenance; or (v) any other programs, processes, or procedures associated with the production/distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines supply chain:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.11.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eelements to be analyzed and/or tested;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.11.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprocesses to be analyzed and/or tested;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.11.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eactors to be analyzed and/or tested;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys one or more of the following to analyze and/or test organization-defined supply chain elements, processes, and actors associated with the information system, system component, or information system service:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.11.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganizational analysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.11.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eindependent third party analysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.11.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganizational penetration testing; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.11.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eindependent third-party penetration testing.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of organizational analysis, independent third-party analysis, organizational penetration testing, and/or independent third-party penetration testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of supply chain elements, processes, and actors (associated with the information system, system component, or information system service) subject to analysis and/or testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for analyzing and/or testing supply chain elements, processes, and actors\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and employing methods of analysis/testing of supply chain elements, processes, and actors\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the analysis/testing of supply chain elements, processes, and actors\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-12_f", + "desc": "organization-defined supply chain elements, processes, and actors", + "value": "organization-defined supply chain elements, processes, and actors" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.12.", + "title": "INTER-ORGANIZATIONAL AGREEMENTS", + "props": [ + { + "class": "name", + "value": "SA-12 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes inter-organizational agreements and procedures with entities involved in the supply chain for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe establishment of inter-organizational agreements and procedures provides for notification of supply chain compromises. Early notification of supply chain compromises that can potentially adversely affect or have adversely affected organizational information systems, including critical system components, is essential for organizations to provide appropriate responses to such incidents.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization establishes, with entities involved in the supply chain for the information system, system component, or information system service,:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003einter-organizational agreements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003einter-organizational procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(12)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einter-organizational agreements and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for establishing inter-organizational agreements and procedures with supply chain entities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.13.", + "title": "CRITICAL INFORMATION SYSTEM COMPONENTS", + "props": [ + { + "class": "name", + "value": "SA-12 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sa-12_g\"/\u003e to ensure an adequate supply of \u003cinsert param-id=\"sa-12_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAdversaries can attempt to impede organizational operations by disrupting the supply of critical information system components or corrupting supplier operations. Safeguards to ensure adequate supplies of critical information system components include, for example: (i) the use of multiple suppliers throughout the supply chain for the identified critical components; and (ii) stockpiling of spare components to ensure operation during mission-critical times.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines critical information system components for which security safeguards are to be employed to ensure an adequate supply of such components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to ensure an adequate supply of organization-defined critical information components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(13)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.13.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards to ensure an adequate supply of organization-defined critical information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(13)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical inventory of critical information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einventory records of critical information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards ensuring adequate supply of critical information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and employing security safeguards to ensure an adequate supply of critical information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the security safeguards that ensure an adequate supply of critical information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-12_g", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "sa-12_h", + "desc": "organization-defined critical information system components", + "value": "organization-defined critical information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.14.", + "title": "IDENTITY AND TRACEABILITY", + "props": [ + { + "class": "name", + "value": "SA-12 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes and retains unique identification of \u003cinsert param-id=\"sa-12_i\"/\u003e for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eKnowing who and what is in the supply chains of organizations is critical to gaining visibility into what is happening within such supply chains, as well as monitoring and identifying high-risk events and activities. Without reasonable visibility and traceability into supply chains (i.e., elements, processes, and actors), it is very difficult for organizations to understand and therefore manage risk, and to reduce the likelihood of adverse events. Uniquely identifying acquirer and integrator roles, organizations, personnel, mission and element processes, testing and evaluation procedures, delivery mechanisms, support mechanisms, communications/delivery paths, and disposal/final disposition activities as well as the components and tools used, establishes a foundational identity structure for assessment of supply chain activities. For example, labeling (using serial numbers) and tagging (using radio-frequency identification [RFID] tags) individual supply chain elements including software packages, modules, and hardware devices, and processes associated with those elements can be used for this purpose. Identification methods are sufficient to support the provenance in the event of a supply chain issue or adverse supply chain event.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.14.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the following for the establishment and retention of unique identification:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(14)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.14.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esupply chain elements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(14)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.14.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esupply chain processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(14)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.14.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003esupply chain actors; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(14)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.14.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes and retains unique identification of organization-defined supply chain elements, processes, and actors for the information system, system component, or information system service.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(14)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of supply chain elements, processes, and actors (associated with the information system, system component, or information system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques and/or configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for establishing and retaining unique identification of supply chain elements, processes, and actors\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-12_i", + "desc": "organization-defined supply chain elements, processes, and actors", + "value": "organization-defined supply chain elements, processes, and actors" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.15.", + "title": "PROCESSES TO ADDRESS WEAKNESSES OR DEFICIENCIES", + "props": [ + { + "class": "name", + "value": "SA-12 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEvidence generated during independent or organizational assessments of supply chain elements (e.g., penetration testing, audits, verification/validation activities) is documented and used in follow-on processes implemented by organizations to respond to the risks related to the identified weaknesses and deficiencies. Supply chain elements include, for example, supplier development processes and supplier distribution systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing weaknesses or deficiencies in supply chain elements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eresults of independent or organizational assessments of supply chain controls and processes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts, service-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for addressing weaknesses or deficiencies in supply chain elements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the addressing of weaknesses or deficiencies in supply chain elements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-161", + "value": "NIST Special Publication 800-161" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsNISTIRs.html#NIST-IR-7622", + "value": "NIST Interagency Report 7622" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.13", + "title": "TRUSTWORTHINESS", + "params": [ + { + "id": "sa-13_a", + "desc": "organization-defined information system, information system component, or information system service", + "value": "organization-defined information system, information system component, or information system service" + }, + { + "id": "sa-13_b", + "desc": "organization-defined assurance overlay", + "value": "organization-defined assurance overlay" + } + ], + "props": [ + { + "class": "name", + "value": "SA-13" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-13a.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes the trustworthiness required in the \u003cinsert param-id=\"sa-13_a\"/\u003e supporting its critical missions/business functions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-13a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-13b.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements \u003cinsert param-id=\"sa-13_b\"/\u003e to achieve such trustworthiness.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-13b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control helps organizations to make explicit trustworthiness decisions when designing, developing, and implementing information systems that are needed to conduct critical organizational missions/business functions. Trustworthiness is a characteristic/property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information it processes, stores, or transmits. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Trustworthy systems are important to mission/business success. Two factors affecting the trustworthiness of information systems include: (i) security functionality (i.e., the security features, functions, and/or mechanisms employed within the system and its environment of operation); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application). Developers, implementers, operators, and maintainers of organizational information systems can increase the level of assurance (and trustworthiness), for example, by employing well-defined security policy models, structured and rigorous hardware, software, and firmware development techniques, sound system/security engineering principles, and secure configuration settings (defined by a set of assurance-related security controls in Appendix E). Assurance is also based on the assessment of evidence produced during the system development life cycle. Critical missions/business functions are supported by high-impact systems and the associated assurance requirements for such systems. The additional assurance controls in Table E-4 in Appendix E (designated as optional) can be used to develop and implement high-assurance solutions for specific information systems and system components using the concept of overlays described in Appendix I. Organizations select assurance overlays that have been developed, validated, and approved for community adoption (e.g., cross-organization, governmentwide), limiting the development of such overlays on an organization-by-organization basis. Organizations can conduct criticality analyses as described in SA-14, to determine the information systems, system components, or information system services that require high-assurance solutions. Trustworthiness requirements and assurance overlays can be described in the security plans for organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.2" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.14" + }, + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-13.a.", + "props": [ + { + "class": "name", + "value": "SA-13(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-13.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system, system component, or information system service for which the trustworthiness required is to be described;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-13(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-13.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edescribes the trustworthiness required in organization-defined information system, information system component, or information system service supporting its critical mission/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-13(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-13.b.", + "props": [ + { + "class": "name", + "value": "SA-13(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-13.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines an assurance overlay to be implemented to achieve such trustworthiness; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-13(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-13.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization implements the organization-defined assurance overlay to achieve such trustworthiness.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-13(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing trustworthiness requirements for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity categorization documentation/results\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity authorization package for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorizing official\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#200", + "value": "FIPS Publication 200" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53", + "value": "NIST Special Publication 800-53" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-60", + "value": "NIST Special Publication 800-60" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-64", + "value": "NIST Special Publication 800-64" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.14", + "title": "CRITICALITY ANALYSIS", + "params": [ + { + "id": "sa-14_a", + "desc": "organization-defined information systems, information system components, or information system services", + "value": "organization-defined information systems, information system components, or information system services" + }, + { + "id": "sa-14_b", + "desc": "organization-defined decision points in the system development life cycle", + "value": "organization-defined decision points in the system development life cycle" + } + ], + "props": [ + { + "class": "name", + "value": "SA-14" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies critical information system components and functions by performing a criticality analysis for \u003cinsert param-id=\"sa-14_a\"/\u003e at \u003cinsert param-id=\"sa-14_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCriticality analysis is a key tenet of supply chain risk management and informs the prioritization of supply chain protection activities such as attack surface reduction, use of all-source intelligence, and tailored acquisition strategies. Information system engineers can conduct an end-to-end functional decomposition of an information system to identify mission-critical functions and components. The functional decomposition includes the identification of core organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and beyond the information system boundary. Information system components that allow for unmediated access to critical components or functions are considered critical due to the inherent vulnerabilities such components create. Criticality is assessed in terms of the impact of the function or component failure on the ability of the component to complete the organizational missions supported by the information system. A criticality analysis is performed whenever an architecture or design is being developed or modified, including upgrades.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#pl.2" + }, + { + "href": "#pl.8" + }, + { + "href": "#pm.1" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.13" + }, + { + "href": "#sa.15" + }, + { + "href": "#sa.20" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-14-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems, information system components, or information system services requiring a criticality analysis to identify critical information system components and functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-14[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-14-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines decision points in the system development life cycle when a criticality analysis is to be performed for organization-defined information systems, information system components, or information system services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-14[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-14-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies critical information system components and functions by performing a criticality analysis for organization-defined information systems, information system components, or information system services at organization-defined decisions points in the system development life cycle.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-14[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing criticality analysis requirements for information systems, security plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information systems, information system components, or information system services requiring criticality analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of critical information system components and functions identified by criticality analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecriticality analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness impact analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem development life cycle documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for performing criticality analysis for the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.14.1.", + "title": "CRITICAL COMPONENTS WITH NO VIABLE ALTERNATIVE SOURCING", + "props": [ + { + "class": "name", + "value": "SA-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-20\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.20" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.15", + "title": "DEVELOPMENT PROCESS, STANDARDS, AND TOOLS", + "params": [ + { + "id": "sa-15_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "sa-15_b", + "desc": "organization-defined security requirements", + "value": "organization-defined security requirements" + } + ], + "props": [ + { + "class": "name", + "value": "SA-15" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-15a.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires the developer of the information system, system component, or information system service to follow a documented development process that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_sa-15a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eExplicitly addresses security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a.1." + } + ] + }, + { + "class": "item", + "id": "sms_sa-15a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies the standards and tools used in the development process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a.2." + } + ] + }, + { + "class": "item", + "id": "sms_sa-15a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments the specific tool options and tool configurations used in the development process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a.3." + } + ] + }, + { + "class": "item", + "id": "sms_sa-15a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments, manages, and ensures the integrity of changes to the process and/or tools used in development; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_sa-15b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the development process, standards, tools, and tool options/configurations \u003cinsert param-id=\"sa-15_a\"/\u003e to determine if the process, standards, tools, and tool options/configurations selected and employed can satisfy \u003cinsert param-id=\"sa-15_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopment tools include, for example, programming languages and computer-aided design (CAD) systems. Reviews of development processes can include, for example, the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes enables accurate supply chain risk assessment and mitigation, and requires robust configuration control throughout the life cycle (including design, development, transport, delivery, integration, and maintenance) to track authorized changes and prevent unauthorized changes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.3" + }, + { + "href": "#sa.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-15.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to follow a documented development process that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-15.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eexplicitly addresses security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies the standards and tools used in the development process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.a.3.", + "props": [ + { + "class": "name", + "value": "SA-15(a)(3)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-15.a.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments the specific tool options used in the development process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.a.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments the specific tool configurations used in the development process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)(3)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.a.4.", + "props": [ + { + "class": "name", + "value": "SA-15(a)(4)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-15.a.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments changes to the process and/or tools used in the development;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.a.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emanages changes to the process and/or tools used in the development;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.a.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures the integrity of changes to the process and/or tools used in the development;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)(4)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.b.", + "props": [ + { + "class": "name", + "value": "SA-15(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-15.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to review the development process, standards, tools, and tool options/configurations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security requirements to be satisfied by the process, standards, tools, and tool option/configurations selected and employed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.b.3.", + "props": [ + { + "class": "name", + "value": "SA-15(b)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-15.b.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the development process with the organization-defined frequency to determine if the process selected and employed can satisfy organization-defined security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(b)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.b.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the development standards with the organization-defined frequency to determine if the standards selected and employed can satisfy organization-defined security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(b)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.b.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the development tools with the organization-defined frequency to determine if the tools selected and employed can satisfy organization-defined security requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(b)[3][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.b.3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the development tool options/configurations with the organization-defined frequency to determine if the tool options/configurations selected and employed can satisfy organization-defined security requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(b)[3][d]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of security requirements during the development process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer documentation listing tool options/configuration guides, configuration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumented reviews of development process, standards, tools, and tool options/configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.15.1.", + "title": "QUALITY METRICS", + "props": [ + { + "class": "name", + "value": "SA-15 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-15.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eDefine quality metrics at the beginning of the development process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-15.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvide evidence of meeting the quality metrics [Selection (one or more): \u003cinsert param-id=\"sa-15_c\"/\u003e; \u003cinsert param-id=\"sa-15_d\"/\u003e; upon delivery].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations use quality metrics to establish minimum acceptable levels of information system quality. Metrics may include quality gates which are collections of completion criteria or sufficiency standards representing the satisfactory execution of particular phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or an explicit determination that the warnings have no impact on the effectiveness of required security capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. These metrics can include defining the severity thresholds of vulnerabilities, for example, requiring no known vulnerabilities in the delivered information system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to define quality metrics at the beginning of the development process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(1)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.1.b.", + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to provide evidence of meeting the quality metrics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines program review milestones to provide evidence of meeting the quality metrics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.1.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to provide evidence of meeting the quality metrics one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.1.b.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.1.b.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ein accordance with the organization-defined program review milestones; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.1.b.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eupon delivery of the information system, system component, or information system service.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[3][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of quality metrics\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation evidence of meeting quality metrics\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "sa-15_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "sa-15_d", + "desc": "organization-defined program review milestones", + "value": "organization-defined program review milestones" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.2.", + "title": "SECURITY TRACKING TOOLS", + "props": [ + { + "class": "name", + "value": "SA-15 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system development teams select and deploy security tracking tools, including, for example, vulnerability/work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with system development processes.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of quality metrics\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation evidence of meeting quality metrics\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.3.", + "title": "CRITICALITY ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-15 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to perform a criticality analysis at \u003cinsert param-id=\"sa-15_e\"/\u003e and at \u003cinsert param-id=\"sa-15_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides developer input to the criticality analysis performed by organizations in SA-14. Developer input is essential to such analysis because organizations may not have access to detailed design documentation for information system components that are developed as commercial off-the-shelf (COTS) information technology products (e.g., functional specifications, high-level designs, low-level designs, and source code/hardware schematics).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.4" + }, + { + "href": "#sa.14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the breadth of criticality analysis to be performed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the depth of criticality analysis to be performed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines decision points in the system development life cycle when a criticality analysis is to be performed for the information system, system component, or information system service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to perform a criticality analysis at the organization-defined breadth/depth and at organization-defined decision points in the system development life cycle.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(3)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing criticality analysis requirements for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecriticality analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness impact analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esoftware development life cycle documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsibility for performing criticality analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for performing criticality analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing criticality analysis\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-15_e", + "desc": "organization-defined breadth/depth", + "value": "organization-defined breadth/depth" + }, + { + "id": "sa-15_f", + "desc": "organization-defined decision points in the system development life cycle", + "value": "organization-defined decision points in the system development life cycle" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.4.", + "title": "THREAT MODELING / VULNERABILITY ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-15 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that developers perform threat modeling and a vulnerability analysis for the information system at \u003cinsert param-id=\"sa-15_g\"/\u003e that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-15.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eUses \u003cinsert param-id=\"sa-15_h\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-15.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"sa-15_i\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-15.4.c.", + "prose": [ + "\u003cp class=\"description\"\u003eProduces evidence that meets \u003cinsert param-id=\"sa-15_j\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (4)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sa.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the breadth of threat modeling and vulnerability analysis to be performed by developers for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the depth of threat modeling and vulnerability analysis to be performed by developers for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels to be used in threat modeling and vulnerability analysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(4)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.4.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines tools and methods to be employed in threat modeling and vulnerability analysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(4)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.4.5.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines acceptance criteria for evidence produced from threat modeling and vulnerability analysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(4)[5]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.4.6.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that developers perform threat modeling and a vulnerability analysis for the information system at the organization-defined breadth/depth that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(4)[6]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.4.6.a.", + "prose": [ + "\u003cp class=\"decision\"\u003euses organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(4)[6](a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.4.6.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined tools and methods; 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class=\"object\"\u003enetwork diagram\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation establishing/enforcing organization-defined thresholds for reducing attack surfaces\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of restricted ports, protocols, functions and services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsibility for attack surface reduction thresholds\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining attack surface reduction thresholds\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-15_k", + "desc": "organization-defined thresholds", + "value": "organization-defined thresholds" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.6.", + "title": "CONTINUOUS IMPROVEMENT", + "props": [ + { + "class": "name", + "value": "SA-15 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopers of information systems, information system components, and information system services consider the effectiveness/efficiency of current development processes for meeting quality objectives and addressing security capabilities in current threat environments.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition 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"class": "objective", + "id": "s_obj_sa-15.7.a.", + "props": [ + { + "class": "name", + "value": "SA-15(7)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines tools to be used to perform automated vulnerability analysis of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(7)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to perform an automated vulnerability analysis using organization-defined tools;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(7)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to determine the exploitation potential for discovered vulnerabilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(7)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.7.c.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to determine potential risk mitigations for delivered vulnerabilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(7)(c)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.7.d.", + "props": [ + { + "class": "name", + "value": "SA-15(7)(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.7.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the output of the tools and results of the analysis are to be delivered; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(7)(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.7.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to deliver the outputs of the tools and results of the analysis to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(7)(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability analysis tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability analysis results\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability mitigation reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk mitigation strategy documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel performing automated vulnerability analysis on the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability analysis of information systems, system components, or information system services under development\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing vulnerability analysis of information systems, system components, or information system services under development\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-15_l", + "desc": "organization-defined tools", + "value": "organization-defined tools" + }, + { + "id": "sa-15_m", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.8.", + "title": "REUSE OF THREAT / VULNERABILITY INFORMATION", + "props": [ + { + "class": "name", + "value": "SA-15 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAnalysis of vulnerabilities found in similar software applications can inform potential design or implementation issues for information systems under development. Similar information systems or system components may exist within developer organizations. Authoritative vulnerability information is available from a variety of public and private sector sources including, for example, the National Vulnerability Database.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethreat modeling and vulnerability analyses from similar information systems, system components, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.9.", + "title": "USE OF LIVE DATA", + "props": [ + { + "class": "name", + "value": "SA-15 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization approves, documents, and controls the use of live data in development and test environments for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of live data in preproduction environments can result in significant risk to organizations. Organizations can minimize such risk by using test or dummy data during the development and testing of information systems, information system components, and information system services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, for the information system, system component, or information system service:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves the use of live data in development and test environments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments the use of live data in development and test environments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(9)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.9.3.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols the use of live data in development and test environments.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(9)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation authorizing use of live data in development and test environments\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for approving, documenting, and controlling the use of live data in development and test environments\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the approval, documentation, and control of the use of live data in development and test environments\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.10.", + "title": "INCIDENT RESPONSE PLAN", + "props": [ + { + "class": "name", + "value": "SA-15 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to provide an incident response plan.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe incident response plan for developers of information systems, system components, and information system services is incorporated into organizational incident response plans to provide the type of incident response information not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf (COTS) information technology products.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to provide an incident response plan.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003edeveloper incident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.11.", + "title": "ARCHIVE INFORMATION SYSTEM / COMPONENT", + "props": [ + { + "class": "name", + "value": "SA-15 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eArchiving relevant documentation from the development process can provide a readily available baseline of information that can be helpful during information system/component upgrades or modifications.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003edeveloper incident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.16", + "title": "DEVELOPER-PROVIDED TRAINING", + "params": [ + { + "id": "sa-16_a", + "desc": "organization-defined training", + "value": "organization-defined training" + } + ], + "props": [ + { + "class": "name", + "value": "SA-16" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to provide \u003cinsert param-id=\"sa-16_a\"/\u003e on the correct use and operation of the implemented security functions, controls, and/or mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to external and internal (in-house) developers. Training of personnel is an essential element to ensure the effectiveness of security controls implemented within organizational information systems. Training options include, for example, classroom-style training, web-based/computer-based training, and hands-on training. Organizations can also request sufficient training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security functions, controls, or mechanisms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-16-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines training to be provided by the developer of the information system, system component, or information system service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-16[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-16-2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to provide organization-defined training on the correct use and operation of the implemented security functions, controls, and/or mechanisms.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-16[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer-provided training\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003edeveloper-provided training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational or third-party developers with training responsibilities for the information system, system component, or information system service\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.17", + "title": "DEVELOPER SECURITY ARCHITECTURE AND DESIGN", + "props": [ + { + "class": "name", + "value": "SA-17" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-17a.", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with and supportive of the organization�s security architecture which is established within and is an integrated part of the organization�s enterprise architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-17b.", + "prose": [ + "\u003cp class=\"description\"\u003eAccurately and completely describes the required security functionality, and the allocation of security controls among physical and logical components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17b." + } + ] + }, + { + "class": "item", + "id": "smm_sa-17c.", + "prose": [ + "\u003cp class=\"description\"\u003eExpresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control is primarily directed at external developers, although it could also be used for internal (in-house) development. In contrast, PL-8 is primarily directed at internal developers to help ensure that organizations develop an information security architecture and such security architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important if/when organizations outsource the development of information systems, information system components, or information system services to external entities, and there is a requirement to demonstrate consistency with the organization�s enterprise architecture and information security architecture.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.8" + }, + { + "href": "#pm.7" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-17.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eis consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-17.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccurately and completely describes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-17.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe required security functionality;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-17.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe allocation of security controls among physical and logical components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-17.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eexpresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003edesign specification and security architecture documentation for the system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.17.1.", + "title": "FORMAL POLICY MODEL", + "props": [ + { + "class": "name", + "value": "SA-17 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-17.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eProduce, as an integral part of the development process, a formal policy model describing the \u003cinsert param-id=\"sa-17_a\"/\u003e to be enforced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eProve that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFormal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors/policies to be formally proven. Not all components of information systems can be modeled, and generally, formal specifications are scoped to specific behaviors or policies of interest (e.g., nondiscretionary access control policies). Organizations choose the particular formal modeling language and approach based on the nature of the behaviors/policies to be described and the available tools. Formal modeling tools include, for example, Gypsy and Zed.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.1.a.", + "props": [ + { + "class": "name", + "value": "SA-17(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines elements of the organizational security policy to be enforced under a formal policy model produced by the developer as an integral part of the development process for the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to produce, as an integral part of the development process, a formal policy model describing the organization-defined elements of organizational security policy to be enforced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(1)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003edesign specification and security architecture documentation for the system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "sa-17_a", + "desc": "organization-defined elements of organizational security policy", + "value": "organization-defined elements of organizational security policy" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.2.", + "title": "SECURITY-RELEVANT COMPONENTS", + "props": [ + { + "class": "name", + "value": "SA-17 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-17.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eDefine security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a rationale that the definition for security-relevant hardware, software, and firmware is complete.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity-relevant hardware, software, and firmware represent the portion of the information system, component, or service that must be trusted to perform correctly in order to maintain required security properties.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.2.a.", + "props": [ + { + "class": "name", + "value": "SA-17(2)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefine security-relevant hardware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(2)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefine security-relevant software;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(2)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefine security-relevant firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(2)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovide a rationale that the definition for security-relevant hardware, software, and firmware components is complete.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(2)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security-relevant hardware, software, and firmware components\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumented rationale of completeness regarding definitions provided for security-relevant hardware, software, and firmware\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.3.", + "title": "FORMAL CORRESPONDENCE", + "props": [ + { + "class": "name", + "value": "SA-17 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-17.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eProduce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eShow via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.3.c.", + "prose": [ + "\u003cp class=\"description\"\u003eShow via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.3.d.", + "prose": [ + "\u003cp class=\"description\"\u003eShow that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(d)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.3.e.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrespondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal information system description, and that the formal system description is correctly implemented by a description of some lower level, for example a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Consistency between the formal top-level specification and the implementation may require the use of an informal demonstration due to limitations in the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eproduce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eexceptions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eerror messages;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.3.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eeffects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eshow via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eshow via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(c)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eshow that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(d)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.3.e.", + "prose": [ + "\u003cp class=\"decision\"\u003edescribe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(e)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eformal policy model\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eformal top-level specification documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture and design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation describing security-relevant hardware, software and firmware mechanisms not addressed in the formal top-level specification documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.4.", + "title": "INFORMAL CORRESPONDENCE", + "props": [ + { + "class": "name", + "value": "SA-17 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-17.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eProduce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eShow via [Selection: informal demonstration, convincing argument with formal methods as feasible] that the descriptive top-level specification is consistent with the formal policy model;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.4.c.", + "prose": [ + "\u003cp class=\"description\"\u003eShow via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.4.d.", + "prose": [ + "\u003cp class=\"description\"\u003eShow that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(d)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.4.e.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrespondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eproduce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eexceptions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eerror messages;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.4.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eeffects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eshow via informal demonstration and/or convincing argument with formal methods as feasible that the descriptive top-level specification is consistent with the formal policy model;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eshow via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(c)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eshow that the descriptive top-level specification is an accurate description of the interfaces to the security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(d)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.4.e.", + "prose": [ + "\u003cp class=\"decision\"\u003edescribe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(e)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eformal policy model\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformal descriptive top-level specification documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture and design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation describing security-relevant hardware, software and firmware mechanisms not addressed in the informal descriptive top-level specification documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.5.", + "title": "CONCEPTUALLY SIMPLE DESIGN", + "props": [ + { + "class": "name", + "value": "SA-17 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-17.5.a.", + "prose": [ + "\u003cp class=\"description\"\u003eDesign and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.5.b.", + "prose": [ + "\u003cp class=\"description\"\u003eInternally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (5)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edesign and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(5)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003einternally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(5)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edeveloper documentation describing design and structure of security-relevant hardware, software, and firmware components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.6.", + "title": "STRUCTURE FOR TESTING", + "props": [ + { + "class": "name", + "value": "SA-17 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sa.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edeveloper documentation describing design and structure of security-relevant hardware, software, and firmware components to facilitate testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.7.", + "title": "STRUCTURE FOR LEAST PRIVILEGE", + "props": [ + { + "class": "name", + "value": "SA-17 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edeveloper documentation describing design and structure of security-relevant hardware, software, and firmware components to facilitate controlling access with least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.18", + "title": "TAMPER RESISTANCE AND DETECTION", + "props": [ + { + "class": "name", + "value": "SA-18" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements a tamper protection program for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAnti-tamper technologies and techniques provide a level of protection for critical information systems, system components, and information technology products against a number of related threats including modification, reverse engineering, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting information systems, components, and products during distribution and when in use.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.3" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization implements a tamper protection program for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing tamper resistance and detection\u003c/p\u003e", + "\u003cp class=\"object\"\u003etamper protection program documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etamper protection tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etamper resistance and detection tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the tamper protection program\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for implementation of the tamper protection program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the tamper protection program\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.18.1.", + "title": "MULTIPLE PHASES OF SDLC", + "props": [ + { + "class": "name", + "value": "SA-18 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including design, development, integration, operations, and maintenance.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations employ obfuscation and self-checking, for example, to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. Customization of information systems and system components can make substitutions easier to detect and therefore limit damage.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-18.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edesign;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelopment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegration;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eoperations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(1)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.1.5.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintenance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(1)[5]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing tamper resistance and detection\u003c/p\u003e", + "\u003cp class=\"object\"\u003etamper protection program documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etamper protection tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etamper resistance and detection tools (technologies) and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem development life cycle documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the tamper protection program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with SDLC responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for employing anti-tamper technologies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing anti-tamper technologies\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.18.2.", + "title": "INSPECTION OF INFORMATION SYSTEMS, COMPONENTS, OR DEVICES", + "props": [ + { + "class": "name", + "value": "SA-18 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization inspects \u003cinsert param-id=\"sa-18_a\"/\u003e [Selection (one or more): at random; at \u003cinsert param-id=\"sa-18_b\"/\u003e, upon \u003cinsert param-id=\"sa-18_c\"/\u003e] to detect tampering.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses both physical and logical tampering and is typically applied to mobile devices, notebook computers, or other system components taken out of organization-controlled areas. Indications of need for inspection include, for example, when individuals return from travel to high-risk locations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-18.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems, system components, or devices to be inspected to detect tampering;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to inspect organization-defined information systems, system components, or devices to detect tampering;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines indications of need for inspection of organization-defined information systems, system components, or devices to detect tampering;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003einspects organization-defined information systems, system components, or devices to detect tampering, selecting one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(2)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-18.2.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eat random;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(2)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.2.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(2)[4][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.2.4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eupon organization-defined indications of need for inspection.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(2)[4][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing tamper resistance and detection\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of random inspections\u003c/p\u003e", + "\u003cp class=\"object\"\u003einspection reports/results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eassessment reports/results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the tamper protection program\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for inspecting information systems, system components, or devices to detect tampering\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing tampering detection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-18_a", + "desc": "organization-defined information systems, system components, or devices", + "value": "organization-defined information systems, system components, or devices" + }, + { + "id": "sa-18_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "sa-18_c", + "desc": "organization-defined indications of need for inspection", + "value": "organization-defined indications of need for inspection" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.19", + "title": "COMPONENT AUTHENTICITY", + "params": [ + { + "id": "sa-19_a", + "desc": "organization-defined external reporting organizations", + "value": "organization-defined external reporting organizations" + }, + { + "id": "sa-19_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SA-19" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-19a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-19b.", + "prose": [ + "\u003cp class=\"description\"\u003eReports counterfeit information system components to [Selection (one or more): source of counterfeit component; \u003cinsert param-id=\"sa-19_a\"/\u003e; \u003cinsert param-id=\"sa-19_b\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSources of counterfeit components include, for example, manufacturers, developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include, for example, US-CERT.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.3" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-19.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-19.b.", + "props": [ + { + "class": "name", + "value": "SA-19(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-19.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external reporting organizations to whom counterfeit information system components are to be reported;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-19.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom counterfeit information system components are to be reported;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-19.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports counterfeit information system components to one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(b)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-19.b.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe source of counterfeit component;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(b)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-19.b.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization-defined external reporting organizations; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(b)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-19.b.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(b)[3][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia disposal policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining materials addressing counterfeit information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records on detection and prevention of counterfeit components from entering the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereports notifying developers/manufacturers/vendors/ contractors and/or external reporting organizations of counterfeit information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for anti-counterfeit policy, procedures, and reporting\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for anti-counterfeit detection, prevention, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.19.1.", + "title": "ANTI-COUNTERFEIT TRAINING", + "props": [ + { + "class": "name", + "value": "SA-19 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization trains \u003cinsert param-id=\"sa-19_c\"/\u003e to detect counterfeit information system components (including hardware, software, and firmware).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-19.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be trained to detect counterfeit information system components (including hardware, software, and firmware); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-19.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etrains organization-defined personnel or roles to detect counterfeit information system components (including hardware, software, and firmware).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia disposal policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining materials addressing counterfeit information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records on detection of counterfeit information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for anti-counterfeit policy, procedures, and training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for anti-counterfeit training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-19_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.19.2.", + "title": "CONFIGURATION CONTROL FOR COMPONENT SERVICE / REPAIR", + "props": [ + { + "class": "name", + "value": "SA-19 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization maintains configuration control over \u003cinsert param-id=\"sa-19_d\"/\u003e awaiting service/repair and serviced/repaired components awaiting return to service.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-19.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components requiring configuration control to be maintained when awaiting service/repair;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-19.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components requiring configuration control to be maintained when awaiting return to service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-19.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains configuration control over organization-defined information system components awaiting service/repairs and serviced/repaired components awaiting return to service.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration control records for components awaiting service/repair\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration control records for serviced/repaired components awaiting return to service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einventory management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for anti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-19_d", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.19.3.", + "title": "COMPONENT DISPOSAL", + "props": [ + { + "class": "name", + "value": "SA-19 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization disposes of information system components using \u003cinsert param-id=\"sa-19_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProper disposal of information system components helps to prevent such components from entering the gray market.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-19.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines techniques and methods to dispose of information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-19.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edisposes of information system components using organization-defined techniques and methods.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia disposal policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003edisposal records for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation of disposal techniques and methods employed for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for anti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for disposal of information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational techniques and methods for information system component disposal\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing system component disposal\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-19_e", + "desc": "organization-defined techniques and methods", + "value": "organization-defined techniques and methods" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.19.4.", + "title": "ANTI-COUNTERFEIT SCANNING", + "props": [ + { + "class": "name", + "value": "SA-19 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization scans for counterfeit information system components \u003cinsert param-id=\"sa-19_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-19.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to scan for counterfeit information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-19.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003escans for counterfeit information system components with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003escanning tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003escanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for anti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for anti-counterfeit scanning\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for anti-counterfeit scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing anti-counterfeit scanning\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-19_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.20", + "title": "CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS", + "params": [ + { + "id": "sa-20_a", + "desc": "organization-defined critical information system components", + "value": "organization-defined critical information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SA-20" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization re-implements or custom develops \u003cinsert param-id=\"sa-20_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine that certain information system components likely cannot be trusted due to specific threats to and vulnerabilities in those components, and for which there are no viable security controls to adequately mitigate the resulting risk. Re-implementation or custom development of such components helps to satisfy requirements for higher assurance. This is accomplished by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to re-implement or custom develop critical information system components, additional safeguards can be employed (e.g., enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-20-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines critical information system components to be re-implemented or custom developed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-20[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-20-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ere-implements or custom develops organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-20[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing customized development of critical information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem development life cycle documentation addressing custom development of critical information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility re-implementation or customized development of critical information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for re-implementing or customized development of critical information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing re-implementation or customized development of critical information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.21", + "title": "DEVELOPER SCREENING", + "params": [ + { + "id": "sa-21_a", + "desc": "organization-defined information system, system component, or information system service", + "value": "organization-defined information system, system component, or information system service" + }, + { + "id": "sa-21_b", + "desc": "organization-defined official government duties", + "value": "organization-defined official government duties" + }, + { + "id": "sa-21_c", + "desc": "organization-defined additional personnel screening criteria", + "value": "organization-defined additional personnel screening criteria" + } + ], + "props": [ + { + "class": "name", + "value": "SA-21" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that the developer of \u003cinsert param-id=\"sa-21_a\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-21a.", + "prose": [ + "\u003cp class=\"description\"\u003eHave appropriate access authorizations as determined by assigned \u003cinsert param-id=\"sa-21_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-21b.", + "prose": [ + "\u003cp class=\"description\"\u003eSatisfy \u003cinsert param-id=\"sa-21_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBecause the information system, system component, or information system service may be employed in critical activities essential to the national and/or economic security interests of the United States, organizations have a strong interest in ensuring that the developer is trustworthy. The degree of trust required of the developer may need to be consistent with that of the individuals accessing the information system/component/service once deployed. Examples of authorization and personnel screening criteria include clearance, satisfactory background checks, citizenship, and nationality. Trustworthiness of developers may also include a review and analysis of company ownership and any relationships the company has with entities potentially affecting the quality/reliability of the systems, components, or services being developed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.3" + }, + { + "href": "#ps.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-21-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the information system, system component, or information system service for which the developer is to be screened;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-21-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines official government duties to be used to determine appropriate access authorizations for the developer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-21-3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines additional personnel screening criteria to be satisfied by the developer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-21-4.", + "props": [ + { + "class": "name", + "value": "SA-21[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-21-4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that the developer of organization-defined information system, system component, or information system service have appropriate access authorizations as determined by assigned organization-defined official government duties; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21[4][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-21-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that the developer of organization-defined information system, system component, or information system service satisfy organization-defined additional personnel screening criteria.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21[4][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel security policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing personnel screening\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of appropriate access authorizations required by developers of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel screening criteria and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for developer screening\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for developer screening\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting developer screening\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.21.1.", + "title": "VALIDATION OF SCREENING", + "props": [ + { + "class": "name", + "value": "SA-21 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service take \u003cinsert param-id=\"sa-21_d\"/\u003e to ensure that the required access authorizations and screening criteria are satisfied.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSatisfying required access authorizations and personnel screening criteria includes, for example, providing a listing of all the individuals authorized to perform development activities on the selected information system, system component, or information system service so that organizations can validate that the developer has satisfied the necessary authorization and screening requirements.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-21.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines actions to be taken by the developer of the information system, system component, or information system service to ensure that the required access authorizations and screening criteria are satisfied; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-21.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service take organization-defined actions to ensure that the required access authorizations and screening criteria are satisfied.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel security policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing personnel screening\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of appropriate access authorizations required by developers of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel screening criteria and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of actions ensuring required access authorizations and screening criteria are satisfied\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for developer screening\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for developer screening\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting developer screening\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-21_d", + "desc": "organization-defined actions", + "value": "organization-defined actions" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.22", + "title": "UNSUPPORTED SYSTEM COMPONENTS", + "props": [ + { + "class": "name", + "value": "SA-22" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-22a.", + "prose": [ + "\u003cp class=\"description\"\u003eReplaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-22b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides justification and documents approval for the continued use of unsupported system components required to satisfy mission/business needs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupport for information system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components (e.g., when vendors are no longer providing critical software patches), provide a substantial opportunity for adversaries to exploit new weaknesses discovered in the currently installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission/business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.2" + }, + { + "href": "#sa.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-22.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ereplaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-22.b.", + "props": [ + { + "class": "name", + "value": "SA-22(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-22.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides justification for the continued use of unsupported system components required to satisfy mission/business needs; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-22.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments approval for the continued use of unsupported system components required to satisfy mission/business needs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing replacement or continued use of unsupported information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumented evidence of replacing unsupported information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumented approvals (including justification) for continued use of unsupported information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility system development life cycle\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for replacing unsupported system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing replacement of unsupported system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.22.1.", + "title": "ALTERNATIVE SOURCES FOR CONTINUED SUPPORT", + "props": [ + { + "class": "name", + "value": "SA-22 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides [Selection (one or more): in-house support; \u003cinsert param-id=\"sa-22_a\"/\u003e] for unsupported information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses the need to provide continued support for selected information system components that are no longer supported by the original developers, vendors, or manufacturers when such components remain essential to mission/business operations. Organizations can establish in-house support, for example, by developing customized patches for critical software components or secure the services of external providers who through contractual relationships, provide ongoing support for the designated unsupported components. Such contractual relationships can include, for example, Open Source Software value-added vendors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-22.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines support from external providers to be provided for unsupported information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-22.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides and/or obtains support for unsupported information system components from one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-22.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ein-house support; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-22.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined support from external providers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22(1)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing support for unsupported information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility system development life cycle\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel or third-party external providers supporting information system components no longer supported by original developers, vendors, or manufacturers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for supporting system components no longer supported by original developers, vendors, or manufacturers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms providing support for system components no longer supported by original developers, vendors, or manufacturers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-22_a", + "desc": "organization-defined support from external providers", + "value": "organization-defined support from external providers" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "SYSTEM AND COMMUNICATIONS PROTECTION", + "controls": [ + { + "class": "SP800-53", + "id": "sc.1", + "title": "SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES", + "params": [ + { + "id": "sc-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "sc-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "sc-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SC-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"sc-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_sc-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_sc-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_sc-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_sc-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem and communications protection policy \u003cinsert param-id=\"sc-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_sc-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem and communications protection procedures \u003cinsert param-id=\"sc-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-1.a.1.", + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a system and communications protection policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the system and communications protection policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the system and communications protection policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.2.", + "props": [ + { + "class": "name", + "value": "SC-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.b.1.", + "props": [ + { + "class": "name", + "value": "SC-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current system and communications protection policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current system and communications protection policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.b.2.", + "props": [ + { + "class": "name", + "value": "SC-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current system and communications protection procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current system and communications protection procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and communications protection responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.2", + "title": "APPLICATION PARTITIONING", + "props": [ + { + "class": "name", + "value": "SC-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system separates user functionality (including user interface services) from information system management functionality.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical. Organizations implement separation of system management-related functionality from user functionality by using different computers, different central processing units, different instances of operating systems, different network addresses, virtualization techniques, or combinations of these or other methods, as appropriate. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other information system resources. Separation of system and user functionality may include isolating administrative interfaces on different domains and with additional access controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.4" + }, + { + "href": "#sa.8" + }, + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system separates user functionality (including user interface services) from information system management functionality.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing application partitioning\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSeparation of user functionality from information system management functionality\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.2.1.", + "title": "INTERFACES FOR NON-PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SC-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement ensures that administration options (e.g., administrator privileges) are not available to general users (including prohibiting the use of the grey-out option commonly used to eliminate accessibility to such information). Such restrictions include, for example, not presenting administration options until users establish sessions with administrator privileges.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing application partitioning\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003enon-privileged users of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSeparation of user functionality from information system management functionality\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.3", + "title": "SECURITY FUNCTION ISOLATION", + "props": [ + { + "class": "name", + "value": "SC-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system isolates security functions from nonsecurity functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains). Such isolation controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Information systems implement code separation (i.e., separation of security functions from nonsecurity functions) in a number of ways, including, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that serve to protect the code on disk, and address space protections that protect executing code. Information systems restrict access to security functions through the use of access control mechanisms and by implementing least privilege capabilities. While the ideal is for all of the code within the security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.13" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.39" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system isolates security functions from nonsecurity functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security functions to be isolated from nonsecurity functions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSeparation of security functions from nonsecurity functions within the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.3.1.", + "title": "HARDWARE SEPARATION", + "props": [ + { + "class": "name", + "value": "SC-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system utilizes underlying hardware separation mechanisms to implement security function isolation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnderlying hardware separation mechanisms include, for example, hardware ring architectures, commonly implemented within microprocessors, and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system utilizes underlying hardware separation mechanisms to implement security function isolation.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ehardware separation mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSeparation of security functions from nonsecurity functions within the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.3.2.", + "title": "ACCESS / FLOW CONTROL FUNCTIONS", + "props": [ + { + "class": "name", + "value": "SC-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system isolates security functions enforcing access and information flow control from nonsecurity functions and from other security functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity function isolation occurs as a result of implementation; the functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include, for example, auditing, intrusion detection, and anti-virus functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system isolates security functions enforcing: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess control from nonsecurity functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation flow control from nonsecurity functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-3.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess control from other security functions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-3.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation flow control from other security functions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of critical security functions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIsolation of security functions enforcing access and information flow control\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.3.3.", + "title": "MINIMIZE NONSECURITY FUNCTIONALITY", + "props": [ + { + "class": "name", + "value": "SC-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization minimizes the number of nonsecurity functions included within the isolation boundary containing security functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn those instances where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize the nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or maliciousness in such software, by virtue of being within the boundary, can impact the security functions of organizational information systems. The design objective is that the specific portions of information systems providing information security are of minimal size/complexity. Minimizing the number of nonsecurity functions in the security-relevant components of information systems allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing nonsecurity functions within the isolation boundaries, the amount of code that must be trusted to enforce security policies is reduced, thus contributing to understandability.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing an isolation boundary\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.3.4.", + "title": "MODULE COUPLING AND COHESIVENESS", + "props": [ + { + "class": "name", + "value": "SC-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe reduction in inter-module interactions helps to constrain security functions and to manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between the different functions within a particular module. Good software engineering practices rely on modular decomposition, layering, and minimization to reduce and manage complexity, thus producing software modules that are highly cohesive and loosely coupled.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization implements security functions as largely independent modules that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003emaximize internal cohesiveness within modules; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eminimize coupling between modules.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maximizing internal cohesiveness within modules and minimizing coupling between modules\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security functions as independent modules\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.3.5.", + "title": "LAYERED STRUCTURES", + "props": [ + { + "class": "name", + "value": "SC-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) further enables the isolation of security functions and management of complexity.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization implements security functions as a layered structure:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-3.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eminimizing interactions between layers of the design; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-3.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eavoiding any dependence by lower layers on the functionality or correctness of higher layers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for implementing security functions as a layered structure that minimizes interactions between layers and avoids dependence by lower layers on functionality/correctness of higher layers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security functions as a layered structure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.4", + "title": "INFORMATION IN SHARED RESOURCES", + "props": [ + { + "class": "name", + "value": "SC-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents unauthorized and unintended information transfer via shared system resources.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control prevents information, including encrypted representations of information, produced by the actions of prior users/roles (or the actions of processes acting on behalf of prior users/roles) from being available to any current users/roles (or current processes) that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those resources have been released back to information systems. The control of information in shared resources is also commonly referred to as object reuse and residual information protection. This control does not address: (i) information remanence which refers to residual representation of data that has been nominally erased or removed; (ii) covert channels (including storage and/or timing channels) where shared resources are manipulated to violate information flow restrictions; or (iii) components within information systems for which there are only single users/roles.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#mp.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system prevents unauthorized and unintended information transfer via shared system resources.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information protection in shared system resources\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms preventing unauthorized and unintended transfer of information via shared system resources\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.4.1.", + "title": "SECURITY LEVELS", + "props": [ + { + "class": "name", + "value": "SC-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.4.2.", + "title": "PERIODS PROCESSING", + "props": [ + { + "class": "name", + "value": "SC-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents unauthorized information transfer via shared resources in accordance with \u003cinsert param-id=\"sc-4_a\"/\u003e when system processing explicitly switches between different information classification levels or security categories.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies when there are explicit changes in information processing levels during information system operations, for example, during multilevel processing and periods processing with information at different classification levels or security categories. Organization-defined procedures may include, for example, approved sanitization processes for electronically stored information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines procedures to be employed to ensure unauthorized information transfer via shared resources is prevented when system processing explicitly switches between different information classification levels or security categories; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents unauthorized information transfer via shared resources in accordance with organization-defined procedures when system processing explicitly switches between different information classification levels or security categories.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-4(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information protection in shared system resources\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms preventing unauthorized transfer of information via shared system resources\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-4_a", + "desc": "organization-defined procedures", + "value": "organization-defined procedures" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.5", + "title": "DENIAL OF SERVICE PROTECTION", + "params": [ + { + "id": "sc-5_a", + "desc": "organization-defined types of denial of service attacks or references to sources for such information", + "value": "organization-defined types of denial of service attacks or references to sources for such information" + }, + { + "id": "sc-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects against or limits the effects of the following types of denial of service attacks: \u003cinsert param-id=\"sc-5_a\"/\u003e by employing \u003cinsert param-id=\"sc-5_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect information system components on internal organizational networks from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may also reduce the susceptibility to denial of service attacks.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.6" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-5-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines types of denial of service attacks or reference to source of such information for the information system to protect against or limit the effects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-5-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be employed by the information system to protect against or limit the effects of organization-defined types of denial of service attacks; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-5-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system protects against or limits the effects of the organization-defined denial or service attacks (or reference to source for such information) by employing organization-defined security safeguards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing denial of service protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of denial of services attacks requiring employment of security safeguards to protect against or limit effects of such attacks\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards protecting against or limiting the effects of denial of service attacks\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms protecting against or limiting the effects of denial of service attacks\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.5.1.", + "title": "RESTRICT INTERNAL USERS", + "props": [ + { + "class": "name", + "value": "SC-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system restricts the ability of individuals to launch \u003cinsert param-id=\"sc-5_c\"/\u003e against other information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRestricting the ability of individuals to launch denial of service attacks requires that the mechanisms used for such attacks are unavailable. Individuals of concern can include, for example, hostile insiders or external adversaries that have successfully breached the information system and are using the system as a platform to launch cyber attacks on third parties. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., network, wireless spectrum). Organizations can also limit the ability of individuals to use excessive information system resources. Protection against individuals having the ability to launch denial of service attacks may be implemented on specific information systems or on boundary devices prohibiting egress to potential target systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-5.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines denial of service attacks for which the information system is required to restrict the ability of individuals to launch such attacks against other information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-5.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system restricts the ability of individuals to launch organization-defined denial of service attacks against other information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing denial of service protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of denial of service attacks launched by individuals against information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms restricting the ability to launch denial of service attacks against other information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-5_c", + "desc": "organization-defined denial of service attacks", + "value": "organization-defined denial of service attacks" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.5.2.", + "title": "EXCESS CAPACITY / BANDWIDTH / REDUNDANCY", + "props": [ + { + "class": "name", + "value": "SC-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding denial of service attacks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eManaging excess capacity ensures that sufficient capacity is available to counter flooding attacks. Managing excess capacity may include, for example, establishing selected usage priorities, quotas, or partitioning.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system, to limit the effects of information flooding denial of service attacks, manages:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-5.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eexcess capacity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-5.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ebandwidth; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-5.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eother redundancy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing denial of service protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing management of information system bandwidth, capacity, and redundancy to limit the effects of information flooding denial of service attacks\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.5.3.", + "title": "DETECTION / MONITORING", + "props": [ + { + "class": "name", + "value": "SC-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sc-5.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"sc-5_d\"/\u003e to detect indicators of denial of service attacks against the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sc-5.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors \u003cinsert param-id=\"sc-5_e\"/\u003e to determine if sufficient resources exist to prevent effective denial of service attacks.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider utilization and capacity of information system resources when managing risk from denial of service due to malicious attacks. Denial of service attacks can originate from external or internal sources. Information system resources sensitive to denial of service include, for example, physical disk storage, memory, and CPU cycles. Common safeguards to prevent denial of service attacks related to storage utilization and capacity include, for example, instituting disk quotas, configuring information systems to automatically alert administrators when specific storage capacity thresholds are reached, using file compression technologies to maximize available storage space, and imposing separate partitions for system and user data.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-5.3.a.", + "props": [ + { + "class": "name", + "value": "SC-5(3)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-5.3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines monitoring tools to be employed to detect indicators of denial of service attacks against the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(3)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-5.3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined monitoring tools to detect indicators of denial of service attacks against the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(3)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-5.3.b.", + "props": [ + { + "class": "name", + "value": "SC-5(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-5.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system resources to be monitored to determine if sufficient resources exist to prevent effective denial of service attacks; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(3)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-5.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors organization-defined information system resources to determine if sufficient resources exist to prevent effective denial of service attacks.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(3)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing denial of service protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with detection and monitoring responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms/tools implementing information system monitoring for denial of service attacks\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-5_d", + "desc": "organization-defined monitoring tools", + "value": "organization-defined monitoring tools" + }, + { + "id": "sc-5_e", + "desc": "organization-defined information system resources", + "value": "organization-defined information system resources" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.6", + "title": "RESOURCE AVAILABILITY", + "params": [ + { + "id": "sc-6_a", + "desc": "organization-defined resources", + "value": "organization-defined resources" + }, + { + "id": "sc-6_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-6" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects the availability of resources by allocating \u003cinsert param-id=\"sc-6_a\"/\u003e by [Selection (one or more); priority; quota; \u003cinsert param-id=\"sc-6_b\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePriority protection helps prevent lower-priority processes from delaying or interfering with the information system servicing any higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to information system components for which there are only single users/roles.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-6-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines resources to be allocated to protect the availability of resources;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-6[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-6-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be employed to protect the availability of resources;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-6[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-6-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system protects the availability of resources by allocating organization-defined resources by one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-6[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-6-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epriority;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-6[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-6-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003equota; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-6[3][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-6-3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined safeguards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-6[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing prioritization of information system resources\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing resource allocation capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003esafeguards employed to protect availability of resources\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.7", + "title": "BOUNDARY PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-7" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-7a.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors and controls communications at the external boundary of the system and at key internal boundaries within the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7a." + } + ] + }, + { + "class": "item", + "id": "smm_sc-7b.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements subnetworks for publicly accessible system components that are [Selection: physically; logically] separated from internal organizational networks; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7b." + } + ] + }, + { + "class": "item", + "id": "smm_sc-7c.", + "prose": [ + "\u003cp class=\"description\"\u003eConnects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eManaged interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#ac.17" + }, + { + "href": "#ca.3" + }, + { + "href": "#cm.7" + }, + { + "href": "#cp.8" + }, + { + "href": "#ir.4" + }, + { + "href": "#ra.3" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-7.a.", + "props": [ + { + "class": "name", + "value": "SC-7(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors communications at the external boundary of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors communications at key internal boundaries within the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-7.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols communications at the external boundary of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-7.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols communications at key internal boundaries within the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements subnetworks for publicly accessible system components that are either:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-7.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ephysically separated from internal organizational networks; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-7.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003elogically separated from internal organizational networks; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-7.c.", + "prose": [ + "\u003cp class=\"decision\"\u003econnects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of key internal boundaries of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eboundary protection hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.7.1.", + "title": "PHYSICALLY SEPARATED SUBNETWORKS", + "props": [ + { + "class": "name", + "value": "SC-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.2.", + "title": "PUBLIC ACCESS", + "props": [ + { + "class": "name", + "value": "SC-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.3.", + "title": "ACCESS POINTS", + "props": [ + { + "class": "name", + "value": "SC-7 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization limits the number of external network connections to the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLimiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection (TIC) initiative is an example of limiting the number of external network connections.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization limits the number of external network connections to the information system.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eboundary protection hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecommunications and network traffic monitoring logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms limiting the number of external network connections to the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.4.", + "title": "EXTERNAL TELECOMMUNICATIONS SERVICES", + "props": [ + { + "class": "name", + "value": "SC-7 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sc-7.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements a managed interface for each external telecommunication service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sc-7.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes a traffic flow policy for each managed interface;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sc-7.4.c.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the confidentiality and integrity of the information being transmitted across each interface;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sc-7.4.d.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments each exception to the traffic flow policy with a supporting mission/business need and duration of that need; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(d)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sc-7.4.e.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews exceptions to the traffic flow policy \u003cinsert param-id=\"sc-7_a\"/\u003e and removes exceptions that are no longer supported by an explicit mission/business need.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a managed interface for each external telecommunication service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes a traffic flow policy for each managed interface;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the confidentiality and integrity of the information being transmitted across each interface;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(c)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments each exception to the traffic flow policy with:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.4.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ea supporting mission/business need;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.4.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eduration of that need;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(d)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.4.e.", + "props": [ + { + "class": "name", + "value": "SC-7(4)(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.4.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to review exceptions to traffic flow policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.4.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews exceptions to the traffic flow policy with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(e)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.4.e.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves traffic flow policy exceptions that are no longer supported by an explicit mission/business need\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(e)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraffic flow policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eboundary protection hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of traffic flow policy exceptions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for documenting and reviewing exceptions to the traffic flow policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for removing exceptions to the traffic flow policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003emanaged interfaces implementing traffic flow policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.5.", + "title": "DENY BY DEFAULT / ALLOW BY EXCEPTION", + "props": [ + { + "class": "name", + "value": "SC-7 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system at managed interfaces denies network communications traffic by default and allows network communications traffic by exception (i.e., deny all, permit by exception).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to both inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those connections which are essential and approved are allowed.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system, at managed interfaces:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edenies network traffic by default; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eallows network traffic by exception.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing traffic management at managed interfaces\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.6.", + "title": "RESPONSE TO RECOGNIZED FAILURES", + "props": [ + { + "class": "name", + "value": "SC-7 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-7 (18)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.7.18." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.7.", + "title": "PREVENT SPLIT TUNNELING FOR REMOTE DEVICES", + "props": [ + { + "class": "name", + "value": "SC-7 (7)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is implemented within remote devices (e.g., notebook computers) through configuration settings to disable split tunneling in those devices, and by preventing those configuration settings from being readily configurable by users. This control enhancement is implemented within the information system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local information system resources such as printers/file servers. However, split tunneling would in effect allow unauthorized external connections, making the system more vulnerable to attack and to exfiltration of organizational information. The use of VPNs for remote connections, when adequately provisioned with appropriate security controls, may provide the organization with sufficient assurance that it can effectively treat such connections as non-remote connections from the confidentiality and integrity perspective. VPNs thus provide a means for allowing non-remote communications paths from remote devices. The use of an adequately provisioned VPN does not eliminate the need for preventing split tunneling.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting/restricting non-remote connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.8.", + "title": "ROUTE TRAFFIC TO AUTHENTICATED PROXY SERVERS", + "props": [ + { + "class": "name", + "value": "SC-7 (8)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system routes \u003cinsert param-id=\"sc-7_b\"/\u003e to \u003cinsert param-id=\"sc-7_c\"/\u003e through authenticated proxy servers at managed interfaces.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal networks are networks outside of organizational control. A proxy server is a server (i.e., information system or application) that acts as an intermediary for clients requesting information system resources (e.g., files, connections, web pages, or services) from other organizational servers. Client requests established through an initial connection to the proxy server are evaluated to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers support logging individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#au.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines internal communications traffic to be routed to external networks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines external networks to which organization-defined internal communications traffic is to be routed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.8.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system routes organization-defined internal communications traffic to organization-defined external networks through authenticated proxy servers at managed interfaces.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(8)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing traffic management through authenticated proxy servers at managed interfaces\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_b", + "desc": "organization-defined internal communications traffic", + "value": "organization-defined internal communications traffic" + }, + { + "id": "sc-7_c", + "desc": "organization-defined external networks", + "value": "organization-defined external networks" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.9.", + "title": "RESTRICT THREATENING OUTGOING COMMUNICATIONS TRAFFIC", + "props": [ + { + "class": "name", + "value": "SC-7 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sc-7.9.a.", + "prose": [ + "\u003cp class=\"description\"\u003eDetects and denies outgoing communications traffic posing a threat to external information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (9)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sc-7.9.b.", + "prose": [ + "\u003cp class=\"description\"\u003eAudits the identity of internal users associated with denied communications.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (9)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetecting outgoing communications traffic from internal actions that may pose threats to external information systems is sometimes termed extrusion detection. Extrusion detection at information system boundaries as part of managed interfaces includes the analysis of incoming and outgoing communications traffic searching for indications of internal threats to the security of external systems. Such threats include, for example, traffic indicative of denial of service attacks and traffic containing malicious code.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#sc.38" + }, + { + "href": "#sc.44" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.9.a.", + "props": [ + { + "class": "name", + "value": "SC-7(9)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.9.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edetects outgoing communications traffic posing a threat to external information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(9)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.9.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edenies outgoing communications traffic posing a threat to external information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(9)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.9.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudits the identity of internal users associated with denied communications.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(9)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing detection and denial of threatening outgoing communications traffic\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing auditing of outgoing communications traffic\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.10.", + "title": "PREVENT UNAUTHORIZED EXFILTRATION", + "props": [ + { + "class": "name", + "value": "SC-7 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prevents the unauthorized exfiltration of information across managed interfaces.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSafeguards implemented by organizations to prevent unauthorized exfiltration of information from information systems include, for example: (i) strict adherence to protocol formats; (ii) monitoring for beaconing from information systems; (iii) monitoring for steganography; (iv) disconnecting external network interfaces except when explicitly needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic profile analysis to detect deviations from the volume/types of traffic expected within organizations or call backs to command and control centers. Devices enforcing strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to protocol formats and specification at the application layer and serve to identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. This control enhancement is closely associated with cross-domain solutions and system guards enforcing information flow requirements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization prevents the unauthorized exfiltration of information across managed interfaces.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003epreventing unauthorized exfiltration of information across managed interfaces\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.11.", + "title": "RESTRICT INCOMING COMMUNICATIONS TRAFFIC", + "props": [ + { + "class": "name", + "value": "SC-7 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system only allows incoming communications from \u003cinsert param-id=\"sc-7_d\"/\u003e to be routed to \u003cinsert param-id=\"sc-7_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides determinations that source and destination address pairs represent authorized/allowed communications. Such determinations can be based on several factors including, for example, the presence of source/destination address pairs in lists of authorized/allowed communications, the absence of address pairs in lists of unauthorized/disallowed pairs, or meeting more general rules for authorized/allowed source/destination pairs.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines internal communications traffic to be routed to external networks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines authorized destinations only to which that incoming communications from organization-defined authorized sources may be routed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(11)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.11.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system only allows incoming communications from organization-defined authorized sources to be routed to organization-defined authorized destinations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(11)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing boundary protection capabilities with respect to source/destination address pairs\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_d", + "desc": "organization-defined authorized sources", + "value": "organization-defined authorized sources" + }, + { + "id": "sc-7_e", + "desc": "organization-defined authorized destinations", + "value": "organization-defined authorized destinations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.12.", + "title": "HOST-BASED PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-7 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"sc-7_f\"/\u003e at \u003cinsert param-id=\"sc-7_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHost-based boundary protection mechanisms include, for example, host-based firewalls. Information system components employing host-based boundary protection mechanisms include, for example, servers, workstations, and mobile devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines host-based boundary protection mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components where organization-defined host-based boundary protection mechanisms are to be implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(12)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.12.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined host-based boundary protection mechanisms at organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(12)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eboundary protection hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system users\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing host-based boundary protection capabilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_f", + "desc": "organization-defined host-based boundary protection mechanisms", + "value": "organization-defined host-based boundary protection mechanisms" + }, + { + "id": "sc-7_g", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.13.", + "title": "ISOLATION OF SECURITY TOOLS / MECHANISMS / SUPPORT COMPONENTS", + "props": [ + { + "class": "name", + "value": "SC-7 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization isolates \u003cinsert param-id=\"sc-7_h\"/\u003e from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysically separate subnetworks with managed interfaces are useful, for example, in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques of organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.8" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information security tools, mechanisms, and support components to be isolated from other internal information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eisolates organization-defined information security tools, mechanisms, and support components from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(13)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security tools and support components to be isolated from other internal information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing isolation of information security tools, mechanisms, and support components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_h", + "desc": "organization-defined information security tools, mechanisms, and support components", + "value": "organization-defined information security tools, mechanisms, and support components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.14.", + "title": "PROTECTS AGAINST UNAUTHORIZED PHYSICAL CONNECTIONS", + "props": [ + { + "class": "name", + "value": "SC-7 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects against unauthorized physical connections at \u003cinsert param-id=\"sc-7_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems operating at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within organizational facilities. In practice, it is possible that these separate information systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.4" + }, + { + "href": "#pe.19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.14.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines managed interfaces to be protected against unauthorized physical connections; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(14)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.14.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects against unauthorized physical connections at organization-defined managed interfaces.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(14)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility communications and wiring diagram\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing protection against unauthorized physical connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_i", + "desc": "organization-defined managed interfaces", + "value": "organization-defined managed interfaces" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.15.", + "title": "ROUTE PRIVILEGED NETWORK ACCESSES", + "props": [ + { + "class": "name", + "value": "SC-7 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system routes all networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#au.2" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system routes all networked, privileged accesses through a dedicated, managed interface for the purposes of:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.15.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess control; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(15)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.15.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eauditing.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(15)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the routing of networked, privileged access through dedicated managed interfaces\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.16.", + "title": "PREVENT DISCOVERY OF COMPONENTS / DEVICES", + "props": [ + { + "class": "name", + "value": "SC-7 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents discovery of specific system components composing a managed interface.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects network addresses of information system components that are part of managed interfaces from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery (e.g., network address not published or entered in domain name systems), requiring prior knowledge for access. Another obfuscation technique is to periodically change network addresses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system prevents discovery of specific system components composing a managed interface.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the prevention of discovery of system components at managed interfaces\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.17.", + "title": "AUTOMATED ENFORCEMENT OF PROTOCOL FORMATS", + "props": [ + { + "class": "name", + "value": "SC-7 (17)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces adherence to protocol formats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system components that enforce protocol formats include, for example, deep packet inspection firewalls and XML gateways. Such system components verify adherence to protocol formats/specifications (e.g., IEEE) at the application layer and identify significant vulnerabilities that cannot be detected by devices operating at the network or transport layers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system enforces adherence to protocol formats.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing enforcement of adherence to protocol formats\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.18.", + "title": "FAIL SECURE", + "props": [ + { + "class": "name", + "value": "SC-7 (18)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system fails securely in the event of an operational failure of a boundary protection device.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFail secure is a condition achieved by employing information system mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces (e.g., routers, firewalls, guards, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones), information systems do not enter into unsecure states where intended security properties no longer hold. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#sc.24" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system fails securely in the event of an operational failure of a boundary protection device.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing secure failure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.19.", + "title": "BLOCKS COMMUNICATION FROM NON-ORGANIZATIONALLY CONFIGURED HOSTS", + "props": [ + { + "class": "name", + "value": "SC-7 (19)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system blocks both inbound and outbound communications traffic between \u003cinsert param-id=\"sc-7_j\"/\u003e that are independently configured by end users and external service providers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCommunication clients independently configured by end users and external service providers include, for example, instant messaging clients. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.19.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines communication clients that are independently configured by end users and external service providers; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(19)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.19.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eblocks, between organization-defined communication clients that are independently configured by end users and external service providers,:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(19)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.19.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einbound communications traffic; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(19)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.19.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eoutbound communications traffic.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(19)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of communication clients independently configured by end users and external service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the blocking of inbound and outbound communications traffic between communication clients independently configured by end users and external service providers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_j", + "desc": "organization-defined communication clients", + "value": "organization-defined communication clients" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.20.", + "title": "DYNAMIC ISOLATION / SEGREGATION", + "props": [ + { + "class": "name", + "value": "SC-7 (20)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability to dynamically isolate/segregate \u003cinsert param-id=\"sc-7_k\"/\u003e from other components of the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe capability to dynamically isolate or segregate certain internal components of organizational information systems is useful when it is necessary to partition or separate certain components of dubious origin from those components possessing greater trustworthiness. Component isolation reduces the attack surface of organizational information systems. Isolation of selected information system components is also a means of limiting the damage from successful cyber attacks when those attacks occur.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.20.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system components to be dynamically isolated/segregated from other components of the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(20)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.20.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the capability to dynamically isolate/segregate organization-defined information system components from other components of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(20)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system components to be dynamically isolated/segregated from other components of the system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the capability to dynamically isolate/segregate information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_k", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.21.", + "title": "ISOLATION OF INFORMATION SYSTEM COMPONENTS", + "props": [ + { + "class": "name", + "value": "SC-7 (21)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs boundary protection mechanisms to separate \u003cinsert param-id=\"sc-7_l\"/\u003e supporting \u003cinsert param-id=\"sc-7_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can isolate information system components performing different missions and/or business functions. Such isolation limits unauthorized information flows among system components and also provides the opportunity to deploy greater levels of protection for selected components. Separating system components with boundary protection mechanisms provides the capability for increased protection of individual components and to more effectively control information flows between those components. This type of enhanced protection limits the potential harm from cyber attacks and errors. The degree of separation provided varies depending upon the mechanisms chosen. Boundary protection mechanisms include, for example, routers, gateways, and firewalls separating system components into physically separate networks or subnetworks, cross-domain devices separating subnetworks, virtualization techniques, and encrypting information flows among system components using distinct encryption keys.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.9" + }, + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.21.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components to be separated by boundary protection mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(21)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.21.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines missions and/or business functions to be supported by organization-defined information system components separated by boundary protection mechanisms; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(21)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.21.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys boundary protection mechanisms to separate organization-defined information system components supporting organization-defined missions and/or business functions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(21)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the capability to separate information system components supporting organizational missions and/or business functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_l", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "sc-7_m", + "desc": "organization-defined missions and/or business functions", + "value": "organization-defined missions and/or business functions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.22.", + "title": "SEPARATE SUBNETS FOR CONNECTING TO DIFFERENT SECURITY DOMAINS", + "props": [ + { + "class": "name", + "value": "SC-7 (22)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDecomposition of information systems into subnets helps to provide the appropriate level of protection for network connections to different security domains containing information with different security categories or classification levels.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing separate network addresses/different subnets\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.23.", + "title": "DISABLE SENDER FEEDBACK ON PROTOCOL VALIDATION FAILURE", + "props": [ + { + "class": "name", + "value": "SC-7 (23)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system disables feedback to senders on protocol format validation failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDisabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information which would otherwise be unavailable.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system disables feedback to senders on protocol format validation failure.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the disabling of feedback to senders on protocol format validation failure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-41", + "value": "NIST Special Publication 800-41" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-77", + "value": "NIST Special Publication 800-77" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.8", + "title": "TRANSMISSION CONFIDENTIALITY AND INTEGRITY", + "props": [ + { + "class": "name", + "value": "SC-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects the [Selection (one or more): confidentiality; integrity] of transmitted information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to both internal and external networks and all types of information system components from which information can be transmitted (e.g., servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication paths outside the physical protection of a controlled boundary are exposed to the possibility of interception and modification. Protecting the confidentiality and/or integrity of organizational information can be accomplished by physical means (e.g., by employing protected distribution systems) or by logical means (e.g., employing encryption techniques). Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services (i.e., services which can be highly specialized to individual customer needs), may find it difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality/integrity. In such situations, organizations determine what types of confidentiality/integrity services are available in standard, commercial telecommunication service packages. If it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, organizations implement appropriate compensating security controls or explicitly accept the additional risk.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#pe.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system protects one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-8-1.", + "prose": [ + "\u003cp class=\"decision\"\u003econfidentiality of transmitted information; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-8-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegrity of transmitted information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing transmission confidentiality and/or integrity\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.8.1.", + "title": "CRYPTOGRAPHIC OR ALTERNATE PHYSICAL PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-8 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to [Selection (one or more): prevent unauthorized disclosure of information; detect changes to information] during transmission unless otherwise protected by \u003cinsert param-id=\"sc-8_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEncrypting information for transmission protects information from unauthorized disclosure and modification. Cryptographic mechanisms implemented to protect information integrity include, for example, cryptographic hash functions which have common application in digital signatures, checksums, and message authentication codes. Alternative physical security safeguards include, for example, protected distribution systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-8.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines physical safeguards to be implemented to protect information during transmission when cryptographic mechanisms are not implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements cryptographic mechanisms to do one or more of the following during transmission unless otherwise protected by organization-defined alternative physical safeguards:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-8.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprevent unauthorized disclosure of information; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edetect changes to information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(1)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alternative physical safeguards\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for defining and implementing alternative physical safeguards\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-8_a", + "desc": "organization-defined alternative physical safeguards", + "value": "organization-defined alternative physical safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.8.2.", + "title": "PRE / POST TRANSMISSION HANDLING", + "props": [ + { + "class": "name", + "value": "SC-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system maintains the [Selection (one or more): confidentiality; integrity] of information during preparation for transmission and during reception.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation can be either unintentionally or maliciously disclosed or modified during preparation for transmission or during reception including, for example, during aggregation, at protocol transformation points, and during packing/unpacking. These unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system maintains one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-8.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003econfidentiality of information during preparation for transmission;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econfidentiality of information during reception; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegrity of information during preparation for transmission;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegrity of information during reception.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing transmission confidentiality and/or integrity\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.8.3.", + "title": "CRYPTOGRAPHIC PROTECTION FOR MESSAGE EXTERNALS", + "props": [ + { + "class": "name", + "value": "SC-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to protect message externals unless otherwise protected by \u003cinsert param-id=\"sc-8_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses protection against unauthorized disclosure of information. Message externals include, for example, message headers/routing information. This control enhancement prevents the exploitation of message externals and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Header/routing information is sometimes transmitted unencrypted because the information is not properly identified by organizations as having significant value or because encrypting the information can result in lower network performance and/or higher costs. Alternative physical safeguards include, for example, protected distribution systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-8.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines alternative physical safeguards to be implemented to protect message externals; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements cryptographic mechanisms to protect message externals unless otherwise protected by organization-defined alternative physical safeguards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity for message externals\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alternative physical safeguards\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for defining and implementing alternative physical safeguards\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-8_b", + "desc": "organization-defined alternative physical safeguards", + "value": "organization-defined alternative physical safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.8.4.", + "title": "CONCEAL / RANDOMIZE COMMUNICATIONS", + "props": [ + { + "class": "name", + "value": "SC-8 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by \u003cinsert param-id=\"sc-8_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses protection against unauthorized disclosure of information. Communication patterns include, for example, frequency, periods, amount, and predictability. Changes to communications patterns can reveal information having intelligence value especially when combined with other available information related to missions/business functions supported by organizational information systems. This control enhancement prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed/random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical safeguards include, for example, protected distribution systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-8.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines alternative physical safeguards to be implemented to protect against unauthorized disclosure of communication patterns;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, unless otherwise protected by organization-defined alternative physical safeguards, implements cryptographic mechanisms to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(4)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-8.4.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003econceal communication patterns; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(4)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.4.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erandomize communication patterns.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(4)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms supporting and/or implementing concealment or randomization of communications patterns\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alternative physical safeguards\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for defining and implementing alternative physical safeguards\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-8_c", + "desc": "organization-defined alternative physical safeguards", + "value": "organization-defined alternative physical safeguards" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#197", + "value": "FIPS Publication 197" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-52", + "value": "NIST Special Publication 800-52" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-77", + "value": "NIST Special Publication 800-77" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-81", + "value": "NIST Special Publication 800-81" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-113", + "value": "NIST Special Publication 800-113" + } + ] + }, + { + "citations": [ + { + "href": "https://www.cnss.gov/policies.html", + "value": "CNSS Policy 15" + } + ] + }, + { + "citations": [ + { + "href": "http://www.cnss.gov/Assets/pdf/nstissi_7003.pdf", + "value": "NSTISSI No. 7003" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.9", + "title": "TRANSMISSION CONFIDENTIALITY", + "props": [ + { + "class": "name", + "value": "SC-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.8" + } + ] + }, + { + "class": "SP800-53", + "id": "sc.10", + "title": "NETWORK DISCONNECT", + "params": [ + { + "id": "sc-10_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "SC-10" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system terminates the network connection associated with a communications session at the end of the session or after \u003cinsert param-id=\"sc-10_a\"/\u003e of inactivity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. Time periods of inactivity may be established by organizations and include, for example, time periods by type of network access or for specific network accesses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-10-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a time period of inactivity after which the information system terminates a network connection associated with a communications session; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-10[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-10-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system terminates the network connection associated with a communication session at the end of the session or after the organization-defined time period of inactivity.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-10[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing network disconnect\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing network disconnect capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.11", + "title": "TRUSTED PATH", + "params": [ + { + "id": "sc-11_a", + "desc": "organization-defined security functions to include at a minimum, information system authentication and re-authentication", + "value": "organization-defined security functions to include at a minimum, information system authentication and re-authentication" + } + ], + "props": [ + { + "class": "name", + "value": "SC-11" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system establishes a trusted communications path between the user and the following security functions of the system: \u003cinsert param-id=\"sc-11_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTrusted paths are mechanisms by which users (through input devices) can communicate directly with security functions of information systems with the requisite assurance to support information security policies. The mechanisms can be activated only by users or the security functions of organizational information systems. User responses via trusted paths are protected from modifications by or disclosure to untrusted applications. Organizations employ trusted paths for high-assurance connections between security functions of information systems and users (e.g., during system logons). Enforcement of trusted communications paths is typically provided via an implementation that meets the reference monitor concept.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#ac.25" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-11-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security functions of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-11[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-11-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization-defined security functions include at a minimum, information system authentication and re-authentication; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-11[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-11-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system establishes a trusted communications path between the user and the organization-defined security functions of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-11[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing trusted communications paths\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eassessment results from independent, testing organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing trusted communications paths\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.11.1.", + "title": "LOGICAL ISOLATION", + "props": [ + { + "class": "name", + "value": "SC-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides a trusted communications path that is logically isolated and distinguishable from other paths.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides a trusted communications path that is:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-11.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003elogically isolated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-11(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-11.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edistinguishable from other paths.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-11(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing trusted communications paths\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eassessment results from independent, testing organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing trusted communications paths\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.12", + "title": "CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT", + "params": [ + { + "id": "sc-12_a", + "desc": "organization-defined requirements for key generation, distribution, storage, access, and destruction", + "value": "organization-defined requirements for key generation, distribution, storage, access, and destruction" + } + ], + "props": [ + { + "class": "name", + "value": "SC-12" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with \u003cinsert param-id=\"sc-12_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance, specifying appropriate options, levels, and parameters. Organizations manage trust stores to ensure that only approved trust anchors are in such trust stores. This includes certificates with visibility external to organizational information systems and certificates related to the internal operations of systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + }, + { + "href": "#sc.17" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-12-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines requirements for cryptographic key:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-12-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003egeneration;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-12-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edistribution;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-12-1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003estorage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-12-1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-12-1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003edestruction; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12[1][e]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-12-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes and manages cryptographic keys for required cryptography employed within the information system in accordance with organization-defined requirements for key generation, distribution, storage, access, and destruction.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cryptographic key establishment and management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for cryptographic key establishment and/or management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing cryptographic key establishment and management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.12.1.", + "title": "AVAILABILITY", + "props": [ + { + "class": "name", + "value": "SC-12 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization maintains availability of information in the event of the loss of cryptographic keys by users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEscrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys (e.g., due to forgotten passphrase).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization maintains availability of information in the event of the loss of cryptographic keys by users.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cryptographic key establishment, management, and recovery\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for cryptographic key establishment or management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing cryptographic key establishment and management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.12.2.", + "title": "SYMMETRIC KEYS", + "props": [ + { + "class": "name", + "value": "SC-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization produces, controls, and distributes symmetric cryptographic keys using [Selection: NIST FIPS-compliant; NSA-approved] key management technology and processes.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization produces, controls, and distributes symmetric cryptographic keys using one of the following: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-12.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eNIST FIPS-compliant key management technology and processes; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-12.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eNSA-approved key management technology and processes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cryptographic key establishment and management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of FIPS validated cryptographic products\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of NSA-approved cryptographic products\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for cryptographic key establishment or management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing symmetric cryptographic key establishment and management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.12.3.", + "title": "ASYMMETRIC KEYS", + "props": [ + { + "class": "name", + "value": "SC-12 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization produces, controls, and distributes asymmetric cryptographic keys using [Selection: NSA-approved key management technology and processes; approved PKI Class 3 certificates or prepositioned keying material; approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user�s private key].\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization produces, controls, and distributes asymmetric cryptographic keys using one of the following: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-12.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eNSA-approved key management technology and processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-12.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproved PKI Class 3 certificates or prepositioned keying material; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-12.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user’s private key.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cryptographic key establishment and management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of NSA-approved cryptographic products\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of approved PKI Class 3 and Class 4 certificates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for cryptographic key establishment or management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for PKI certificates\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing asymmetric cryptographic key establishment and management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.12.4.", + "title": "PKI CERTIFICATES", + "props": [ + { + "class": "name", + "value": "SC-12 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.12" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.12.5.", + "title": "PKI CERTIFICATES / HARDWARE TOKENS", + "props": [ + { + "class": "name", + "value": "SC-12 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-56", + "value": "NIST Special Publication 800-56" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-57", + "value": "NIST Special Publication 800-57" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.13", + "title": "CRYPTOGRAPHIC PROTECTION", + "params": [ + { + "id": "sc-13_a", + "desc": "organization-defined cryptographic uses and type of cryptography required for each use", + "value": "organization-defined cryptographic uses and type of cryptography required for each use" + } + ], + "props": [ + { + "class": "name", + "value": "SC-13" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"sc-13_a\"/\u003e in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptography can be employed to support a variety of security solutions including, for example, the protection of classified and Controlled Unclassified Information, the provision of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances for such information but lack the necessary formal access approvals. Cryptography can also be used to support random number generation and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. This control does not impose any requirements on organizations to use cryptography. However, if cryptography is required based on the selection of other security controls, organizations define each type of cryptographic use and the type of cryptography required (e.g., protection of classified information: NSA-approved cryptography; provision of digital signatures: FIPS-validated cryptography).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.7" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#au.9" + }, + { + "href": "#au.10" + }, + { + "href": "#cm.11" + }, + { + "href": "#cp.9" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.7" + }, + { + "href": "#ma.4" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#sa.4" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.28" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-13-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines cryptographic uses; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-13[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-13-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the type of cryptography required for each use; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-13[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-13-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements the organization-defined cryptographic uses and type of cryptography required for each use in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-13[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cryptographic protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic module validation certificates\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of FIPS validated cryptographic modules\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for cryptographic protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing cryptographic protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.13.1.", + "title": "FIPS-VALIDATED CRYPTOGRAPHY", + "props": [ + { + "class": "name", + "value": "SC-13 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.13.2.", + "title": "NSA-APPROVED CRYPTOGRAPHY", + "props": [ + { + "class": "name", + "value": "SC-13 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.13.3.", + "title": "INDIVIDUALS WITHOUT FORMAL ACCESS APPROVALS", + "props": [ + { + "class": "name", + "value": "SC-13 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.13.4.", + "title": "DIGITAL SIGNATURES", + "props": [ + { + "class": "name", + "value": "SC-13 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.13" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html", + "value": "FIPS Publication 140" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/cryptval", + "value": "http://csrc.nist.gov/cryptval" + } + ] + }, + { + "citations": [ + { + "href": "http://www.cnss.gov", + "value": "http://www.cnss.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.14", + "title": "PUBLIC ACCESS PROTECTIONS", + "props": [ + { + "class": "name", + "value": "SC-14" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eCapability provided by AC-2, AC-3, AC-5, AC-6, SI-3, SI-4, SI-5, SI-7, SI-10\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.5" + }, + { + "href": "#si.7" + }, + { + "href": "#si.10" + } + ] + }, + { + "class": "SP800-53", + "id": "sc.15", + "title": "COLLABORATIVE COMPUTING DEVICES", + "params": [ + { + "id": "sc-15_a", + "desc": "organization-defined exceptions where remote activation is to be allowed", + "value": "organization-defined exceptions where remote activation is to be allowed" + } + ], + "props": [ + { + "class": "name", + "value": "SC-15" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-15a.", + "prose": [ + "\u003cp class=\"description\"\u003eProhibits remote activation of collaborative computing devices with the following exceptions: \u003cinsert param-id=\"sc-15_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15a." + } + ] + }, + { + "class": "item", + "id": "smm_sc-15b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides an explicit indication of use to users physically present at the devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCollaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.21" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-15.a.", + "props": [ + { + "class": "name", + "value": "SC-15(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-15.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines exceptions where remote activation of collaborative computing devices is to be allowed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-15.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prohibits remote activation of collaborative computing devices, except for organization-defined exceptions where remote activation is to be allowed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-15.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides an explicit indication of use to users physically present at the devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing collaborative computing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing management of remote activation of collaborative computing devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms providing an indication of use of collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.15.1.", + "title": "PHYSICAL DISCONNECT", + "props": [ + { + "class": "name", + "value": "SC-15 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailing to physically disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to physically disconnect from such devices after a collaborative computing session helps to ensure that participants actually carry out the disconnect activity without having to go through complex and tedious procedures.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing collaborative computing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing physical disconnect of collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.15.2.", + "title": "BLOCKING INBOUND / OUTBOUND COMMUNICATIONS TRAFFIC", + "props": [ + { + "class": "name", + "value": "SC-15 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.15.3.", + "title": "DISABLING / REMOVAL IN SECURE WORK AREAS", + "props": [ + { + "class": "name", + "value": "SC-15 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization disables or removes collaborative computing devices from \u003cinsert param-id=\"sc-15_b\"/\u003e in \u003cinsert param-id=\"sc-15_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailing to disable or remove collaborative computing devices from information systems or information system components can result in subsequent compromises of organizational information including, for example, eavesdropping on conversations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-15.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems or information system components from which collaborative computing devices are to be disabled or removed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-15.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines secure work areas where collaborative computing devices are to be disabled or removed from information systems or information system components placed in such work areas; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-15.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisables or removes collaborative computing devices from organization-defined information systems or information system components in organization-defined secure work areas.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing collaborative computing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of secure work areas\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation systems or information system components in secured work areas where collaborative computing devices are to be disabled or removed\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the capability to disable collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-15_b", + "desc": "organization-defined information systems or information system components", + "value": "organization-defined information systems or information system components" + }, + { + "id": "sc-15_c", + "desc": "organization-defined secure work areas", + "value": "organization-defined secure work areas" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.15.4.", + "title": "EXPLICITLY INDICATE CURRENT PARTICIPANTS", + "props": [ + { + "class": "name", + "value": "SC-15 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides an explicit indication of current participants in \u003cinsert param-id=\"sc-15_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement helps to prevent unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-15.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines online meetings and teleconferences for which an explicit indication of current participants is to be provided; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-15.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides an explicit indication of current participants in organization-defined meetings and teleconferences.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing collaborative computing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of types of meetings and teleconferences requiring explicit indication of current participants\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the capability to indicate participants on collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-15_d", + "desc": "organization-defined online meetings and teleconferences", + "value": "organization-defined online meetings and teleconferences" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.16", + "title": "TRANSMISSION OF SECURITY ATTRIBUTES", + "params": [ + { + "id": "sc-16_a", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + } + ], + "props": [ + { + "class": "name", + "value": "SC-16" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system associates \u003cinsert param-id=\"sc-16_a\"/\u003e with information exchanged between information systems and between system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity attributes can be explicitly or implicitly associated with the information contained in organizational information systems or system components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-16-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security attributes to be associated with information exchanged:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-16[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-16-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ebetween information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-16[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-16-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ebetween system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-16[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-16-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system associates organization-defined security attributes with information exchanged:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-16[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-16-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ebetween information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-16[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-16-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ebetween system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-16[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transmission of security attributes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing transmission of security attributes between information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.16.1.", + "title": "INTEGRITY VALIDATION", + "props": [ + { + "class": "name", + "value": "SC-16 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system validates the integrity of transmitted security attributes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement ensures that the verification of the integrity of transmitted information includes security attributes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.10" + }, + { + "href": "#sc.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system validates the integrity of transmitted security attributes.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transmission of security attributes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing validation of the integrity of transmitted security attributes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.17", + "title": "PUBLIC KEY INFRASTRUCTURE CERTIFICATES", + "params": [ + { + "id": "sc-17_a", + "desc": "organization-defined certificate policy", + "value": "organization-defined certificate policy" + } + ], + "props": [ + { + "class": "name", + "value": "SC-17" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization issues public key certificates under an \u003cinsert param-id=\"sc-17_a\"/\u003e or obtains public key certificates from an approved service provider.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor all certificates, organizations manage information system trust stores to ensure only approved trust anchors are in the trust stores. This control addresses both certificates with visibility external to organizational information systems and certificates related to the internal operations of systems, for example, application-specific time services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-17-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a certificate policy for issuing public key certificates;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-17[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-17-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eissues public key certificates:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-17[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-17-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eunder an organization-defined certificate policy: or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-17[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-17-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtains public key certificates from an approved service provider.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-17[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing public key infrastructure certificates\u003c/p\u003e", + "\u003cp class=\"object\"\u003epublic key certificate policy or policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003epublic key issuing process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for issuing public key certificates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice providers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the management of public key infrastructure certificates\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2005/m05-24.pdf", + "value": "OMB Memorandum 05-24" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-32", + "value": "NIST Special Publication 800-32" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.18", + "title": "MOBILE CODE", + "props": [ + { + "class": "name", + "value": "SC-18" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-18a.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines acceptable and unacceptable mobile code and mobile code technologies;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18a." + } + ] + }, + { + "class": "item", + "id": "smm_sc-18b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18b." + } + ] + }, + { + "class": "item", + "id": "smm_sc-18c.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes, monitors, and controls the use of mobile code within the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDecisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices (e.g., smart phones). Mobile code policy and procedures address preventing the development, acquisition, or introduction of unacceptable mobile code within organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + }, + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-18.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines acceptable and unacceptable mobile code and mobile code technologies;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-18.b.", + "props": [ + { + "class": "name", + "value": "SC-18(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-18.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes usage restrictions for acceptable mobile code and mobile code technologies;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-18.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes implementation guidance for acceptable mobile code and mobile code technologies;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-18.c.", + "props": [ + { + "class": "name", + "value": "SC-18(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-18.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes the use of mobile code within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-18.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors the use of mobile code within the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-18.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols the use of mobile code within the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(c)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing mobile code\u003c/p\u003e", + "\u003cp class=\"object\"\u003emobile code usage restrictions, mobile code implementation policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of acceptable mobile code and mobile code technologies\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of unacceptable mobile code and mobile technologies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing mobile code\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for controlling, authorizing, monitoring, and restricting mobile code\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the management of mobile code\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of mobile code\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.18.1.", + "title": "IDENTIFY UNACCEPTABLE CODE / TAKE CORRECTIVE ACTIONS", + "props": [ + { + "class": "name", + "value": "SC-18 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system identifies \u003cinsert param-id=\"sc-18_a\"/\u003e and takes \u003cinsert param-id=\"sc-18_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrective actions when unacceptable mobile code is detected include, for example, blocking, quarantine, or alerting administrators. Blocking includes, for example, preventing transmission of word processing files with embedded macros when such macros have been defined to be unacceptable mobile code.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-18.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines unacceptable mobile code to be identified by the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines correctives actions to be taken when the information system identifies organization-defined unacceptable mobile code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(1)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-18.1.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies organization-defined unacceptable mobile code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(1)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.1.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003etakes organization-defined corrective actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(1)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing mobile code\u003c/p\u003e", + "\u003cp class=\"object\"\u003emobile code usage restrictions, mobile code implementation policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of unacceptable mobile code\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of corrective actions to be taken when unacceptable mobile code is identified\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing mobile code\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing mobile code detection, inspection, and corrective capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-18_a", + "desc": "organization-defined unacceptable mobile code", + "value": "organization-defined unacceptable mobile code" + }, + { + "id": "sc-18_b", + "desc": "organization-defined corrective actions", + "value": "organization-defined corrective actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.18.2.", + "title": "ACQUISITION / DEVELOPMENT / USE", + "props": [ + { + "class": "name", + "value": "SC-18 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets \u003cinsert param-id=\"sc-18_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-18.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines requirements for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(2)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-18.2.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe acquisition of mobile code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(2)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.2.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe development of mobile code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(2)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.2.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe use of mobile code; 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Preventing automatic execution of mobile code includes, for example, disabling auto execute features on information system components employing portable storage devices such as Compact Disks (CDs), Digital Video Disks (DVDs), and Universal Serial Bus (USB) devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-18.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines software applications in which the automatic execution of mobile code is to be prohibited;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines actions to be enforced by the information system prior to executing mobile code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents the automatic execution of mobile code in the organization-defined software applications; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(4)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.4.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces organization-defined actions prior to executing the code.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(4)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing mobile code\u003c/p\u003e", + "\u003cp class=\"object\"\u003emobile code usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003emobile code 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Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. Additional artifacts include, for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples of authoritative data. The means to indicate the security status of child zones includes, for example, the use of delegation signer resource records in the DNS. The DNS security controls reflect (and are referenced from) OMB Memorandum 08-23. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.10" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.21" + }, + { + "href": "#sc.22" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-20.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides additional data origin and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-20(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-20.b.", + "prose": [ 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Information systems that provide name and address resolution services for local clients include, for example, recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.20" + }, + { + "href": "#sc.22" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-21-1.", + "prose": [ + "\u003cp class=\"decision\"\u003erequests data origin authentication on the name/address resolution responses the system receives from authoritative sources;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-21[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-21-2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequests data integrity verification on the name/address resolution responses the system receives from authoritative sources;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-21[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-21-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms data origin authentication on the name/address resolution responses the system receives from authoritative sources; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-21[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-21-4.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms data integrity verification on the name/address resolution responses the system receives from authoritative sources.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-21[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing secure name/address resolution service (recursive or caching resolver)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing DNS\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.21.1.", + "title": "DATA ORIGIN / INTEGRITY", + "props": [ + { + "class": "name", + "value": "SC-21 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-21\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.21" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-81", + "value": "NIST Special Publication 800-81" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.22", + "title": "ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE", + "props": [ + { + "class": "name", + "value": "SC-22" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems that provide name and address resolution services include, for example, domain name system (DNS) servers. To eliminate single points of failure and to enhance redundancy, organizations employ at least two authoritative domain name system servers, one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in particular roles (e.g., by address ranges, explicit lists).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.2" + }, + { + "href": "#sc.20" + }, + { + "href": "#sc.21" + }, + { + "href": "#sc.24" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information systems that collectively provide name/address resolution service for an organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-22-1.", + "prose": [ + "\u003cp class=\"decision\"\u003eare fault tolerant; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-22[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-22-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplement internal/external role separation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-22[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing architecture and provisioning for name/address resolution service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eassessment results from independent, testing organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing DNS\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing name/address resolution service for fault tolerance and role separation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-81", + "value": "NIST Special Publication 800-81" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.23", + "title": "SESSION AUTHENTICITY", + "props": [ + { + "class": "name", + "value": "SC-23" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects the authenticity of communications sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses communications protection at the session, versus packet level (e.g., sessions in service-oriented architectures providing web-based services) and establishes grounds for confidence at both ends of communications sessions in ongoing identities of other parties and in the validity of information transmitted. Authenticity protection includes, for example, protecting against man-in-the-middle attacks/session hijacking and the insertion of false information into sessions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.10" + }, + { + "href": "#sc.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system protects the authenticity of communications sessions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session authenticity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing session authenticity\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.23.1.", + "title": "INVALIDATE SESSION IDENTIFIERS AT LOGOUT", + "props": [ + { + "class": "name", + "value": "SC-23 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system invalidates session identifiers upon user logout or other session termination.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement curtails the ability of adversaries from capturing and continuing to employ previously valid session IDs.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system invalidates session identifiers upon user logout or other session termination.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session authenticity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing session identifier invalidation upon session termination\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.23.2.", + "title": "USER-INITIATED LOGOUTS / MESSAGE DISPLAYS", + "props": [ + { + "class": "name", + "value": "SC-23 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-12 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.12.1." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.23.3.", + "title": "UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION", + "props": [ + { + "class": "name", + "value": "SC-23 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system generates a unique session identifier for each session with \u003cinsert param-id=\"sc-23_a\"/\u003e and recognizes only session identifiers that are system-generated.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement curtails the ability of adversaries from reusing previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers helps to protect against brute-force attacks to determine future session identifiers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-23.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines randomness requirements for generating a unique session identifier for each session;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-23(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-23.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system generates a unique session identifier for each session with organization-defined randomness requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-23(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-23.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system recognizes only session identifiers that are system-generated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-23(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session authenticity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing generating and monitoring unique session identifiers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing randomness requirements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-23_a", + "desc": "organization-defined randomness requirements", + "value": "organization-defined randomness requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.23.4.", + "title": "UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION", + "props": [ + { + "class": "name", + "value": "SC-23 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-23 (3)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.23.3." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.23.5.", + "title": "ALLOWED CERTIFICATE AUTHORITIES", + "props": [ + { + "class": "name", + "value": "SC-23 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system only allows the use of \u003cinsert param-id=\"sc-23_b\"/\u003e for verification of the establishment of protected sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eReliance on certificate authorities (CAs) for the establishment of secure sessions includes, for example, the use of Secure Socket Layer (SSL) and/or Transport Layer Security (TLS) certificates. These certificates, after verification by the respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-23.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines certificate authorities to be allowed for verification of the establishment of protected sessions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-23(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-23.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system only allows the use of organization-defined certificate authorities for verification of the establishment of protected sessions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-23(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session authenticity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of certificate authorities allowed for verification of the establishment of protected sessions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing management of certificate authorities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-23_b", + "desc": "organization-defined certificate authorities", + "value": "organization-defined certificate authorities" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-52", + "value": "NIST Special Publication 800-52" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-77", + "value": "NIST Special Publication 800-77" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-95", + "value": "NIST Special Publication 800-95" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.24", + "title": "FAIL IN KNOWN STATE", + "params": [ + { + "id": "sc-24_a", + "desc": "organization-defined known-state", + "value": "organization-defined known-state" + }, + { + "id": "sc-24_b", + "desc": "organization-defined types of failures", + "value": "organization-defined types of failures" + }, + { + "id": "sc-24_c", + "desc": "organization-defined system state information", + "value": "organization-defined system state information" + } + ], + "props": [ + { + "class": "name", + "value": "SC-24" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system fails to a \u003cinsert param-id=\"sc-24_a\"/\u003e for \u003cinsert param-id=\"sc-24_b\"/\u003e preserving \u003cinsert param-id=\"sc-24_c\"/\u003e in failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailure in a known state addresses security concerns in accordance with the mission/business needs of organizations. Failure in a known secure state helps to prevent the loss of confidentiality, integrity, or availability of information in the event of failures of organizational information systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission/business processes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.10" + }, + { + "href": "#cp.12" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.22" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-24-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a known-state to which the information system is to fail in the event of a system failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-24[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-24-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines types of failures for which the information system is to fail to an organization-defined known-state;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-24[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-24-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines system state information to be preserved in the event of a system failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-24[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-24-4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system fails to the organization-defined known-state for organization-defined types of failures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-24[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-24-5.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system preserves the organization-defined system state information in the event of a system failure.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-24[5]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system failure to known state\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of failures requiring information system to fail in a known state\u003c/p\u003e", + "\u003cp class=\"object\"\u003estate information to be preserved in system failure\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing fail-in-known state capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms preserving system state information in the event of a system failure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.25", + "title": "THIN NODES", + "params": [ + { + "id": "sc-25_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-25" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-25_a\"/\u003e with minimal functionality and information storage.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe deployment of information system components with reduced/minimal functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every user endpoint, and may reduce the exposure of information, information systems, and services to cyber attacks.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.30" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-25-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components to be employed with minimal functionality and information storage; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-25[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-25-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined information system components with minimal functionality and information storage.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-25[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing use of thin nodes\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing thin nodes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.26", + "title": "HONEYPOTS", + "props": [ + { + "class": "name", + "value": "SC-26" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA honeypot is set up as a decoy to attract adversaries and to deflect their attacks away from the operational systems supporting organizational missions/business function. Depending upon the specific usage of the honeypot, consultation with the Office of the General Counsel before deployment may be needed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.30" + }, + { + "href": "#sc.44" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing use of honeypots\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing honey pots\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.26.1.", + "title": "DETECTION OF MALICIOUS CODE", + "props": [ + { + "class": "name", + "value": "SC-26 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-35\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.35" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.27", + "title": "PLATFORM-INDEPENDENT APPLICATIONS", + "params": [ + { + "id": "sc-27_a", + "desc": "organization-defined platform-independent applications", + "value": "organization-defined platform-independent applications" + } + ], + "props": [ + { + "class": "name", + "value": "SC-27" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system includes: \u003cinsert param-id=\"sc-27_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlatforms are combinations of hardware and software used to run software applications. Platforms include: (i) operating systems; (ii) the underlying computer architectures, or (iii) both. Platform-independent applications are applications that run on multiple platforms. Such applications promote portability and reconstitution on different platforms, increasing the availability of critical functions within organizations while information systems with specific operating systems are under attack.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.29" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-27-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines platform-independent applications; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-27[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-27-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system includes organization-defined platform-independent applications.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-27[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing platform-independent applications\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of platform-independent applications\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing platform-independent applications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.28", + "title": "PROTECTION OF INFORMATION AT REST", + "params": [ + { + "id": "sc-28_a", + "desc": "organization-defined information at rest", + "value": "organization-defined information at rest" + } + ], + "props": [ + { + "class": "name", + "value": "SC-28" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects the [Selection (one or more): confidentiality; integrity] of \u003cinsert param-id=\"sc-28_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the confidentiality and integrity of information at rest and covers user information and system information. Information at rest refers to the state of information when it is located on storage devices as specific components of information systems. System-related information requiring protection includes, for example, configurations or rule sets for firewalls, gateways, intrusion detection/prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. Organizations may also employ other security controls including, for example, secure off-line storage in lieu of online storage when adequate protection of information at rest cannot otherwise be achieved and/or continuous monitoring to identify malicious code at rest.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#pe.3" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + }, + { + "href": "#si.3" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-28-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information at rest requiring one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-28-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003econfidentiality protection; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-28-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegrity protection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-28-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system protects:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-28-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe confidentiality of organization-defined information at rest; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-28-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe integrity of organization-defined information at rest.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of information at rest\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information at rest requiring confidentiality and integrity protections\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.28.1.", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-28 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to prevent unauthorized disclosure and modification of \u003cinsert param-id=\"sc-28_b\"/\u003e on \u003cinsert param-id=\"sc-28_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSelection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to significant concentrations of digital media in organizational areas designated for media storage and also to limited quantities of media generally associated with information system components in operational environments (e.g., portable storage devices, mobile devices). Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields). Organizations employing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#sc.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-28.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information requiring cryptographic protection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-28.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system components with organization-defined information requiring cryptographic protection; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-28.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system employs cryptographic mechanisms to prevent unauthorized disclosure and modification of organization-defined information on organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of information at rest\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms implementing confidentiality and integrity protections for information at rest\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-28_b", + "desc": "organization-defined information", + "value": "organization-defined information" + }, + { + "id": "sc-28_c", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.28.2.", + "title": "OFF-LINE STORAGE", + "props": [ + { + "class": "name", + "value": "SC-28 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization removes from online storage and stores off-line in a secure location \u003cinsert param-id=\"sc-28_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRemoving organizational information from online information system storage to off-line storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to off-line storage in lieu of protecting such information in online storage.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-28.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information to be removed from online storage and stored off-line in a secure location; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-28.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves organization-defined information from online storage; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-28.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003estores such information off-line in a secure location.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of information at rest\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eoff-line storage locations for information at rest\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing removal of information from online storage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing storage of information off-line\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-28_d", + "desc": "organization-defined information", + "value": "organization-defined information" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-56", + "value": "NIST Special Publication 800-56" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-57", + "value": "NIST Special Publication 800-57" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-111", + "value": "NIST Special Publication 800-111" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.29", + "title": "HETEROGENEITY", + "params": [ + { + "id": "sc-29_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-29" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs a diverse set of information technologies for \u003cinsert param-id=\"sc-29_a\"/\u003e in the implementation of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncreasing the diversity of information technologies within organizational information systems reduces the impact of potential exploitations of specific technologies and also defends against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one information system component will be equally effective against other system components, thus further increasing the adversary work factor to successfully complete planned cyber attacks. An increase in diversity may add complexity and management overhead which could ultimately lead to mistakes and unauthorized configurations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + }, + { + "href": "#sa.14" + }, + { + "href": "#sc.27" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-29-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components requiring a diverse set of information technologies to be employed in the implementation of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-29[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-29-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys a diverse set of information technologies for organization-defined information system components in the implementation of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-29[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of technologies deployed in the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for information system components or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system acquisition, development, and implementation responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing employment of a diverse set of information technologies\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.29.1.", + "title": "VIRTUALIZATION TECHNIQUES", + "props": [ + { + "class": "name", + "value": "SC-29 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed \u003cinsert param-id=\"sc-29_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhile frequent changes to operating systems and applications pose configuration management challenges, the changes can result in an increased work factor for adversaries in order to carry out successful cyber attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems/applications, provide virtual changes that impede attacker success while reducing configuration management efforts. In addition, virtualization techniques can assist organizations in isolating untrustworthy software and/or software of dubious provenance into confined execution environments.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-29.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to change the diversity of operating systems and applications deployed using virtualization techniques; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-29(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-29.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-29(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of operating systems and applications deployed using virtualization techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for implementing approved virtualization techniques to the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing employment of a diverse set of information technologies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing virtualization techniques\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-29_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.30", + "title": "CONCEALMENT AND MISDIRECTION", + "params": [ + { + "id": "sc-30_a", + "desc": "organization-defined concealment and misdirection techniques", + "value": "organization-defined concealment and misdirection techniques" + }, + { + "id": "sc-30_b", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + }, + { + "id": "sc-30_c", + "desc": "organization-defined time periods", + "value": "organization-defined time periods" + } + ], + "props": [ + { + "class": "name", + "value": "SC-30" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-30_a\"/\u003e for \u003cinsert param-id=\"sc-30_b\"/\u003e at \u003cinsert param-id=\"sc-30_c\"/\u003e to confuse and mislead adversaries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConcealment and misdirection techniques can significantly reduce the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. For example, virtualization techniques provide organizations with the ability to disguise information systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. Increased use of concealment/misdirection techniques including, for example, randomness, uncertainty, and virtualization, may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment/misdirection techniques may also provide organizations additional time to successfully perform core missions and business functions. Because of the time and effort required to support concealment/misdirection techniques, it is anticipated that such techniques would be used by organizations on a very limited basis.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.26" + }, + { + "href": "#sc.29" + }, + { + "href": "#si.14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-30-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines concealment and misdirection techniques to be employed to confuse and mislead adversaries potentially targeting organizational information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-30-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems for which organization-defined concealment and misdirection techniques are to be employed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-30-3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines time periods to employ organization-defined concealment and misdirection techniques for organization-defined information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-30-4.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined concealment and misdirection techniques for organization-defined information systems at organization-defined time periods to confuse and mislead adversaries.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of concealment and misdirection techniques to be employed for organizational information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for implementing concealment and misdirection techniques for information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing concealment and misdirection techniques\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.30.1.", + "title": "VIRTUALIZATION TECHNIQUES", + "props": [ + { + "class": "name", + "value": "SC-30 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-29 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.29.1." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.30.2.", + "title": "RANDOMNESS", + "props": [ + { + "class": "name", + "value": "SC-30 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-30_d\"/\u003e to introduce randomness into organizational operations and assets.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRandomness introduces increased levels of uncertainty for adversaries regarding the actions organizations take in defending against cyber attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations supporting critical missions/business functions. Uncertainty may also cause adversaries to hesitate before initiating or continuing attacks. Misdirection techniques involving randomness include, for example, performing certain routine actions at different times of day, employing different information technologies (e.g., browsers, search engines), using different suppliers, and rotating roles and responsibilities of organizational personnel.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-30.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines techniques to be employed to introduce randomness into organizational operations and assets; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-30.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined techniques to introduce randomness into organizational operations and assets.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of techniques to be employed to introduce randomness into organizational operations and assets\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for implementing concealment and misdirection techniques for information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing randomness as a concealment and misdirection technique\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-30_d", + "desc": "organization-defined techniques", + "value": "organization-defined techniques" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.30.3.", + "title": "CHANGE PROCESSING / STORAGE LOCATIONS", + "props": [ + { + "class": "name", + "value": "SC-30 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization changes the location of \u003cinsert param-id=\"sc-30_e\"/\u003e [Selection: \u003cinsert param-id=\"sc-30_f\"/\u003e; at random time intervals]].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAdversaries target critical organizational missions/business functions and the information resources supporting those missions and functions while at the same time, trying to minimize exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational information systems targeted by adversaries, make such systems more susceptible to cyber attacks with less adversary cost and effort to be successful. Changing organizational processing and storage locations (sometimes referred to as moving target defense) addresses the advanced persistent threat (APT) using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the information resources (i.e., processing and/or storage) supporting critical missions and business functions. Changing locations of processing activities and/or storage sites introduces uncertainty into the targeting activities by adversaries. This uncertainty increases the work factor of adversaries making compromises or breaches to organizational information systems much more difficult and time-consuming, and increases the chances that adversaries may inadvertently disclose aspects of tradecraft while attempting to locate critical organizational resources.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-30.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines processing and/or storage locations to be changed at time intervals specified by the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-30.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to change the location of organization-defined processing and/or storage; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-30.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges the location of organization-defined processing and/or storage at one of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(3)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-30.3.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined time intervals; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(3)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-30.3.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erandom time intervals.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(3)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of processing/storage locations to be changed at organizational time intervals\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for changing processing and/or storage locations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing changing processing and/or storage locations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-30_e", + "desc": "organization-defined processing and/or storage", + "value": "organization-defined processing and/or storage" + }, + { + "id": "sc-30_f", + "desc": "organization-defined time frequency", + "value": "organization-defined time frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.30.4.", + "title": "MISLEADING INFORMATION", + "props": [ + { + "class": "name", + "value": "SC-30 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs realistic, but misleading information in \u003cinsert param-id=\"sc-30_g\"/\u003e with regard to its security state or posture.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement misleads potential adversaries regarding the nature and extent of security safeguards deployed by organizations. As a result, adversaries may employ incorrect (and as a result ineffective) attack techniques. One way of misleading adversaries is for organizations to place misleading information regarding the specific security controls deployed in external information systems that are known to be accessed or targeted by adversaries. Another technique is the use of deception nets (e.g., honeynets, virtualized environments) that mimic actual aspects of organizational information systems but use, for example, out-of-date software configurations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-30.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components in which to employ realistic, but misleading information regarding its security state or posture; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-30.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys realistic, but misleading information in organization-defined information system components with regard to its security state or posture.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for defining and employing realistic, but misleading information about the security posture of information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing employment of realistic, but misleading information about the security posture of information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-30_g", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.30.5.", + "title": "CONCEALMENT OF SYSTEM COMPONENTS", + "props": [ + { + "class": "name", + "value": "SC-30 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-30_h\"/\u003e to hide or conceal \u003cinsert param-id=\"sc-30_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBy hiding, disguising, or otherwise concealing critical information system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means for organizations to hide and/or conceal information system components include, for example, configuration of routers or the use of honeynets or virtualization techniques.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-30.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines techniques to be employed to hide or conceal information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-30.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components to be hidden or concealed using organization-defined techniques; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-30.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined techniques to hide or conceal organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of techniques employed to hide or conceal information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system components to be hidden or concealed\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for concealment of system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing techniques for concealment of system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-30_h", + "desc": "organization-defined techniques", + "value": "organization-defined techniques" + }, + { + "id": "sc-30_i", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.31", + "title": "COVERT CHANNEL ANALYSIS", + "props": [ + { + "class": "name", + "value": "SC-31" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-31a.", + "prose": [ + "\u003cp class=\"description\"\u003ePerforms a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for covert [Selection (one or more): storage; timing] channels; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31a." + } + ] + }, + { + "class": "item", + "id": "smm_sc-31b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstimates the maximum bandwidth of those channels.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of information systems containing export-controlled information and having connections to external networks (i.e., networks not controlled by organizations). Covert channel analysis is also meaningful for multilevel secure (MLS) information systems, multiple security level (MSL) systems, and cross-domain systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#pl.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-31.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-31.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ecovert storage channels; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-31.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecovert timing channels; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-31.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eestimates the maximum bandwidth of those channels.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecovert channel analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with covert channel analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for conducting covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the capability to estimate the bandwidth of covert channels\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.31.1.", + "title": "TEST COVERT CHANNELS FOR EXPLOITABILITY", + "props": [ + { + "class": "name", + "value": "SC-31 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests a subset of the identified covert channels to determine which channels are exploitable.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization tests a subset of identified covert channels to determine which channels are exploitable.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of covert channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecovert channel analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with covert channel analysis responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for testing covert channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing testing of covert channels analysis\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.31.2.", + "title": "MAXIMUM BANDWIDTH", + "props": [ + { + "class": "name", + "value": "SC-31 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reduces the maximum bandwidth for identified covert [Selection (one or more); storage; timing] channels to \u003cinsert param-id=\"sc-31_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system developers are in the best position to reduce the maximum bandwidth for identified covert storage and timing channels.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-31.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines values to be employed as the maximum bandwidth allowed for identified covert channels; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-31.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereduces the maximum bandwidth to organization-defined values for one or more of the following identified:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(2)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-31.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecovert storage channels; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(2)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-31.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ecovert timing channels.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(2)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for information systems or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecovert channel analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with covert channel analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for conducting covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the capability to reduce the bandwidth of covert channels\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-31_a", + "desc": "organization-defined values", + "value": "organization-defined values" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.31.3.", + "title": "MEASURE BANDWIDTH IN OPERATIONAL ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "SC-31 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization measures the bandwidth of \u003cinsert param-id=\"sc-31_b\"/\u003e in the operational environment of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses covert channel bandwidth in operational environments versus developmental environments. Measuring covert channel bandwidth in operational environments helps organizations to determine how much information can be covertly leaked before such leakage adversely affects organizational missions/business functions. Covert channel bandwidth may be significantly different when measured in those settings that are independent of the particular environments of operation (e.g., laboratories or development environments).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-31.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines subset of identified covert channels whose bandwidth is to be measured in the operational environment of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-31.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emeasures the bandwidth of the organization-defined subset of identified covert channels in the operational environment of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecovert channel analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with covert channel analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for conducting covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the capability to measure the bandwidth of covert channels\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-31_b", + "desc": "organization-defined subset of identified covert channels", + "value": "organization-defined subset of identified covert channels" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.32", + "title": "INFORMATION SYSTEM PARTITIONING", + "params": [ + { + "id": "sc-32_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "sc-32_b", + "desc": "organization-defined circumstances for physical separation of components", + "value": "organization-defined circumstances for physical separation of components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-32" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization partitions the information system into \u003cinsert param-id=\"sc-32_a\"/\u003e residing in separate physical domains or environments based on \u003cinsert param-id=\"sc-32_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system partitioning is a part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components from physically distinct components in separate racks in the same room, to components in separate rooms for the more critical components, to more significant geographical separation of the most critical components. Security categorization can guide the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned information system components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#sa.8" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-32-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines circumstances for physical separation of information system components into information system partitions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-32[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-32-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components to reside in separate physical domains or environments based on organization-defined circumstances for physical separation of components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-32[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-32-3.", + "prose": [ + "\u003cp class=\"decision\"\u003epartitions the information system into organization-defined information system components residing in separate physical domains or environments based on organization-defined circumstances for physical separation of components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-32[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system partitioning\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system physical domains (or environments)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system facility diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system network diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing physical separation of information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.33", + "title": "TRANSMISSION PREPARATION INTEGRITY", + "props": [ + { + "class": "name", + "value": "SC-33" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.8" + } + ] + }, + { + "class": "SP800-53", + "id": "sc.34", + "title": "NON-MODIFIABLE EXECUTABLE PROGRAMS", + "params": [ + { + "id": "sc-34_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "sc-34_b", + "desc": "organization-defined applications", + "value": "organization-defined applications" + } + ], + "props": [ + { + "class": "name", + "value": "SC-34" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system at \u003cinsert param-id=\"sc-34_a\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-34a.", + "prose": [ + "\u003cp class=\"description\"\u003eLoads and executes the operating environment from hardware-enforced, read-only media; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34a." + } + ] + }, + { + "class": "item", + "id": "smm_sc-34b.", + "prose": [ + "\u003cp class=\"description\"\u003eLoads and executes \u003cinsert param-id=\"sc-34_b\"/\u003e from hardware-enforced, read-only media.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe term operating environment is defined as the specific code that hosts applications, for example, operating systems, executives, or monitors including virtual machine monitors (i.e., hypervisors). It can also include certain applications running directly on hardware platforms. Hardware-enforced, read-only media include, for example, Compact Disk-Recordable (CD-R)/Digital Video Disk-Recordable (DVD-R) disk drives and one-time programmable read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. The use of reprogrammable read-only memory can be accepted as read-only media provided: (i) integrity can be adequately protected from the point of initial writing to the insertion of the memory into the information system; and (ii) there are reliable hardware protections against reprogramming the memory while installed in organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-34-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system components for which the operating environment and organization-defined applications are to be loaded and executed from hardware-enforced, read-only media;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-34-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines applications to be loaded and executed from hardware-enforced, read-only media;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-34-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, at organization-defined information system components:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-34-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eloads and executes the operating environment from hardware-enforced, read-only media; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34[3](a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-34-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eloads and executes organization-defined applications from hardware-enforced, read-only media.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34[3](b)" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-modifiable executable programs\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of operating system components to be loaded from hardware-enforced, read-only media\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of applications to be loaded from hardware-enforced, read-only media\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia used to load and execute information system operating environment\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia used to load and execute information system applications\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing loading and executing the operating environment from hardware-enforced, read-only media\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing loading and executing applications from hardware-enforced, read-only media\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.34.1.", + "title": "NO WRITABLE STORAGE", + "props": [ + { + "class": "name", + "value": "SC-34 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-34_c\"/\u003e with no writeable storage that is persistent across component restart or power on/off.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement: (i) eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated information system components; and (ii) applies to both fixed and removable storage, with the latter being addressed directly or as specific restrictions imposed through access controls for mobile devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#mp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-34.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components to be employed with no writeable storage; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-34.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined information system components with no writeable storage that is persistent across component restart or power on/off.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-modifiable executable programs\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system components to be employed without writeable storage capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing employment of components with no writeable storage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing persistent non-writeable storage across component restart and power on/off\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-34_c", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.34.2.", + "title": "INTEGRITY PROTECTION / READ-ONLY MEDIA", + "props": [ + { + "class": "name", + "value": "SC-34 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects the integrity of information prior to storage on read-only media and controls the media after such information has been recorded onto the media.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity safeguards prevent the substitution of media into information systems or the reprogramming of programmable read-only media prior to installation into the systems. Security safeguards include, for example, a combination of prevention, detection, and response.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.5" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.9" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#sa.12" + }, + { + "href": "#sc.28" + }, + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-34.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the integrity of the information prior to storage on read-only media; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-34.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols the media after such information has been recorded onto the media.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-modifiable executable programs\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing capability for protecting information integrity on read-only media prior to storage and after information has been recorded onto the media\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.34.3.", + "title": "HARDWARE-BASED PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-34 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sc-34.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys hardware-based, write-protect for \u003cinsert param-id=\"sc-34_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sc-34.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements specific procedures for \u003cinsert param-id=\"sc-34_e\"/\u003e to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34 (3)(b)" + } + ] + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-34.3.a.", + "props": [ + { + "class": "name", + "value": "SC-34(3)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-34.3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system firmware components for which hardware-based, write-protection is to be employed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(3)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-34.3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys hardware-based, write-protection for organization-defined information system firmware components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(3)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-34.3.b.", + "props": [ + { + "class": "name", + "value": "SC-34(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-34.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines individuals authorized to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(3)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-34.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements specific procedures for organization-defined authorized individuals to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(3)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing firmware modifications\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for modifying firmware\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing hardware-based, write-protection for firmware\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-34_d", + "desc": "organization-defined information system firmware components", + "value": "organization-defined information system firmware components" + }, + { + "id": "sc-34_e", + "desc": "organization-defined authorized individuals", + "value": "organization-defined authorized individuals" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.35", + "title": "HONEYCLIENTS", + "props": [ + { + "class": "name", + "value": "SC-35" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHoneyclients differ from honeypots in that the components actively probe the Internet in search of malicious code (e.g., worms) contained on external websites. As with honeypots, honeyclients require some supporting isolation measures (e.g., virtualization) to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.26" + }, + { + "href": "#sc.44" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing honeyclients\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system components deployed to identify malicious websites and/or web-based malicious code\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing honeyclients\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.36", + "title": "DISTRIBUTED PROCESSING AND STORAGE", + "params": [ + { + "id": "sc-36_a", + "desc": "organization-defined processing and storage", + "value": "organization-defined processing and storage" + } + ], + "props": [ + { + "class": "name", + "value": "SC-36" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization distributes \u003cinsert param-id=\"sc-36_a\"/\u003e across multiple physical locations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDistributing processing and storage across multiple physical locations provides some degree of redundancy or overlap for organizations, and therefore increases the work factor of adversaries to adversely impact organizational operations, assets, and individuals. This control does not assume a single primary processing or storage location, and thus allows for parallel processing and storage.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-36-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines processing and storage to be distributed across multiple physical locations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-36[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-36-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edistributes organization-defined processing and storage across multiple physical locations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-36[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency planning policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system physical locations (or environments) with distributed processing and storage\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system facility diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocessing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003estorage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for distributing processing and storage across multiple physical locations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing capability for distributing processing and storage across multiple physical locations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.36.1.", + "title": "POLLING TECHNIQUES", + "props": [ + { + "class": "name", + "value": "SC-36 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs polling techniques to identify potential faults, errors, or compromises to \u003cinsert param-id=\"sc-36_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDistributed processing and/or storage may be employed to reduce opportunities for adversaries to successfully compromise the confidentiality, integrity, or availability of information and information systems. However, distribution of processing and/or storage components does not prevent adversaries from compromising one (or more) of the distributed components. Polling compares the processing results and/or storage content from the various distributed components and subsequently voting on the outcomes. Polling identifies potential faults, errors, or compromises in distributed processing and/or storage components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-36.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines distributed processing and storage components for which polling techniques are to be employed to identify potential faults, errors, or compromises; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-36(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-36.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys polling techniques to identify potential faults, errors, or compromises to organization-defined distributed processing and storage components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-36(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of distributed processing and storage components subject to polling\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system polling techniques and associated documentation or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing polling techniques\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-36_b", + "desc": "organization-defined distributed processing and storage components", + "value": "organization-defined distributed processing and storage components" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.37", + "title": "OUT-OF-BAND CHANNELS", + "params": [ + { + "id": "sc-37_a", + "desc": "organization-defined out-of-band channels", + "value": "organization-defined out-of-band channels" + }, + { + "id": "sc-37_b", + "desc": "organization-defined information, information system components, or devices", + "value": "organization-defined information, information system components, or devices" + }, + { + "id": "sc-37_c", + "desc": "organization-defined individuals or information systems", + "value": "organization-defined individuals or information systems" + } + ], + "props": [ + { + "class": "name", + "value": "SC-37" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-37_a\"/\u003e for the physical delivery or electronic transmission of \u003cinsert param-id=\"sc-37_b\"/\u003e to \u003cinsert param-id=\"sc-37_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOut-of-band channels include, for example, local (nonnetwork) accesses to information systems, network paths physically separate from network paths used for operational traffic, or nonelectronic paths such as the US Postal Service. This is in contrast with using the same channels (i.e., in-band channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability/exposure as in-band channels, and hence the confidentiality, integrity, or availability compromises of in-band channels will not compromise the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of many organizational items including, for example, identifiers/authenticators, configuration management changes for hardware, firmware, or software, cryptographic key management information, security updates, system/data backups, maintenance information, and malicious code protection updates.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.7" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ma.4" + }, + { + "href": "#sc.12" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-37-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines out-of-band channels to be employed for the physical delivery or electronic transmission of information, information system components, or devices to individuals or information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-37-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information, information system components, or devices for which physical delivery or electronic transmission of such information, information system components, or devices to individuals or information systems requires employment of organization-defined out-of-band channels;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-37-3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines individuals or information systems to which physical delivery or electronic transmission of organization-defined information, information system components, or devices is to be achieved via employment of organization-defined out-of-band channels; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-37-4.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined out-of-band channels for the physical delivery or electronic transmission of organization-defined information, information system components, or devices to organization-defined individuals or information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing use of out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eidentification and authentication policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003etypes of information, information system components, or devices requiring use of out-of-band channels for physical delivery or electronic transmission to authorized individuals or information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical delivery records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eelectronic transmission records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for use of out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing use of out-of-band channels\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.37.1.", + "title": "ENSURE DELIVERY / TRANSMISSION", + "props": [ + { + "class": "name", + "value": "SC-37 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-37_d\"/\u003e to ensure that only \u003cinsert param-id=\"sc-37_e\"/\u003e receive the \u003cinsert param-id=\"sc-37_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTechniques and/or methods employed by organizations to ensure that only designated information systems or individuals receive particular information, system components, or devices include, for example, sending authenticators via courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-37.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to ensure that only designated individuals or information systems receive specific information, information system components, or devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-37.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines individuals or information systems designated to receive specific information, information system components, or devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-37.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information, information system components, or devices that only organization-defined individuals or information systems are designated to receive; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-37.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards to ensure that only organization-defined individuals or information systems receive the organization-defined information, information system components, or devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37(1)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing use of out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eidentification and authentication policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards to be employed to ensure designated individuals or information systems receive organization-defined information, information system components, or devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards for delivering designated information, information system components, or devices to designated individuals or information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information, information system components, or devices to be delivered to designated individuals or information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for use of out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing use of out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting/implementing safeguards to ensure delivery of designated information, system components, or devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-37_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "sc-37_e", + "desc": "organization-defined individuals or information systems", + "value": "organization-defined individuals or information systems" + }, + { + "id": "sc-37_f", + "desc": "organization-defined information, information system components, or devices", + "value": "organization-defined information, information system components, or devices" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.38", + "title": "OPERATIONS SECURITY", + "params": [ + { + "id": "sc-38_a", + "desc": "organization-defined operations security safeguards", + "value": "organization-defined operations security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-38" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-38_a\"/\u003e to protect key organizational information throughout the system development life cycle.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOperations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: (i) identification of critical information (e.g., the security categorization process); (ii) analysis of threats; (iii) analysis of vulnerabilities; (iv) assessment of risks; and (v) the application of appropriate countermeasures. OPSEC safeguards are applied to both organizational information systems and the environments in which those systems operate. OPSEC safeguards help to protect the confidentiality of key information including, for example, limiting the sharing of information with suppliers and potential suppliers of information system components, information technology products and services, and with other non-organizational elements and individuals. Information critical to mission/business success includes, for example, user identities, element uses, suppliers, supply chain processes, functional and security requirements, system design specifications, testing protocols, and security control implementation details.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.2" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-38-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines operations security safeguards to be employed to protect key organizational information throughout the system development life cycle; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-38[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-38-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined operations security safeguards to protect key organizational information throughout the system development life cycle.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-38[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing operations security\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of operations security safeguards\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity control assessments\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessments\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethreat and vulnerability assessments\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplans of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem development life cycle documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for protecting organizational information throughout the SDLC\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing safeguards to protect organizational information throughout the SDLC\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.39", + "title": "PROCESS ISOLATION", + "props": [ + { + "class": "name", + "value": "SC-39" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system maintains a separate execution domain for each executing process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each information system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. This capability is available in most commercial operating systems that employ multi-state processor technologies.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.6" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.8" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system maintains a separate execution domain for each executing process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification and validation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etesting and evaluation documentation, other relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system developers/integrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architect\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing separate execution domains for each executing process\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.39.1.", + "title": "HARDWARE SEPARATION", + "props": [ + { + "class": "name", + "value": "SC-39 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements underlying hardware separation mechanisms to facilitate process separation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHardware-based separation of information system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Underlying hardware separation mechanisms include, for example, hardware memory management.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements underlying hardware separation mechanisms to facilitate process separation.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system documentation for hardware separation mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system documentation from vendors, manufacturers or developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification and validation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system capability implementing underlying hardware separation mechanisms for process separation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.39.2.", + "title": "THREAD ISOLATION", + "props": [ + { + "class": "name", + "value": "SC-39 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system maintains a separate execution domain for each thread in \u003cinsert param-id=\"sc-39_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-39.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines multi-threaded processing for which a separate execution domain is to be maintained for each thread in multi-threaded processing; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-39(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-39.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains a separate execution domain for each thread in organization-defined multi-threaded processing.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-39(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system execution domains for each thread in multi-threaded processing\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system documentation for multi-threaded processing\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system documentation from vendors, manufacturers or developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification and validation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system capability implementing a separate execution domain for each thread in multi-threaded processing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-39_a", + "desc": "organization-defined multi-threaded processing", + "value": "organization-defined multi-threaded processing" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.40", + "title": "WIRELESS LINK PROTECTION", + "params": [ + { + "id": "sc-40_a", + "desc": "organization-defined wireless links", + "value": "organization-defined wireless links" + }, + { + "id": "sc-40_b", + "desc": "organization-defined types of signal parameter attacks or references to sources for such attacks", + "value": "organization-defined types of signal parameter attacks or references to sources for such attacks" + } + ], + "props": [ + { + "class": "name", + "value": "SC-40" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects external and internal \u003cinsert param-id=\"sc-40_a\"/\u003e from \u003cinsert param-id=\"sc-40_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to internal and external wireless communication links that may be visible to individuals who are not authorized information system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or to spoof users of organizational information systems. This control reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement this control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#sc.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-40-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-40-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einternal wireless links to be protected from particular types of signal parameter attacks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-40-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eexternal wireless links to be protected from particular types of signal parameter attacks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-40-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines types of signal parameter attacks or references to sources for such attacks that are based upon exploiting the signal parameters of organization-defined internal and external wireless links; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-40-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system protects internal and external organization-defined wireless links from organization-defined types of signal parameter attacks or references to sources for such attacks.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless link protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist or internal and external wireless links\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of signal parameter attacks or references to sources for attacks\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing protection of wireless links\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.40.1.", + "title": "ELECTROMAGNETIC INTERFERENCE", + "props": [ + { + "class": "name", + "value": "SC-40 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms that achieve \u003cinsert param-id=\"sc-40_c\"/\u003e against the effects of intentional electromagnetic interference.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The control enhancement may also coincidentally help to mitigate the effects of unintentional jamming due to interference from legitimate transmitters sharing the same spectrum. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine levels of wireless link availability and performance/cryptography needed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-40.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines level of protection to be employed against the effects of intentional electromagnetic interference; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-40.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system employs cryptographic mechanisms that achieve organization-defined level of protection against the effects of intentional electromagnetic interference.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless link protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system communications hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity categorization results\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms enforcing protections against effects of intentional electromagnetic interference\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-40_c", + "desc": "organization-defined level of protection", + "value": "organization-defined level of protection" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.40.2.", + "title": "REDUCE DETECTION POTENTIAL", + "props": [ + { + "class": "name", + "value": "SC-40 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to reduce the detection potential of wireless links to \u003cinsert param-id=\"sc-40_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is needed for covert communications and protecting wireless transmitters from being geo-located by their transmissions. The control enhancement ensures that spread spectrum waveforms used to achieve low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine the levels to which wireless links should be undetectable.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-40.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines level of reduction to be achieved to reduce the detection potential of wireless links; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-40.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements cryptographic mechanisms to reduce the detection potential of wireless links to organization-defined level of reduction.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless link protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system communications hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity categorization results\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms enforcing protections to reduce detection of wireless links\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-40_d", + "desc": "organization-defined level of reduction", + "value": "organization-defined level of reduction" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.40.3.", + "title": "IMITATIVE OR MANIPULATIVE COMMUNICATIONS DECEPTION", + "props": [ + { + "class": "name", + "value": "SC-40 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based upon signal parameters alone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements cryptographic mechanisms to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-40.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentify wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-40.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system communications hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms enforcing wireless link protections against imitative or manipulative communications deception\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.40.4.", + "title": "SIGNAL PARAMETER IDENTIFICATION", + "props": [ + { + "class": "name", + "value": "SC-40 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to prevent the identification of \u003cinsert param-id=\"sc-40_e\"/\u003e by using the transmitter signal parameters.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRadio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission/user identification. This control enhancement protects against the unique identification of wireless transmitters for purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. This control enhancement helps assure mission success when anonymity is required.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-40.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines wireless transmitters for which cryptographic mechanisms are to be implemented to prevent identification of such transmitters by using the transmitter signal parameters; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-40.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements cryptographic mechanisms to prevent the identification of organization-defined wireless transmitters by using the transmitter signal parameters.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system communications hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms preventing the identification of wireless transmitters\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-40_e", + "desc": "organization-defined wireless transmitters", + "value": "organization-defined wireless transmitters" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.41", + "title": "PORT AND I/O DEVICE ACCESS", + "params": [ + { + "id": "sc-41_a", + "desc": "organization-defined connection ports or input/output devices", + "value": "organization-defined connection ports or input/output devices" + }, + { + "id": "sc-41_b", + "desc": "organization-defined information systems or information system components", + "value": "organization-defined information systems or information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-41" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization physically disables or removes \u003cinsert param-id=\"sc-41_a\"/\u003e on \u003cinsert param-id=\"sc-41_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConnection ports include, for example, Universal Serial Bus (USB) and Firewire (IEEE 1394). Input/output (I/O) devices include, for example, Compact Disk (CD) and Digital Video Disk (DVD) drives. Physically disabling or removing such connection ports and I/O devices helps prevent exfiltration of information from information systems and the introduction of malicious code into systems from those ports/devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-41-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines connection ports or input/output devices to be physically disabled or removed on information systems or information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-41[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-41-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems or information system components with organization-defined connection ports or input/output devices that are to be physically disabled or removed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-41[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-41-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ephysically disables or removes organization-defined connection ports or input/output devices on organization-defined information systems or information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-41[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing port and input/output device access\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation systems or information system components list of connection ports or input/output devices to be physically disabled or removed on information systems or information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing disabling of connection ports or input/output devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.42", + "title": "SENSOR CAPABILITY AND DATA", + "params": [ + { + "id": "sc-42_a", + "desc": "organization-defined exceptions where remote activation of sensors is allowed", + "value": "organization-defined exceptions where remote activation of sensors is allowed" + }, + { + "id": "sc-42_b", + "desc": "organization-defined class of users", + "value": "organization-defined class of users" + } + ], + "props": [ + { + "class": "name", + "value": "SC-42" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-42a.", + "prose": [ + "\u003cp class=\"description\"\u003eProhibits the remote activation of environmental sensing capabilities with the following exceptions: \u003cinsert param-id=\"sc-42_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42a." + } + ] + }, + { + "class": "item", + "id": "smm_sc-42b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides an explicit indication of sensor use to \u003cinsert param-id=\"sc-42_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control often applies to types of information systems or system components characterized as mobile devices, for example, smart phones, tablets, and E-readers. These systems often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include, for example, cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the specific movements of an individual.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-42.a.", + "props": [ + { + "class": "name", + "value": "SC-42(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-42.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines exceptions where remote activation of sensors is to be allowed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-42.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prohibits the remote activation of sensors, except for organization-defined exceptions where remote activation of sensors is to be allowed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-42.b.", + "props": [ + { + "class": "name", + "value": "SC-42(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-42.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the class of users to whom an explicit indication of sensor use is to be provided; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-42.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides an explicit indication of sensor use to the organization-defined class of users.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing sensor capability and data collection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for sensor capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access controls for remote activation of information system sensor capabilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing capability to indicate sensor use\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.42.1.", + "title": "REPORTING TO AUTHORIZED INDIVIDUALS OR ROLES", + "props": [ + { + "class": "name", + "value": "SC-42 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that the information system is configured so that data or information collected by the \u003cinsert param-id=\"sc-42_c\"/\u003e is only reported to authorized individuals or roles.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn situations where sensors are activated by authorized individuals (e.g., end users), it is still possible that the data/information collected by the sensors will be sent to unauthorized entities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-42.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines sensors to be used to collect data or information only reported to authorized individuals or roles; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-42.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the information system is configured so that data or information collected by the organization-defined sensors is only reported to authorized individuals or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing sensor capability and data collection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for sensor capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms restricting reporting of sensor information only to those authorized\u003c/p\u003e", + "\u003cp class=\"object\"\u003esensor data collection and reporting capability for the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-42_c", + "desc": "organization-defined sensors", + "value": "organization-defined sensors" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.42.2.", + "title": "AUTHORIZED USE", + "props": [ + { + "class": "name", + "value": "SC-42 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs the following measures: \u003cinsert param-id=\"sc-42_d\"/\u003e, so that data or information collected by \u003cinsert param-id=\"sc-42_e\"/\u003e is only used for authorized purposes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation collected by sensors for a specific authorized purpose potentially could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track movements of individuals. Measures to mitigate such activities include, for example, additional training to ensure that authorized parties do not abuse their authority, or (in the case where sensor data/information is maintained by external parties) contractual restrictions on the use of the data/information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-42.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines measures to be employed so that data or information collected by sensors is only used for authorized purposes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-42.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines sensors to be used to collect data or information for authorized purposes only; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-42.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined measures so that data or information collected by organization-defined sensors is only used for authorized purposes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003esensor capability and data collection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of measures to be employed to ensure data or information collected by sensors is only used for authorized purposes\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for sensor capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing measures to ensure sensor information is only used for authorized purposes\u003c/p\u003e", + "\u003cp class=\"object\"\u003esensor information collection capability for the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-42_d", + "desc": "organization-defined measures", + "value": "organization-defined measures" + }, + { + "id": "sc-42_e", + "desc": "organization-defined sensors", + "value": "organization-defined sensors" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.42.3.", + "title": "PROHIBIT USE OF DEVICES", + "props": [ + { + "class": "name", + "value": "SC-42 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the use of devices possessing \u003cinsert param-id=\"sc-42_f\"/\u003e in \u003cinsert param-id=\"sc-42_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor example, organizations may prohibit individuals from bringing cell phones or digital cameras into certain facilities or specific controlled areas within facilities where classified information is stored or sensitive conversations are taking place.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-42.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines environmental sensing capabilities to be prohibited from use in facilities, areas, or systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-42.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines facilities, areas, or systems where the use of devices possessing organization-defined environmental sensing capabilities is to be prohibited; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-42.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the use of devices possessing organization-defined environmental sensing capabilities in organization-defined facilities, areas, or systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing sensor capability and data collection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacilities, areas, or systems where use of devices possessing environmental sensing capabilities is prohibited\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of devices possessing environmental sensing capabilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for sensor capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "sc-42_f", + "desc": "organization-defined environmental sensing capabilities", + "value": "organization-defined environmental sensing capabilities" + }, + { + "id": "sc-42_g", + "desc": "organization-defined facilities, areas, or systems", + "value": "organization-defined facilities, areas, or systems" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.43", + "title": "USAGE RESTRICTIONS", + "params": [ + { + "id": "sc-43_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-43" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-43a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes usage restrictions and implementation guidance for \u003cinsert param-id=\"sc-43_a\"/\u003e based on the potential to cause damage to the information system if used maliciously; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43a." + } + ] + }, + { + "class": "item", + "id": "smm_sc-43b.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes, monitors, and controls the use of such components within the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system components include hardware, software, or firmware components (e.g., Voice Over Internet Protocol, mobile code, digital copiers, printers, scanners, optical devices, wireless technologies, mobile devices).\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-43.a.", + "props": [ + { + "class": "name", + "value": "SC-43(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-43.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components for which usage restrictions and implementation guidance are to be established;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-43.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes, for organization-defined information system components:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-43.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eusage restrictions based on the potential to cause damage to the information system if used maliciously;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-43.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplementation guidance based on the potential to cause damage to the information system if used maliciously;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43(a)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-43.b.", + "props": [ + { + "class": "name", + "value": "SC-43(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-43.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes the use of such components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-43.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors the use of such components within the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-43.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols the use of such components within the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43(b)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eusage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eimplementation policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for authorizing, monitoring, and controlling use of components with usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing authorizing, monitoring, and controlling use of components with usage restrictions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.44", + "title": "DETONATION CHAMBERS", + "params": [ + { + "id": "sc-44_a", + "desc": "organization-defined information system, system component, or location", + "value": "organization-defined information system, system component, or location" + } + ], + "props": [ + { + "class": "name", + "value": "SC-44" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs a detonation chamber capability within \u003cinsert param-id=\"sc-44_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator (URL) requests in the safety of an isolated environment or virtualized sandbox. These protected and isolated execution environments provide a means of determining whether the associated attachments/applications contain malicious code. While related to the concept of deception nets, the control is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, it is intended to quickly identify malicious code and reduce the likelihood that the code is propagated to user environments of operation (or prevent such propagation completely).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.7" + }, + { + "href": "#sc.25" + }, + { + "href": "#sc.26" + }, + { + "href": "#sc.30" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-44-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system, system component, or location where a detonation chamber capability is to be employed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-44[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-44-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys a detonation chamber capability within organization-defined information system, system component, or location.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-44[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing detonation chambers\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing detonation chamber capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "SYSTEM AND INFORMATION INTEGRITY", + "controls": [ + { + "class": "SP800-53", + "id": "si.1", + "title": "SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES", + "params": [ + { + "id": "si-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "si-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"si-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_si-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem and information integrity policy \u003cinsert param-id=\"si-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem and information integrity procedures \u003cinsert param-id=\"si-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.a.1.", + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a system and information integrity policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the system and information integrity policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the system and information integrity policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.2.", + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.b.1.", + "props": [ + { + "class": "name", + "value": "SI-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current system and information integrity policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current system and information integrity policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.b.2.", + "props": [ + { + "class": "name", + "value": "SI-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current system and information integrity procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current system and information integrity procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and information integrity responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.2", + "title": "FLAW REMEDIATION", + "params": [ + { + "id": "si-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "SI-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies, reports, and corrects information system flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2a." + } + ] + }, + { + "class": "item", + "id": "smm_si-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eTests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2b." + } + ] + }, + { + "class": "item", + "id": "smm_si-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eInstalls security-relevant software and firmware updates within \u003cinsert param-id=\"si-2_a\"/\u003e of the release of the updates; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2c." + } + ] + }, + { + "class": "item", + "id": "smm_si-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eIncorporates flaw remediation into the organizational configuration management process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.8" + }, + { + "href": "#ma.2" + }, + { + "href": "#ir.4" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.10" + }, + { + "href": "#sa.11" + }, + { + "href": "#si.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-2.a.", + "props": [ + { + "class": "name", + "value": "SI-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies information system flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports information system flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ecorrects information system flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.b.", + "props": [ + { + "class": "name", + "value": "SI-2(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003etests software updates related to flaw remediation for effectiveness and potential side effects before installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests firmware updates related to flaw remediation for effectiveness and potential side effects before installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.c.", + "props": [ + { + "class": "name", + "value": "SI-2(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which to install security-relevant software updates after the release of the updates;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which to install security-relevant firmware updates after the release of the updates;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003einstalls software updates within the organization-defined time period of the release of the updates;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(c)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.c.4.", + "prose": [ + "\u003cp class=\"decision\"\u003einstalls firmware updates within the organization-defined time period of the release of the updates; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(c)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eincorporates flaw remediation into the organizational configuration management process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of flaws and vulnerabilities potentially affecting the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of recent security flaw remediation actions performed on the information system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct information system flaws)\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest results from the installation of software and firmware updates to correct information system flaws\u003c/p\u003e", + "\u003cp class=\"object\"\u003einstallation/change control records for security-relevant software and firmware updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibility\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for identifying, reporting, and correcting information system flaws\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for installing software and firmware updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing reporting, and correcting information system flaws\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing testing software and firmware updates\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.2.1.", + "title": "CENTRAL MANAGEMENT", + "props": [ + { + "class": "name", + "value": "SI-2 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization centrally manages the flaw remediation process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management is the organization-wide management and implementation of flaw remediation processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation security controls.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization centrally manages the flaw remediation process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting centralized management of flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for central management of the flaw remediation process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing central management of the flaw remediation process\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.2.", + "title": "AUTOMATED FLAW REMEDIATION STATUS", + "props": [ + { + "class": "name", + "value": "SI-2 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms \u003cinsert param-id=\"si-2_b\"/\u003e to determine the state of information system components with regard to flaw remediation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to employ automated mechanisms to determine the state of information system components with regard to flaw remediation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms with the organization-defined frequency to determine the state of information system components with regard to flaw remediation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting centralized management of flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms used to determine the state of information system components with regard to flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.3.", + "title": "TIME TO REMEDIATE FLAWS / BENCHMARKS FOR CORRECTIVE ACTIONS", + "props": [ + { + "class": "name", + "value": "SI-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-2.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eMeasures the time between flaw identification and flaw remediation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-2.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes \u003cinsert param-id=\"si-2_c\"/\u003e for taking corrective actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires organizations to determine the current time it takes on the average to correct information system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by type of flaw and/or severity of the potential vulnerability if the flaw can be exploited.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emeasures the time between flaw identification and flaw remediation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(3)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.3.b.", + "props": [ + { + "class": "name", + "value": "SI-2(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines benchmarks for taking corrective actions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(3)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes organization-defined benchmarks for taking corrective actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(3)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of benchmarks for taking corrective action on flaws identified\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords providing time stamps of flaw identification and subsequent flaw remediation activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for identifying, reporting, and correcting information system flaws\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms used to measure the time between flaw identification and flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-2_c", + "desc": "organization-defined benchmarks", + "value": "organization-defined benchmarks" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.4.", + "title": "AUTOMATED PATCH MANAGEMENT TOOLS", + "props": [ + { + "class": "name", + "value": "SI-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.2" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.5.", + "title": "AUTOMATIC SOFTWARE / FIRMWARE UPDATES", + "props": [ + { + "class": "name", + "value": "SI-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization installs \u003cinsert param-id=\"si-2_d\"/\u003e automatically to \u003cinsert param-id=\"si-2_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDue to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates. Organizations must balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and with any mission or operational impacts that automatic updates might impose.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.5.1.", + "props": [ + { + "class": "name", + "value": "SI-2(5)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.5.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components requiring security-relevant software updates to be automatically installed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components requiring security-relevant firmware updates to be automatically installed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.2.", + "props": [ + { + "class": "name", + "value": "SI-2(5)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.5.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security-relevant software updates to be automatically installed to organization-defined information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security-relevant firmware updates to be automatically installed to organization-defined information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[2][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.3.", + "props": [ + { + "class": "name", + "value": "SI-2(5)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.5.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einstalls organization-defined security-relevant software updates automatically to organization-defined information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003einstalls organization-defined security-relevant firmware updates automatically to organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting flaw remediation and automatic software/firmware updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of recent security-relevant software and firmware updates automatically installed to information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing automatic software/firmware updates\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-2_d", + "desc": "organization-defined security-relevant software and firmware updates", + "value": "organization-defined security-relevant software and firmware updates" + }, + { + "id": "si-2_e", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.6.", + "title": "REMOVAL OF PREVIOUS VERSIONS OF SOFTWARE / FIRMWARE", + "props": [ + { + "class": "name", + "value": "SI-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization removes \u003cinsert param-id=\"si-2_f\"/\u003e after updated versions have been installed.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrevious versions of software and/or firmware components that are not removed from the information system after updates have been installed may be exploited by adversaries. Some information technology products may remove older versions of software and/or firmware automatically from the information system.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.6.1.", + "props": [ + { + "class": "name", + "value": "SI-2(6)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.6.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines software components to be removed after updated versions have been installed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(6)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.6.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines firmware components to be removed after updated versions have been installed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(6)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.6.2.", + "props": [ + { + "class": "name", + "value": "SI-2(6)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.6.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves organization-defined software components after updated versions have been installed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(6)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.6.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves organization-defined firmware components after updated versions have been installed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(6)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of software and firmware component removals after updated versions are installed\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing removal of previous versions of software/firmware\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-2_f", + "desc": "organization-defined software and firmware components", + "value": "organization-defined software and firmware components" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-40", + "value": "NIST Special Publication 800-40" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.3", + "title": "MALICIOUS CODE PROTECTION", + "params": [ + { + "id": "si-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "si-3_b", + "desc": "organization-defined action", + "value": "organization-defined action" + } + ], + "props": [ + { + "class": "name", + "value": "SI-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3a." + } + ] + }, + { + "class": "item", + "id": "smm_si-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3b." + } + ] + }, + { + "class": "item", + "id": "smm_si-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eConfigures malicious code protection mechanisms to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3c." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-3c.1.", + "prose": [ + "\u003cp class=\"description\"\u003ePerform periodic scans of the information system \u003cinsert param-id=\"si-3_a\"/\u003e and real-time scans of files from external sources at [Selection (one or more); endpoint; network entry/exit points] as the files are downloaded, opened, or executed in accordance with organizational security policy; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3c.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-3c.2.", + "prose": [ + "\u003cp class=\"description\"\u003e[Selection (one or more): block malicious code; quarantine malicious code; send alert to administrator; \u003cinsert param-id=\"si-3_b\"/\u003e] in response to malicious code detection; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_si-3d.", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden in files using steganography. Malicious code can be transported by different means including, for example, web accesses, electronic mail, electronic mail attachments, and portable storage devices. Malicious code insertions occur through the exploitation of information system vulnerabilities. Malicious code protection mechanisms include, for example, anti-virus signature definitions and reputation-based technologies. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Pervasive configuration management and comprehensive software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions/business functions. Traditional malicious code protection mechanisms cannot always detect such code. In these situations, organizations rely instead on other safeguards including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, and/or actions in response to detection of maliciousness when attempting to open or execute files.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#mp.2" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.13" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.26" + }, + { + "href": "#sc.44" + }, + { + "href": "#si.2" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys malicious code protection mechanisms to detect and eradicate malicious code at information system:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eentry points;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eexit points;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures (as identified in CM-1);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.", + "props": [ + { + "class": "name", + "value": "SI-3(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency for malicious code protection mechanisms to perform periodic scans of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines action to be initiated by malicious protection mechanisms in response to malicious code detection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.", + "props": [ + { + "class": "name", + "value": "SI-3(c)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.c.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003econfigures malicious code protection mechanisms to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.c.3.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eperform periodic scans of the information system with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](1)[a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eperform real-time scans of files from external sources at endpoint and/or network entry/exit points as the files are downloaded, opened, or executed in accordance with organizational security policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](1)[b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econfigures malicious code protection mechanisms to do one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.c.3.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eblock malicious code in response to malicious code detection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003equarantine malicious code in response to malicious code detection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003esend alert to administrator in response to malicious code detection; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[c]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003einitiate organization-defined action in response to malicious code detection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[d]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.d.", + "props": [ + { + "class": "name", + "value": "SI-3(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses the receipt of false positives during malicious code detection and eradication; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses the resulting potential impact on the availability of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of malicious code protection updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003escan results from malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecord of actions initiated by malicious code protection mechanisms in response to malicious code detection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibility\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for employing, updating, and configuring malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for addressing false positives and resulting potential impact\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing employing, updating, and configuring malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing malicious code scanning and subsequent actions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.3.1.", + "title": "CENTRAL MANAGEMENT", + "props": [ + { + "class": "name", + "value": "SI-3 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization centrally manages malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management is the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw malicious code protection security controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#si.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization centrally manages malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting centralized management of malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for central management of malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing central management of malicious code protection mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.2.", + "title": "AUTOMATIC UPDATES", + "props": [ + { + "class": "name", + "value": "SI-3 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically updates malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMalicious code protection mechanisms include, for example, signature definitions. Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system automatically updates malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting centralized management of malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing automatic updates to malicious code protection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.3.", + "title": "NON-PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-6 (10)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.6.10." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.4.", + "title": "UPDATES ONLY BY PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system updates malicious code protection mechanisms only when directed by a privileged user.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement may be appropriate for situations where for reasons of security or operational continuity, updates are only applied when selected/approved by designated organizational personnel.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#cm.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system updates malicious code protection mechanisms only when directed by a privileged user.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of malicious code protection updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.5.", + "title": "PORTABLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "SI-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.6.", + "title": "TESTING / VERIFICATION", + "props": [ + { + "class": "name", + "value": "SI-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-3.6.a.", + "prose": [ + "\u003cp class=\"description\"\u003eTests malicious code protection mechanisms \u003cinsert param-id=\"si-3_c\"/\u003e by introducing a known benign, non-spreading test case into the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (6)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-3.6.b.", + "prose": [ + "\u003cp class=\"description\"\u003eVerifies that both detection of the test case and associated incident reporting occur.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (6)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.6.a.", + "props": [ + { + "class": "name", + "value": "SI-3(6)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.6.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to test malicious code protection mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(6)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.6.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests malicious code protection mechanisms with the organization-defined frequency by introducing a known benign, non-spreading test case into the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(6)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.6.b.", + "props": [ + { + "class": "name", + "value": "SI-3(6)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003everifies that detection of the test case occurs; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(6)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003everifies that associated incident reporting occurs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(6)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest cases\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords providing evidence of test cases executed on malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing testing and verification of malicious code protection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.7.", + "title": "NONSIGNATURE-BASED DETECTION", + "props": [ + { + "class": "name", + "value": "SI-3 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements nonsignature-based malicious code detection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNonsignature-based detection mechanisms include, for example, the use of heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide safeguards against malicious code for which signatures do not yet exist or for which existing signatures may not be effective. This includes polymorphic malicious code (i.e., code that changes signatures when it replicates). This control enhancement does not preclude the use of signature-based detection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements non signature-based malicious code detection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of malicious code protection updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing nonsignature-based malicious code protection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.8.", + "title": "DETECT UNAUTHORIZED COMMANDS", + "props": [ + { + "class": "name", + "value": "SI-3 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system detects \u003cinsert param-id=\"si-3_d\"/\u003e through the kernel application programming interface at \u003cinsert param-id=\"si-3_e\"/\u003e and [Selection (one or more): issues a warning; audits the command execution; prevents the execution of the command].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement can also be applied to critical interfaces other than kernel-based interfaces, including for example, interfaces with virtual machines and privileged applications. Unauthorized operating system commands include, for example, commands for kernel functions from information system processes that are not trusted to initiate such commands, or commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can define hardware components by specific component, component type, location in the network, or combination therein. Organizations may select different actions for different types/classes/specific instances of potentially malicious commands.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines unauthorized operating system commands to be detected by the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system hardware components for which organization-defined unauthorized operating system commands are to be detected through the kernel application programming interface;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.8.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system detects organization-defined unauthorized operating system commands through the kernel application programming interface at organization-defined information system hardware components, and does one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.8.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eissues a warning;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.8.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudits the command execution; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.8.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprevents the execution of the command.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewarning messages sent upon detection of unauthorized operating system command execution\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing detection of unauthorized operating system commands through the kernel application programming interface\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-3_d", + "desc": "organization-defined unauthorized operating system commands", + "value": "organization-defined unauthorized operating system commands" + }, + { + "id": "si-3_e", + "desc": "organization-defined information system hardware components", + "value": "organization-defined information system hardware components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.9.", + "title": "AUTHENTICATE REMOTE COMMANDS", + "props": [ + { + "class": "name", + "value": "SI-3 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"si-3_f\"/\u003e to authenticate \u003cinsert param-id=\"si-3_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects against unauthorized commands and replay of authorized commands. This capability is important for those remote information systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or serious consequences (e.g., injury or death, property damage, loss of high-valued assets or sensitive information, or failure of important missions/business functions). Authentication safeguards for remote commands help to ensure that information systems accept and execute in the order intended, only authorized commands, and that unauthorized commands are rejected. Cryptographic mechanisms can be employed, for example, to authenticate remote commands.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.23" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be implemented by the information system to authenticate organization-defined remote commands;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines remote commands to be authenticated by organization-defined security safeguards; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(9)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.9.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined security safeguards to authenticate organization-defined remote commands.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(9)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewarning messages sent upon detection of unauthorized operating system command execution\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing authentication of remote commands\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security safeguards to authenticate remote commands\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-3_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "si-3_g", + "desc": "organization-defined remote commands", + "value": "organization-defined remote commands" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.10.", + "title": "MALICIOUS CODE ANALYSIS", + "props": [ + { + "class": "name", + "value": "SI-3 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-3.10.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"si-3_h\"/\u003e to analyze the characteristics and behavior of malicious code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (10)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-3.10.b.", + "prose": [ + "\u003cp class=\"description\"\u003eIncorporates the results from malicious code analysis into organizational incident response and flaw remediation processes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (10)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe application of selected malicious code analysis tools and techniques provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates more effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by using reverse engineering techniques or by monitoring the behavior of executing code.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.10.a.", + "props": [ + { + "class": "name", + "value": "SI-3(10)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.10.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines tools and techniques to be employed to analyze the characteristics and behavior of malicious code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(10)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.10.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined tools and techniques to analyze the characteristics and behavior of malicious code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(10)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.10.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eincorporates the results from malicious code analysis into incident response and flaw remediate processes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(10)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms, tools, and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eresults from malicious code analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of flaw remediation events resulting from malicious code analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for incident response/management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for incident response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003etools and techniques for analysis of malicious code characteristics and behavior\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-3_h", + "desc": "organization-defined tools and techniques", + "value": "organization-defined tools and techniques" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-83", + "value": "NIST Special Publication 800-83" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.4", + "title": "INFORMATION SYSTEM MONITORING", + "params": [ + { + "id": "si-4_a", + "desc": "organization-defined monitoring objectives", + "value": "organization-defined monitoring objectives" + }, + { + "id": "si-4_b", + "desc": "organization-defined techniques and methods", + "value": "organization-defined techniques and methods" + }, + { + "id": "si-4_c", + "desc": "organization-defined information system monitoring information", + "value": "organization-defined information system monitoring information" + }, + { + "id": "si-4_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-4_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors the information system to detect:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-4a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAttacks and indicators of potential attacks in accordance with \u003cinsert param-id=\"si-4_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4a.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-4a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eUnauthorized local, network, and remote connections;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_si-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies unauthorized use of the information system through \u003cinsert param-id=\"si-4_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4b." + } + ] + }, + { + "class": "item", + "id": "smm_si-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eDeploys monitoring devices:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4c." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-4c.1.", + "prose": [ + "\u003cp class=\"description\"\u003eStrategically within the information system to collect organization-determined essential information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4c.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-4c.2.", + "prose": [ + "\u003cp class=\"description\"\u003eAt ad hoc locations within the system to track specific types of transactions of interest to the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_si-4d.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4d." + } + ] + }, + { + "class": "item", + "id": "smm_si-4e.", + "prose": [ + "\u003cp class=\"description\"\u003eHeightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4e." + } + ] + }, + { + "class": "item", + "id": "smm_si-4f.", + "prose": [ + "\u003cp class=\"description\"\u003eObtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4f." + } + ] + }, + { + "class": "item", + "id": "smm_si-4g.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides \u003cinsert param-id=\"si-4_c\"/\u003e to \u003cinsert param-id=\"si-4_d\"/\u003e [Selection (one or more): as needed; \u003cinsert param-id=\"si-4_e\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.8" + }, + { + "href": "#ac.17" + }, + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#au.9" + }, + { + "href": "#au.12" + }, + { + "href": "#ca.7" + }, + { + "href": "#ir.4" + }, + { + "href": "#pe.3" + }, + { + "href": "#ra.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.26" + }, + { + "href": "#sc.35" + }, + { + "href": "#si.3" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.", + "props": [ + { + "class": "name", + "value": "SI-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.1.", + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines monitoring objectives to detect attacks and indicators of potential attacks on the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors the information system to detect, in accordance with organization-defined monitoring objectives,:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eattacks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eindicators of potential attacks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors the information system to detect unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003elocal connections;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003enetwork connections;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eremote connections;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.b.", + "props": [ + { + "class": "name", + "value": "SI-4(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines techniques and methods to identify unauthorized use of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(b)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies unauthorized use of the information system through organization-defined techniques and methods;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(b)(2)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edeploys monitoring devices:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003estrategically within the information system to collect organization-determined essential information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eat ad hoc locations within the system to track specific types of transactions of interest to the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects information obtained from intrusion-monitoring tools from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edeletion;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(d)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eheightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(e)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.f.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(f)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.", + "props": [ + { + "class": "name", + "value": "SI-4(g)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.g.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom information system monitoring information is to be provided;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system monitoring information to be provided to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to provide organization-defined information system monitoring to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides organization-defined information system monitoring information to organization-defined personnel or roles one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.g.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eas needed; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[4][b]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContinuous monitoring strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility diagram/layout\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elocations within information system where monitoring devices are deployed\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility monitoring the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.4.1.", + "title": "SYSTEM-WIDE INTRUSION DETECTION SYSTEM", + "props": [ + { + "class": "name", + "value": "SI-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization connects and configures individual intrusion detection tools into an information system-wide intrusion detection system.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003econnects individual intrusion detection tools into an information system-wide intrusion detection system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econfigures individual intrusion detection tools into an information system-wide intrusion detection system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.2.", + "title": "AUTOMATED TOOLS FOR REAL-TIME ANALYSIS", + "props": [ + { + "class": "name", + "value": "SI-4 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated tools to support near real-time analysis of events.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated tools include, for example, host-based, network-based, transport-based, or storage-based event monitoring tools or Security Information and Event Management (SIEM) technologies that provide real time analysis of alerts and/or notifications generated by organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated tools to support near real-time analysis of events.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for incident response/management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for near real-time analysis of events\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing analysis of events\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.3.", + "title": "AUTOMATED TOOL INTEGRATION", + "props": [ + { + "class": "name", + "value": "SI-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, for rapid response to attacks by enabling reconfiguration of intrusion detection tools in support of attack isolation and elimination, employs automated tools to integrate intrusion detection tools into:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess control mechanisms; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eflow control mechanisms.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing access/flow control capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing integration of intrusion detection tools into access/flow control mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.4.", + "title": "INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC", + "props": [ + { + "class": "name", + "value": "SI-4 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system monitors inbound and outbound communications traffic \u003cinsert param-id=\"si-4_f\"/\u003e for unusual or unauthorized activities or conditions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnusual/unauthorized activities or conditions related to information system inbound and outbound communications traffic include, for example, internal traffic that indicates the presence of malicious code within organizational information systems or propagating among system components, the unauthorized exporting of information, or signaling to external information systems. Evidence of malicious code is used to identify potentially compromised information systems or information system components.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to monitor:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.4.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einbound communications traffic for unusual or unauthorized activities or conditions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.4.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eoutbound communications traffic for unusual or unauthorized activities or conditions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors, with the organization-defined frequency:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.4.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einbound communications traffic for unusual or unauthorized activities or conditions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.4.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eoutbound communications traffic for unusual or unauthorized activities or conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection capability/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing monitoring of inbound/outbound communications traffic\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.5.", + "title": "SYSTEM-GENERATED ALERTS", + "props": [ + { + "class": "name", + "value": "SI-4 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system alerts \u003cinsert param-id=\"si-4_g\"/\u003e when the following indications of compromise or potential compromise occur: \u003cinsert param-id=\"si-4_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlerts may be generated from a variety of sources, including, for example, audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the notification list can include, for example, system administrators, mission/business owners, system owners, or information system security officers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.5" + }, + { + "href": "#pe.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines compromise indicators for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be alerted when indications of compromise or potential compromise occur; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system alerts organization-defined personnel or roles when organization-defined compromise indicators occur.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications generated based on compromise indicators\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003e\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alerts for compromise indicators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-4_h", + "desc": "organization-defined compromise indicators", + "value": "organization-defined compromise indicators" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.6.", + "title": "RESTRICT NON-PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-6 (10)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.6.10." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.7.", + "title": "AUTOMATED RESPONSE TO SUSPICIOUS EVENTS", + "props": [ + { + "class": "name", + "value": "SI-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system notifies \u003cinsert param-id=\"si-4_i\"/\u003e of detected suspicious events and takes \u003cinsert param-id=\"si-4_j\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLeast-disruptive actions may include, for example, initiating requests for human responses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines incident response personnel (identified by name and/or by role) to be notified of detected suspicious events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines least-disruptive actions to be taken by the information system to terminate suspicious events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(7)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.7.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system notifies organization-defined incident response personnel of detected suspicious events; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(7)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.7.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system takes organization-defined least-disruptive actions to terminate suspicious events.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(7)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications generated based on detected suspicious events\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of actions taken to terminate suspicious events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing notifications to incident response personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing actions to terminate suspicious events\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_i", + "desc": "organization-defined incident response personnel (identified by name and/or by role)", + "value": "organization-defined incident response personnel (identified by name and/or by role)" + }, + { + "id": "si-4_j", + "desc": "organization-defined least-disruptive actions to terminate suspicious events", + "value": "organization-defined least-disruptive actions to terminate suspicious events" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.8.", + "title": "PROTECTION OF MONITORING INFORMATION", + "props": [ + { + "class": "name", + "value": "SI-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.9.", + "title": "TESTING OF MONITORING TOOLS", + "props": [ + { + "class": "name", + "value": "SI-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests intrusion-monitoring tools \u003cinsert param-id=\"si-4_k\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTesting intrusion-monitoring tools is necessary to ensure that the tools are operating correctly and continue to meet the monitoring objectives of organizations. The frequency of testing depends on the types of tools used by organizations and methods of deployment.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to test intrusion-monitoring tools; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests intrusion-monitoring tools with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing testing of information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation providing evidence of testing intrusion-monitoring tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing testing of intrusion-monitoring tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_k", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.10.", + "title": "VISIBILITY OF ENCRYPTED COMMUNICATIONS", + "props": [ + { + "class": "name", + "value": "SI-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization makes provisions so that \u003cinsert param-id=\"si-4_l\"/\u003e is visible to \u003cinsert param-id=\"si-4_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations balance the potentially conflicting needs for encrypting communications traffic and for having insight into such traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of communications traffic is paramount; for others, mission-assurance is of greater concern. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines encrypted communications traffic required to be visible to information system monitoring tools;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system monitoring tools to be provided access to organization-defined encrypted communications traffic; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(10)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.10.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emakes provisions so that organization-defined encrypted communications traffic is visible to organization-defined information system monitoring tools.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(10)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing visibility of encrypted communications traffic to monitoring tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_l", + "desc": "organization-defined encrypted communications traffic", + "value": "organization-defined encrypted communications traffic" + }, + { + "id": "si-4_m", + "desc": "organization-defined information system monitoring tools", + "value": "organization-defined information system monitoring tools" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.11.", + "title": "ANALYZE COMMUNICATIONS TRAFFIC ANOMALIES", + "props": [ + { + "class": "name", + "value": "SI-4 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization analyzes outbound communications traffic at the external boundary of the information system and selected \u003cinsert param-id=\"si-4_n\"/\u003e to discover anomalies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAnomalies within organizational information systems include, for example, large file transfers, long-time persistent connections, unusual protocols and ports in use, and attempted communications with suspected malicious external addresses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines interior points within the system (e.g., subnetworks, subsystems) where communications traffic is to be analyzed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalyzes outbound communications traffic to discover anomalies at:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(11)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.11.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe external boundary of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(11)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.11.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eselected organization-defined interior points within the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(11)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork diagram\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing analysis of communications traffic\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_n", + "desc": "organization-defined interior points within the system (e.g., subnetworks, subsystems)", + "value": "organization-defined interior points within the system (e.g., subnetworks, subsystems)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.12.", + "title": "AUTOMATED ALERTS", + "props": [ + { + "class": "name", + "value": "SI-4 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: \u003cinsert param-id=\"si-4_o\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by information systems in SI-4 (5), which tend to focus on information sources internal to the systems (e.g., audit records), the sources of information for this enhancement can include other entities as well (e.g., suspicious activity reports, reports on potential insider threats).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#ia.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines activities that trigger alerts to security personnel based on inappropriate or unusual activities with security implications; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to alert security personnel of organization-defined activities that trigger alerts based on inappropriate or unusual activities with security implications.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(12)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of inappropriate or unusual activities (with security implications) that trigger alerts\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications provided to security personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing automated alerts to security personnel\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_o", + "desc": "organization-defined activities that trigger alerts", + "value": "organization-defined activities that trigger alerts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.13.", + "title": "ANALYZE TRAFFIC / EVENT PATTERNS", + "props": [ + { + "class": "name", + "value": "SI-4 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-4.13.a.", + "prose": [ + "\u003cp class=\"description\"\u003eAnalyzes communications traffic/event patterns for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4 (13)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-4.13.b.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops profiles representing common traffic patterns and/or events; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4 (13)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-4.13.c.", + "prose": [ + "\u003cp class=\"description\"\u003eUses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and the number of false negatives.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4 (13)(c)" + } + ] + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.13.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalyzes communications traffic/event patterns for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(13)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.13.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops profiles representing common traffic patterns and/or events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(13)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.13.c.", + "prose": [ + "\u003cp class=\"decision\"\u003euses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and false negatives.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(13)(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of profiles representing common traffic patterns and/or events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of acceptable thresholds for false positives and false negatives\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing analysis of communications traffic/event patterns\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.14.", + "title": "WIRELESS INTRUSION DETECTION", + "props": [ + { + "class": "name", + "value": "SI-4 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWireless signals may radiate beyond the confines of organization-controlled facilities. Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. Scans are not limited to those areas within facilities containing information systems, but also include areas outside of facilities as needed, to verify that unauthorized wireless access points are not connected to the systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#ia.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs a wireless intrusion detection system to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.14.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentify rogue wireless devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(14)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.14.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetect attack attempts to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(14)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.14.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edetect potential compromises/breaches to the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(14)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing wireless intrusion detection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.15.", + "title": "WIRELESS TO WIRELINE COMMUNICATIONS", + "props": [ + { + "class": "name", + "value": "SI-4 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.18" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing wireless intrusion detection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.16.", + "title": "CORRELATE MONITORING INFORMATION", + "props": [ + { + "class": "name", + "value": "SI-4 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization correlates information from monitoring tools employed throughout the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrelating information from different monitoring tools can provide a more comprehensive view of information system activity. The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns. Understanding the capabilities/limitations of diverse monitoring tools and how to maximize the utility of information generated by those tools can help organizations to build, operate, and maintain effective monitoring programs.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization correlates information from monitoring tools employed throughout the information system.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevent correlation logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing correlation of information from monitoring tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.17.", + "title": "INTEGRATED SITUATIONAL AWARENESS", + "props": [ + { + "class": "name", + "value": "SI-4 (17)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization correlates information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement correlates monitoring information from a more diverse set of information sources to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated cyber attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4 (16) which correlates the various cyber monitoring information, this control enhancement correlates monitoring beyond just the cyber domain. Such monitoring may help reveal attacks on organizations that are operating across multiple attack vectors.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, to achieve integrated, organization-wide situational awareness, correlates information from monitoring:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.17.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ephysical activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(17)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.17.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecyber activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(17)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.17.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esupply chain activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(17)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevent correlation logs or records resulting from physical, cyber, and supply chain activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing correlation of information from monitoring tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.18.", + "title": "ANALYZE TRAFFIC / COVERT EXFILTRATION", + "props": [ + { + "class": "name", + "value": "SI-4 (18)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization analyzes outbound communications traffic at the external boundary of the information system (i.e., system perimeter) and at \u003cinsert param-id=\"si-4_p\"/\u003e to detect covert exfiltration of information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCovert means that can be used for the unauthorized exfiltration of organizational information include, for example, steganography.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.18.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines interior points within the system (e.g., subsystems, subnetworks) where communications traffic is to be analyzed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(18)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.18.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eto detect covert exfiltration of information, analyzes outbound communications traffic at:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(18)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.18.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe external boundary of the information system (i.e., system perimeter); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(18)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.18.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined interior points within the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(18)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork diagram\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing analysis of outbound communications traffic\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_p", + "desc": "organization-defined interior points within the system (e.g., subsystems, subnetworks)", + "value": "organization-defined interior points within the system (e.g., subsystems, subnetworks)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.19.", + "title": "INDIVIDUALS POSING GREATER RISK", + "props": [ + { + "class": "name", + "value": "SI-4 (19)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"si-4_q\"/\u003e of individuals who have been identified by \u003cinsert param-id=\"si-4_r\"/\u003e as posing an increased level of risk.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndications of increased risk from individuals can be obtained from a variety of sources including, for example, human resource records, intelligence agencies, law enforcement organizations, and/or other credible sources. The monitoring of individuals is closely coordinated with management, legal, security, and human resources officials within organizations conducting such monitoring and complies with federal legislation, Executive Orders, policies, directives, regulations, and standards.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.19.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines sources that identify individuals who pose an increased level of risk;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(19)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.19.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines additional monitoring to be implemented on individuals who have been identified by organization-defined sources as posing an increased level of risk; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(19)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.19.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined additional monitoring of individuals who have been identified by organization-defined sources as posing an increased level of risk.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(19)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of individuals who have been identified as posing an increased level of risk\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_q", + "desc": "organization-defined additional monitoring", + "value": "organization-defined additional monitoring" + }, + { + "id": "si-4_r", + "desc": "organization-defined sources", + "value": "organization-defined sources" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.20.", + "title": "PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-4 (20)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"si-4_s\"/\u003e of privileged users.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.20.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines additional monitoring to be implemented on privileged users; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(20)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.20.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined additional monitoring of privileged users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(20)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of privileged users\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_s", + "desc": "organization-defined additional monitoring", + "value": "organization-defined additional monitoring" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.21.", + "title": "PROBATIONARY PERIODS", + "props": [ + { + "class": "name", + "value": "SI-4 (21)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"si-4_t\"/\u003e of individuals during \u003cinsert param-id=\"si-4_u\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.21.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines additional monitoring to be implemented on individuals during probationary periods;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(21)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.21.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines probationary period during which organization-defined additional monitoring of individuals is to be performed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(21)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.21.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined additional monitoring of individuals during organization-defined probationary period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(21)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_t", + "desc": "organization-defined additional monitoring", + "value": "organization-defined additional monitoring" + }, + { + "id": "si-4_u", + "desc": "organization-defined probationary period", + "value": "organization-defined probationary period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.22.", + "title": "UNAUTHORIZED NETWORK SERVICES", + "props": [ + { + "class": "name", + "value": "SI-4 (22)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system detects network services that have not been authorized or approved by \u003cinsert param-id=\"si-4_v\"/\u003e and [Selection (one or more): audits; alerts \u003cinsert param-id=\"si-4_w\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnauthorized or unapproved network services include, for example, services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#cm.7" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.22.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines authorization or approval processes for network services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(22)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.22.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be alerted upon detection of network services that have not been authorized or approved by organization-defined authorization or approval processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(22)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.22.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system detects network services that have not been authorized or approved by organization-defined authorization or approval processes and does one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(22)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.22.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudits; 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Organizations consider employing host-based monitoring mechanisms from multiple information technology product developers.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.23.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines host-based monitoring mechanisms to be implemented;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(23)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.23.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components where organization-defined host-based monitoring is to be implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(23)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.23.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined host-based monitoring mechanisms at organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(23)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ehost-based monitoring mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system components requiring host-based monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring information system hosts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing host-based monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_x", + "desc": "organization-defined host-based monitoring mechanisms", + "value": "organization-defined host-based monitoring mechanisms" + }, + { + "id": "si-4_y", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.24.", + "title": "INDICATORS OF COMPROMISE", + "props": [ + { + "class": "name", + "value": "SI-4 (24)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system discovers, collects, distributes, and uses indicators of compromise.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational information systems (at the host or network level). 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The rapid distribution and adoption of IOCs can improve information security by reducing the time that information systems and organizations are vulnerable to the same exploit or attack.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.24.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ediscovers indicators of compromise;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(24)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.24.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecollects indicators of compromise;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(24)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.24.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edistributes indicators of compromise; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(24)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.24.4.", + "prose": [ + "\u003cp class=\"decision\"\u003euses indicators of compromise.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(24)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation 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monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for discovery, collection, distribution, and use of indicators of compromise\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-83", + "value": "NIST Special Publication 800-83" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-92", + "value": "NIST Special Publication 800-92" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-94", + "value": "NIST Special Publication 800-94" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.5", + "title": "SECURITY ALERTS, ADVISORIES, AND DIRECTIVES", + "params": [ + { + "id": "si-5_a", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "id": "si-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-5_c", + "desc": "organization-defined elements within the organization", + "value": "organization-defined elements within the organization" + }, + { + "id": "si-5_d", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + } + ], + "props": [ + { + "class": "name", + "value": "SI-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eReceives information system security alerts, advisories, and directives from \u003cinsert param-id=\"si-5_a\"/\u003e on an ongoing basis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5a." + } + ] + }, + { + "class": "item", + "id": "smm_si-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eGenerates internal security alerts, advisories, and directives as deemed necessary;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5b." + } + ] + }, + { + "class": "item", + "id": "smm_si-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eDisseminates security alerts, advisories, and directives to: [Selection (one or more): \u003cinsert param-id=\"si-5_b\"/\u003e; \u003cinsert param-id=\"si-5_c\"/\u003e; \u003cinsert param-id=\"si-5_d\"/\u003e]; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5c." + } + ] + }, + { + "class": "item", + "id": "smm_si-5d.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe United States Computer Emergency Readiness Team (US-CERT) generates security alerts and advisories to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include, for example, external mission/business partners, supply chain partners, external service providers, and other peer/supporting organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-5.a.", + "props": [ + { + "class": "name", + "value": "SI-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external organizations from whom information system security alerts, advisories and directives are to be received;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereceives information system security alerts, advisories, and directives from organization-defined external organizations on an ongoing basis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003egenerates internal security alerts, advisories, and directives as deemed necessary;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.c.", + "props": [ + { + "class": "name", + "value": "SI-5(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-5.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom security alerts, advisories, and directives are to be provided;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines elements within the organization to whom security alerts, advisories, and directives are to be provided;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external organizations to whom security alerts, advisories, and directives are to be provided;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(c)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.c.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates security alerts, advisories, and directives to one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(c)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-5.c.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(c)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.c.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined elements within the organization; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(c)[4][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.c.4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined external organizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(c)[4][c]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.d.", + "props": [ + { + "class": "name", + "value": "SI-5(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-5.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements security directives in accordance with established time frames; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies the issuing organization of the degree of noncompliance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security alerts, advisories, and directives\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of security alerts and advisories\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security alert and advisory responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel implementing, operating, maintaining, and using the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing definition, receipt, generation, and dissemination of security alerts, advisories, and directives\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security directives\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.5.1.", + "title": "AUTOMATED ALERTS AND ADVISORIES", + "props": [ + { + "class": "name", + "value": "SI-5 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to make security alert and advisory information available throughout the organization.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe significant number of changes to organizational information systems and the environments in which those systems operate requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational missions and business functions. Based on the information provided by the security alerts and advisories, changes may be required at one or more of the three tiers related to the management of information security risk including the governance level, mission/business process/enterprise architecture level, and the information system level.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to make security alert and advisory information available throughout the organization.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security alerts, advisories, and directives\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the distribution of security alert and advisory information\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of security alerts and advisories\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security alert and advisory responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel implementing, operating, maintaining, and using the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel, organizational elements, and/or external organizations to whom alerts and advisories are to be disseminated\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining, receiving, generating, and disseminating security alerts and advisories\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing dissemination of security alerts and advisories\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-40", + "value": "NIST Special Publication 800-40" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.6", + "title": "SECURITY FUNCTION VERIFICATION", + "params": [ + { + "id": "si-6_a", + "desc": "organization-defined security functions", + "value": "organization-defined security functions" + }, + { + "id": "si-6_b", + "desc": "organization-defined system transitional states", + "value": "organization-defined system transitional states" + }, + { + "id": "si-6_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "si-6_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-6_e", + "desc": "organization-defined alternative action(s)", + "value": "organization-defined alternative action(s)" + } + ], + "props": [ + { + "class": "name", + "value": "SI-6" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eVerifies the correct operation of \u003cinsert param-id=\"si-6_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6a." + } + ] + }, + { + "class": "item", + "id": "smm_si-6b.", + "prose": [ + "\u003cp class=\"description\"\u003ePerforms this verification [Selection (one or more): \u003cinsert param-id=\"si-6_b\"/\u003e; upon command by user with appropriate privilege; \u003cinsert param-id=\"si-6_c\"/\u003e];\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6b." + } + ] + }, + { + "class": "item", + "id": "smm_si-6c.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies \u003cinsert param-id=\"si-6_d\"/\u003e of failed security verification tests; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6c." + } + ] + }, + { + "class": "item", + "id": "smm_si-6d.", + "prose": [ + "\u003cp class=\"description\"\u003e[Selection (one or more): shuts the information system down; restarts the information system; \u003cinsert param-id=\"si-6_e\"/\u003e] when anomalies are discovered.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTransitional states for information systems include, for example, system startup, restart, shutdown, and abort. Notifications provided by information systems include, for example, electronic alerts to system administrators, messages to local computer consoles, and/or hardware indications such as lights.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#cm.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-6.a.", + "props": [ + { + "class": "name", + "value": "SI-6(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-6.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security functions to be verified for correct operation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system verifies the correct operation of organization-defined security functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.b.", + "props": [ + { + "class": "name", + "value": "SI-6(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines system transitional states requiring verification of organization-defined security functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a frequency to verify the correct operation of organization-defined security functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system performs this verification one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(b)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-6.b.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eat organization-defined system transitional states;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(b)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.b.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eupon command by user with appropriate privilege; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(b)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.b.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(b)[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.c.", + "props": [ + { + "class": "name", + "value": "SI-6(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-6.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be notified of failed security verification tests;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system notifies organization-defined personnel or roles of failed security verification tests;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.d.", + "props": [ + { + "class": "name", + "value": "SI-6(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-6.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines alternative action(s) to be performed when anomalies are discovered;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system performs one or more of the following actions when anomalies are discovered:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(d)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-6.d.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eshuts the information system down;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(d)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.d.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erestarts the information system; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(d)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.d.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms organization-defined alternative action(s).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(d)[2][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function verification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications of failed security verification tests\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system transition states requiring security functionality verification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security function verification responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel implementing, operating, and maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security function verification\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security function verification capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.6.1.", + "title": "NOTIFICATION OF FAILED SECURITY TESTS", + "props": [ + { + "class": "name", + "value": "SI-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.6.2.", + "title": "AUTOMATION SUPPORT FOR DISTRIBUTED TESTING", + "props": [ + { + "class": "name", + "value": "SI-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements automated mechanisms to support the management of distributed security testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements automated mechanisms to support the management of distributed security testing.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function verification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security function verification responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel implementing, operating, and maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security function verification\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the management of distributed security testing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.6.3.", + "title": "REPORT VERIFICATION RESULTS", + "props": [ + { + "class": "name", + "value": "SI-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reports the results of security function verification to \u003cinsert param-id=\"si-6_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational personnel with potential interest in security function verification results include, for example, senior information security officers, information system security managers, and information systems security officers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + }, + { + "href": "#si.4" + }, + { + "href": "#si.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-6.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles designated to receive the results of security function verification; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-6.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports the results of security function verification to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function verification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of security function verification results\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security function verification responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for reporting security function verification results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the reporting of security function verification results\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-6_f", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.7", + "title": "SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY", + "params": [ + { + "id": "si-7_a", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs integrity verification tools to detect unauthorized changes to \u003cinsert param-id=\"si-7_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnauthorized changes to software, firmware, and information can occur due to errors or malicious activity (e.g., tampering). Software includes, for example, operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes, for example, the Basic Input Output System (BIOS). Information includes metadata such as security attributes associated with information. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + }, + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-7-1.", + "props": [ + { + "class": "name", + "value": "SI-7[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-7-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines software requiring integrity verification tools to be employed to detect unauthorized changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-7-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines firmware requiring integrity verification tools to be employed to detect unauthorized changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-7-1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information requiring integrity verification tools to be employed to detect unauthorized changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-7-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys integrity verification tools to detect unauthorized changes to organization-defined:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-7-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-7-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-7-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords generated/triggered from integrity verification tools regarding unauthorized software, firmware, and information changes\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.7.1.", + "title": "INTEGRITY CHECKS", + "props": [ + { + "class": "name", + "value": "SI-7 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system performs an integrity check of \u003cinsert param-id=\"si-7_b\"/\u003e [Selection (one or more): at startup; at \u003cinsert param-id=\"si-7_c\"/\u003e; \u003cinsert param-id=\"si-7_d\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity-relevant events include, for example, the identification of a new threat to which organizational information systems are susceptible, and the installation of new hardware, software, or firmware. Transitional states include, for example, system startup, restart, shutdown, and abort.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware requiring integrity checks to be performed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware requiring integrity checks to be performed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation requiring integrity checks to be performed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines transitional states or security-relevant events requiring integrity checks of organization-defined:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[2][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a frequency with which to perform an integrity check of organization-defined:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.1.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[3][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system performs an integrity check of organization-defined software, firmware, and information one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.1.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eat startup;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eat organization-defined transitional states or security-relevant events; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[4][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[4][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_b", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + }, + { + "id": "si-7_c", + "desc": "organization-defined transitional states or security-relevant events", + "value": "organization-defined transitional states or security-relevant events" + }, + { + "id": "si-7_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.2.", + "title": "AUTOMATED NOTIFICATIONS OF INTEGRITY VIOLATIONS", + "props": [ + { + "class": "name", + "value": "SI-7 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated tools that provide notification to \u003cinsert param-id=\"si-7_e\"/\u003e upon discovering discrepancies during integrity verification.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of automated tools to report integrity violations and to notify organizational personnel in a timely matter is an essential precursor to effective risk response. Personnel having an interest in integrity violations include, for example, mission/business owners, information system owners, systems administrators, software developers, systems integrators, and information security officers.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom notification is to be provided upon discovering discrepancies during integrity verification; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated tools that provide notification to organization-defined personnel or roles upon discovering discrepancies during integrity verification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated tools supporting alerts and notifications for integrity discrepancies\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications provided upon discovering discrepancies during integrity verifications\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms providing integrity discrepancy notifications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.3.", + "title": "CENTRALLY-MANAGED INTEGRITY TOOLS", + "props": [ + { + "class": "name", + "value": "SI-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs centrally managed integrity verification tools.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#au.3" + }, + { + "href": "#si.2" + }, + { + "href": "#si.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs centrally managed integrity verification tools.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for central management of integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing central management of integrity verification tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.4.", + "title": "TAMPER-EVIDENT PACKAGING", + "props": [ + { + "class": "name", + "value": "SI-7 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.12" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.5.", + "title": "AUTOMATED RESPONSE TO INTEGRITY VIOLATIONS", + "props": [ + { + "class": "name", + "value": "SI-7 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically [Selection (one or more): shuts the information system down; restarts the information system; implements \u003cinsert param-id=\"si-7_f\"/\u003e] when integrity violations are discovered.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may define different integrity checking and anomaly responses: (i) by type of information (e.g., firmware, software, user data); (ii) by specific information (e.g., boot firmware, boot firmware for a specific types of machines); or (iii) a combination of both. Automatic implementation of specific safeguards within organizational information systems includes, for example, reversing the changes, halting the information system, or triggering audit alerts when unauthorized modifications to critical security files occur.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be implemented when integrity violations are discovered;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system automatically performs one or more of the following actions when integrity violations are discovered:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(5)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.5.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eshuts the information system down;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(5)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erestarts the information system; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(5)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.5.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements the organization-defined security safeguards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(5)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity checks and responses to integrity violations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms providing an automated response to integrity violations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security safeguards to be implemented when integrity violations are discovered\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.6.", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "SI-7 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to detect unauthorized changes to software, firmware, and information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic mechanisms used for the protection of integrity include, for example, digital signatures and the computation and application of signed hashes using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system employs cryptographic mechanism to detect unauthorized changes to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(6)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.6.3.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(6)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of detected unauthorized changes to software, firmware, and information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms implementing software, firmware, and information integrity\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.7.", + "title": "INTEGRATION OF DETECTION AND RESPONSE", + "props": [ + { + "class": "name", + "value": "SI-7 (7)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization incorporates the detection of unauthorized \u003cinsert param-id=\"si-7_g\"/\u003e into the organizational incident response capability.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended period of time and for possible legal actions. Security-relevant changes include, for example, unauthorized changes to established configuration settings or unauthorized elevation of information system privileges.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.4" + }, + { + "href": "#ir.5" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines unauthorized security-relevant changes to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eincorporates the detection of unauthorized organization-defined security-relevant changes to the information system into the organizational incident response capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(7)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for incorporating detection of unauthorized security-relevant changes into the incident response capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003esoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing incorporation of detection of unauthorized security-relevant changes into the incident response capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_g", + "desc": "organization-defined security-relevant changes to the information system", + "value": "organization-defined security-relevant changes to the information system" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.8.", + "title": "AUDITING CAPABILITY FOR SIGNIFICANT EVENTS", + "props": [ + { + "class": "name", + "value": "SI-7 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, upon detection of a potential integrity violation, provides the capability to audit the event and initiates the following actions: [Selection (one or more): generates an audit record; alerts current user; alerts \u003cinsert param-id=\"si-7_h\"/\u003e; \u003cinsert param-id=\"si-7_i\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations select response actions based on types of software, specific software, or information for which there are potential integrity violations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be alerted upon detection of a potential integrity violation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines other actions to be taken upon detection of a potential integrity violation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.8.3.", + "props": [ + { + "class": "name", + "value": "SI-7(8)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.8.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, upon detection of a potential integrity violation, provides the capability to audit the event;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.8.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, upon detection of a potential integrity violation, initiates one or more of the following actions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.8.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003egenerates an audit record;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b][1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.8.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ealerts current user;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b][2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.8.3.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ealerts organization-defined personnel or roles; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b][3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.8.3.b.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined other actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b][4]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response records, list of security-relevant changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated tools supporting alerts and notifications if unauthorized security changes are detected\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the capability to audit potential integrity violations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alerts about potential integrity violations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_h", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-7_i", + "desc": "organization-defined other actions", + "value": "organization-defined other actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.9.", + "title": "VERIFY BOOT PROCESS", + "props": [ + { + "class": "name", + "value": "SI-7 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system verifies the integrity of the boot process of \u003cinsert param-id=\"si-7_j\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEnsuring the integrity of boot processes is critical to starting devices in known/trustworthy states. Integrity verification mechanisms provide organizational personnel with assurance that only trusted code is executed during boot processes.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines devices requiring integrity verification of the boot process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system verifies the integrity of the boot process of organization-defined devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity verification scans\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing integrity verification of the boot process\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_j", + "desc": "organization-defined devices", + "value": "organization-defined devices" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.10.", + "title": "PROTECTION OF BOOT FIRMWARE", + "props": [ + { + "class": "name", + "value": "SI-7 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"si-7_k\"/\u003e to protect the integrity of boot firmware in \u003cinsert param-id=\"si-7_l\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnauthorized modifications to boot firmware may be indicative of a sophisticated, targeted cyber attack. These types of cyber attacks can result in a permanent denial of service (e.g., if the firmware is corrupted) or a persistent malicious code presence (e.g., if code is embedded within the firmware). Devices can protect the integrity of the boot firmware in organizational information systems by: (i) verifying the integrity and authenticity of all updates to the boot firmware prior to applying changes to the boot devices; and (ii) preventing unauthorized processes from modifying the boot firmware.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be implemented to protect the integrity of boot firmware in devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines devices requiring organization-defined security safeguards to be implemented to protect the integrity of boot firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(10)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.10.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined security safeguards to protect the integrity of boot firmware in organization-defined devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(10)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity verification scans\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing protection of the integrity of boot firmware\u003c/p\u003e", + "\u003cp class=\"object\"\u003esafeguards implementing protection of the integrity of boot firmware\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_k", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "si-7_l", + "desc": "organization-defined devices", + "value": "organization-defined devices" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.11.", + "title": "CONFINED ENVIRONMENTS WITH LIMITED PRIVILEGES", + "props": [ + { + "class": "name", + "value": "SI-7 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that \u003cinsert param-id=\"si-7_m\"/\u003e execute in a confined physical or virtual machine environment with limited privileges.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations identify software that may be of greater concern with regard to origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines user-installed software to be executed in a confined physical or virtual machine environment with limited privileges; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that organization-defined user-installed software execute in a confined physical or virtual machine environment with limited privileges.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(11)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing execution of software in a confined environment (physical and/or virtual)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing limited privileges in the confined environment\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_m", + "desc": "organization-defined user-installed software", + "value": "organization-defined user-installed software" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.12.", + "title": "INTEGRITY VERIFICATION", + "props": [ + { + "class": "name", + "value": "SI-7 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that the integrity of \u003cinsert param-id=\"si-7_n\"/\u003e be verified prior to execution.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or code that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity including, for example, availability of checksums of adequate trustworthiness from software developers or vendors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines user-installed software requiring integrity verification prior to execution; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that the integrity of organization-defined user-installed software be verified prior to execution.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(12)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing verification of the integrity of user-installed software prior to execution\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_n", + "desc": "organization-defined user-installed software", + "value": "organization-defined user-installed software" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.13.", + "title": "CODE EXECUTION IN PROTECTED ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "SI-7 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization allows execution of binary or machine-executable code obtained from sources with limited or no warranty and without the provision of source code only in confined physical or virtual machine environments and with the explicit approval of \u003cinsert param-id=\"si-7_o\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eallows execution of binary or machine-executable code obtained from sources with limited or no warranty;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eallows execution of binary or machine-executable code without the provision of source code only in confined physical or virtual machines;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(13)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.13.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles required to provide explicit approval to allow execution of binary or machine-executable code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(13)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.13.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eallows execution of binary or machine-executable code with the explicit approval of organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(13)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapproval records for execution of binary and machine-executable code\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing approvals for execution of binary or machine-executable code\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_o", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.14.", + "title": "BINARY OR MACHINE EXECUTABLE CODE", + "props": [ + { + "class": "name", + "value": "SI-7 (14)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-7.14.a.", + "prose": [ + "\u003cp class=\"description\"\u003eProhibits the use of binary or machine-executable code from sources with limited or no warranty and without the provision of source code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7 (14)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-7.14.b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides exceptions to the source code requirement only for compelling mission/operational requirements and with the approval of the authorizing official.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7 (14)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software. Organizations assess software products without accompanying source code from sources with limited or no warranty for potential security impacts. The assessments address the fact that these types of software products may be very difficult to review, repair, or extend, given that organizations, in most cases, do not have access to the original source code, and there may be no owners who could make such repairs on behalf of organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.14.a.", + "props": [ + { + "class": "name", + "value": "SI-7(14)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.14.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the use of binary or machine-executable code from sources with limited or no warranty;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(14)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.14.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the use of binary or machine-executable code without the provision of source code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(14)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.14.b.", + "props": [ + { + "class": "name", + "value": "SI-7(14)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.14.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides exceptions to the source code requirement only for compelling mission/operational requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(14)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.14.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides exceptions to the source code requirement only with the approval of the authorizing official.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(14)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapproval records for execution of binary and machine-executable code\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorizing official\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing prohibition of the execution of binary or machine-executable code\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.15.", + "title": "CODE AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "SI-7 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to authenticate \u003cinsert param-id=\"si-7_p\"/\u003e prior to installation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic authentication includes, for example, verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.15.1.", + "props": [ + { + "class": "name", + "value": "SI-7(15)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.15.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines software components to be authenticated by cryptographic mechanisms prior to installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(15)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.15.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines firmware components to be authenticated by cryptographic mechanisms prior to installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(15)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.15.2.", + "props": [ + { + "class": "name", + "value": "SI-7(15)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.15.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements cryptographic mechanisms to authenticate organization-defined software components prior to installation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(15)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.15.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements cryptographic mechanisms to authenticate organization-defined firmware components prior to installation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(15)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms authenticating software/firmware prior to installation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_p", + "desc": "organization-defined software or firmware components", + "value": "organization-defined software or firmware components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.16.", + "title": "TIME LIMIT ON PROCESS EXECUTION W/O SUPERVISION", + "props": [ + { + "class": "name", + "value": "SI-7 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization does not allow processes to execute without supervision for more than \u003cinsert param-id=\"si-7_q\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses processes for which normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes, for example, operating system timers, automated responses, or manual oversight and response when information system process anomalies occur.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.16.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period as the maximum period allowed for processes to execute without supervision; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(16)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.16.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edoes not allow processes to execute without supervision for more than the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(16)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing time limits on process execution without supervision\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_q", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-147", + "value": "NIST Special Publication 800-147" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-155", + "value": "NIST Special Publication 800-155" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.8", + "title": "SPAM PROTECTION", + "props": [ + { + "class": "name", + "value": "SI-8" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys spam protection mechanisms at information system entry and exit points to detect and take action on unsolicited messages; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8a." + } + ] + }, + { + "class": "item", + "id": "smm_si-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, mobile devices, and notebook/laptop computers. Spam can be transported by different means including, for example, electronic mail, electronic mail attachments, and web accesses. Spam protection mechanisms include, for example, signature definitions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-8.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys spam protection mechanisms:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-8.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eat information system entry points to detect unsolicited messages;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-8.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eat information system entry points to take action on unsolicited messages;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-8.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eat information system exit points to detect unsolicited messages;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-8.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eat information system exit points to take action on unsolicited messages; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-8.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy and procedures (CM-1)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003espam protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of spam protection updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for implementing spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing spam protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.8.1.", + "title": "CENTRAL MANAGEMENT", + "props": [ + { + "class": "name", + "value": "SI-8 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization centrally manages spam protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection security controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.3" + }, + { + "href": "#si.2" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization centrally manages spam protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003espam protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for central management of spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing central management of spam protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.8.2.", + "title": "AUTOMATIC UPDATES", + "props": [ + { + "class": "name", + "value": "SI-8 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically updates spam protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system automatically updates spam protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003espam protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of spam protection updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing automatic updates to spam protection mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.8.3.", + "title": "CONTINUOUS LEARNING CAPABILITY", + "props": [ + { + "class": "name", + "value": "SI-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLearning mechanisms include, for example, Bayesian filters that respond to user inputs identifying specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003espam protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing spam protection mechanisms with a learning capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-45", + "value": "NIST Special Publication 800-45" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.9", + "title": "INFORMATION INPUT RESTRICTIONS", + "props": [ + { + "class": "name", + "value": "SI-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-2, AC-3, AC-5, AC-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + } + ] + }, + { + "class": "SP800-53", + "id": "si.10", + "title": "INFORMATION INPUT VALIDATION", + "params": [ + { + "id": "si-10_a", + "desc": "organization-defined information inputs", + "value": "organization-defined information inputs" + } + ], + "props": [ + { + "class": "name", + "value": "SI-10" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system checks the validity of \u003cinsert param-id=\"si-10_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eChecking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, and acceptable values) verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the tainted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation helps to ensure accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-10-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information inputs requiring validity checks; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-10-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system checks the validity of organization-defined information inputs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eseparation of duties policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation for automated tools and applications to verify validity of information\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information inputs requiring validity checks\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing validity checks on information inputs\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.10.1.", + "title": "MANUAL OVERRIDE CAPABILITY", + "props": [ + { + "class": "name", + "value": "SI-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-10.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides a manual override capability for input validation of \u003cinsert param-id=\"si-10_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-10.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eRestricts the use of the manual override capability to only \u003cinsert param-id=\"si-10_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10 (1)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-10.1.c.", + "prose": [ + "\u003cp class=\"description\"\u003eAudits the use of the manual override capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10 (1)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-10.1.a.", + "props": [ + { + "class": "name", + "value": "SI-10(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-10.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information inputs for which the information system provides a manual override capability for input validation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides a manual override capability for input validation of organization-defined inputs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(1)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.1.b.", + "props": [ + { + "class": "name", + "value": "SI-10(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-10.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines authorized individuals who can use the manual override capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(1)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system restricts the use of manual override capability to organization-defined authorized individuals; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(1)(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system audits the use of the manual override capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(1)(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eseparation of duties policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for use of manual override capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing manual override capability for input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing auditing of the use of manual override capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-10_b", + "desc": "organization-defined inputs", + "value": "organization-defined inputs" + }, + { + "id": "si-10_c", + "desc": "organization-defined authorized individuals", + "value": "organization-defined authorized individuals" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.10.2.", + "title": "REVIEW / RESOLUTION OF ERRORS", + "props": [ + { + "class": "name", + "value": "SI-10 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that input validation errors are reviewed and resolved within \u003cinsert param-id=\"si-10_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eResolution of input validation errors includes, for example, correcting systemic causes of errors and resubmitting transactions with corrected input.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-10.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period within which input validation errors are to be reviewed and resolved; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that input validation errors are reviewed and resolved within the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eseparation of duties policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereview records of information input validation errors and resulting resolutions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation input validation error logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for review and resolution of input validation errors\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing review and resolution of input validation errors\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-10_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.10.3.", + "title": "PREDICTABLE BEHAVIOR", + "props": [ + { + "class": "name", + "value": "SI-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA common vulnerability in organizational information systems is unpredictable behavior when invalid inputs are received. This control enhancement ensures that there is predictable behavior in the face of invalid inputs by specifying information system responses that facilitate transitioning the system to known states without adverse, unintended side effects.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing predictable behavior when invalid inputs are received\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.10.4.", + "title": "REVIEW / TIMING INTERACTIONS", + "props": [ + { + "class": "name", + "value": "SI-10 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn addressing invalid information system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols within the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to collisions or noise on the link. If TCP makes a congestion response, it takes precisely the wrong action in response to a collision event. Adversaries may be able to use apparently acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for determining appropriate responses to invalid inputs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing responses to invalid inputs\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.10.5.", + "title": "RESTRICT INPUTS TO TRUSTED SOURCES AND APPROVED FORMATS", + "props": [ + { + "class": "name", + "value": "SI-10 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization restricts the use of information inputs to \u003cinsert param-id=\"si-10_e\"/\u003e and/or \u003cinsert param-id=\"si-10_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies the concept of whitelisting to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-10.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines trusted sources to which the use of information inputs is to be restricted;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines formats to which the use of information inputs is to be restricted;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricts the use of information inputs to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(5)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-10.5.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined trust sources; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(5)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.5.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined formats.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(5)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of trusted sources for information inputs\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of acceptable formats for input restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for restricting information inputs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing restriction of information inputs\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-10_e", + "desc": "organization-defined trusted sources", + "value": "organization-defined trusted sources" + }, + { + "id": "si-10_f", + "desc": "organization-defined formats", + "value": "organization-defined formats" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.11", + "title": "ERROR HANDLING", + "params": [ + { + "id": "si-11_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SI-11" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-11a.", + "prose": [ + "\u003cp class=\"description\"\u003eGenerates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-11a." + } + ] + }, + { + "class": "item", + "id": "smm_si-11b.", + "prose": [ + "\u003cp class=\"description\"\u003eReveals error messages only to \u003cinsert param-id=\"si-11_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-11b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations carefully consider the structure/content of error messages. The extent to which information systems are able to identify and handle error conditions is guided by organizational policy and operational requirements. Information that could be exploited by adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as the username, mission/business information that can be derived from (if not stated explicitly by) information recorded, and personal information such as account numbers, social security numbers, and credit card numbers. In addition, error messages may provide a covert channel for transmitting information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.3" + }, + { + "href": "#sc.31" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-11.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-11(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-11.b.", + "props": [ + { + "class": "name", + "value": "SI-11(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-11.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to whom error messages are to be revealed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-11(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-11.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system reveals error messages only to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-11(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system error handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation providing structure/content of error messages\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for error handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing error handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing management of error messages\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.12", + "title": "INFORMATION HANDLING AND RETENTION", + "props": [ + { + "class": "name", + "value": "SI-12" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization handles and retains information within the information system and information output from the system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation handling and retention requirements cover the full life cycle of information, in some cases extending beyond the disposal of information systems. The National Archives and Records Administration provides guidance on records retention.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#au.5" + }, + { + "href": "#au.11" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-12-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ehandles information within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-12[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-12-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ehandles output from the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-12[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-12-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains information within the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-12[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-12-4.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains output from the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-12[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003efederal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information handling and retention\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system output handling and retention\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation retention records, other relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information handling and retention\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information handling and retention\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information handling and retention\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.13", + "title": "PREDICTABLE FAILURE PREVENTION", + "params": [ + { + "id": "si-13_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "si-13_b", + "desc": "organization-defined MTTF substitution criteria", + "value": "organization-defined MTTF substitution criteria" + } + ], + "props": [ + { + "class": "name", + "value": "SI-13" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-13a.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines mean time to failure (MTTF) for \u003cinsert param-id=\"si-13_a\"/\u003e in specific environments of operation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13a." + } + ] + }, + { + "class": "item", + "id": "smm_si-13b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides substitute information system components and a means to exchange active and standby components at \u003cinsert param-id=\"si-13_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhile MTTF is primarily a reliability issue, this control addresses potential failures of specific information system components that provide security capability. Failure rates reflect installation-specific consideration, not industry-average. Organizations define criteria for substitution of information system components based on MTTF value with consideration for resulting potential harm from component failures. Transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capability (e.g., preservation of state variables). Standby components remain available at all times except for maintenance issues or recovery failures in progress.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.10" + }, + { + "href": "#ma.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-13.a.", + "props": [ + { + "class": "name", + "value": "SI-13(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-13.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components for which mean time to failure (MTTF) should be determined;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-13.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines MTTF for organization-defined information system components in specific environments of operation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-13.b.", + "props": [ + { + "class": "name", + "value": "SI-13(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-13.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines MTTF substitution criteria to be used as a means to exchange active and standby components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-13.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides substitute information system components at organization-defined MTTF substitution criteria; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-13.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides a means to exchange active and standby components at organization-defined MTTF substitution criteria.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(b)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of MTTF substitution criteria\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for MTTF determinations and activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing MTTF\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.13.1.", + "title": "TRANSFERRING COMPONENT RESPONSIBILITIES", + "props": [ + { + "class": "name", + "value": "SI-13 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization takes information system components out of service by transferring component responsibilities to substitute components no later than \u003cinsert param-id=\"si-13_c\"/\u003e of mean time to failure.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines maximum fraction or percentage of mean time to failure within which to transfer the responsibilities of an information system component that is out of service to a substitute component; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etakes the information system component out of service by transferring component responsibilities to substitute components no later than organization-defined fraction or percentage of mean time to failure.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for MTTF activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing MTTF\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing transfer of component responsibilities to substitute components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-13_c", + "desc": "organization-defined fraction or percentage", + "value": "organization-defined fraction or percentage" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.13.2.", + "title": "TIME LIMIT ON PROCESS EXECUTION WITHOUT SUPERVISION", + "props": [ + { + "class": "name", + "value": "SI-13 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-7 (16)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.7.16." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.13.3.", + "title": "MANUAL TRANSFER BETWEEN COMPONENTS", + "props": [ + { + "class": "name", + "value": "SI-13 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization manually initiates transfers between active and standby information system components \u003cinsert param-id=\"si-13_d\"/\u003e if the mean time to failure exceeds \u003cinsert param-id=\"si-13_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the minimum frequency with which the organization manually initiates a transfer between active and standby information system components if the mean time to failure exceeds the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period that the mean time to failure must exceed before the organization manually initiates a transfer between active and standby information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emanually initiates transfers between active and standby information system components at the organization-defined frequency if the mean time to failure exceeds the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for MTTF activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing MTTF and conducting the manual transfer between active and standby components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-13_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "si-13_e", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.13.4.", + "title": "STANDBY COMPONENT INSTALLATION / NOTIFICATION", + "props": [ + { + "class": "name", + "value": "SI-13 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization, if information system component failures are detected:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-13.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the standby components are successfully and transparently installed within \u003cinsert param-id=\"si-13_f\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-13.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003e[Selection (one or more): activates \u003cinsert param-id=\"si-13_g\"/\u003e; automatically shuts down the information system].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13 (4)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomatic or manual transfer of components from standby to active mode can occur, for example, upon detection of component failures.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.4.a.", + "props": [ + { + "class": "name", + "value": "SI-13(4)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period for standby information system components to be successfully and transparently installed when information system component failures are detected;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(4)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the standby components are successfully and transparently installed within the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(4)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.4.b.", + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines an alarm to be activated when information system component failures are detected;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eif information system component failures are detected, does one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.4.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eactivates the organization-defined alarm; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.4.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eautomatically shuts down the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)[2][b]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of actions to be taken once information system component failure is detected\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for MTTF activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing MTTF\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing transparent installation of standby components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alarms or system shutdown if component failures are detected\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-13_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "si-13_g", + "desc": "organization-defined alarm", + "value": "organization-defined alarm" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.13.5.", + "title": "FAILOVER CAPABILITY", + "props": [ + { + "class": "name", + "value": "SI-13 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides [Selection: real-time; near real-time] \u003cinsert param-id=\"si-13_h\"/\u003e for the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailover refers to the automatic switchover to an alternate information system upon the failure of the primary information system. Failover capability includes, for example, incorporating mirrored information system operations at alternate processing sites or periodic data mirroring at regular intervals defined by recovery time periods of organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines failover capability to be provided for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides one of the following organization-defined failover capabilities for the information system:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(5)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.5.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ereal-time failover capability; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(5)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003enear real-time failover capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(5)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation describing failover capability provided for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for failover capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing failover capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing failover capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-13_h", + "desc": "organization-defined failover capability", + "value": "organization-defined failover capability" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.14", + "title": "NON-PERSISTENCE", + "params": [ + { + "id": "si-14_a", + "desc": "organization-defined information system components and services", + "value": "organization-defined information system components and services" + }, + { + "id": "si-14_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-14" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements non-persistent \u003cinsert param-id=\"si-14_a\"/\u003e that are initiated in a known state and terminated [Selection (one or more): upon end of session of use; periodically at \u003cinsert param-id=\"si-14_b\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control mitigates risk from advanced persistent threats (APTs) by significantly reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. By implementing the concept of non-persistence for selected information system components, organizations can provide a known state computing resource for a specific period of time that does not give adversaries sufficient time on target to exploit vulnerabilities in organizational information systems and the environments in which those systems operate. Since the advanced persistent threat is a high-end threat with regard to capability, intent, and targeting, organizations assume that over an extended period of time, a percentage of cyber attacks will be successful. Non-persistent information system components and services are activated as required using protected information and terminated periodically or upon the end of sessions. Non-persistence increases the work factor of adversaries in attempting to compromise or breach organizational information systems. Non-persistent system components can be implemented, for example, by periodically re-imaging components or by using a variety of common virtualization techniques. Non-persistent services can be implemented using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent).The benefit of periodic refreshes of information system components/services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult for organizations to determine). The refresh of selected information system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the information system unstable. In some instances, refreshes of critical components and services may be done periodically in order to hinder the ability of adversaries to exploit optimum windows of vulnerabilities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.30" + }, + { + "href": "#sc.34" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-14-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines non-persistent information system components and services to be implemented;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-14[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-14-2.", + "props": [ + { + "class": "name", + "value": "SI-14[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-14-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to terminate non-persistent organization-defined components and services that are initiated in a known state;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-14[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-14-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements non-persistent organization-defined information system components and services that are initiated in a known state and terminated one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-14[2][b]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-14-2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eupon end of session of use; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-14[2][b][1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-14-2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eperiodically at the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-14[2][b][2]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-persistence for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for non-persistence\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing initiation and termination of non-persistent components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.14.1.", + "title": "REFRESH FROM TRUSTED SOURCES", + "props": [ + { + "class": "name", + "value": "SI-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that software and data employed during information system component and service refreshes are obtained from \u003cinsert param-id=\"si-14_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTrusted sources include, for example, software/data from write-once, read-only media or from selected off-line secure storage facilities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-14.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines trusted sources from which software and data employed during information system component and service refreshes are to be obtained; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-14(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-14.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that software and data employed during information system component and service refreshes are obtained from organization-defined trusted sources.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-14(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-persistence for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for obtaining component and service refreshes from trusted sources\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and obtaining component and service refreshes from trusted sources\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing component and service refreshes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-14_c", + "desc": "organization-defined trusted sources", + "value": "organization-defined trusted sources" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.15", + "title": "INFORMATION OUTPUT FILTERING", + "params": [ + { + "id": "si-15_a", + "desc": "organization-defined software programs and/or applications", + "value": "organization-defined software programs and/or applications" + } + ], + "props": [ + { + "class": "name", + "value": "SI-15" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system validates information output from \u003cinsert param-id=\"si-15_a\"/\u003e to ensure that the information is consistent with the expected content.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCertain types of cyber attacks (e.g., SQL injections) produce output results that are unexpected or inconsistent with the output results that would normally be expected from software programs or applications. This control enhancement focuses on detecting extraneous content, preventing such extraneous content from being displayed, and alerting monitoring tools that anomalous behavior has been discovered.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-15-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines software programs and/or applications whose information output requires validation to ensure that the information is consistent with the expected content; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-15[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-15-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system validates information output from organization-defined software programs and/or applications to ensure that the information is consistent with the expected content.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-15[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information output filtering\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for validating information output\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for validating information output\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information output validation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.16", + "title": "MEMORY PROTECTION", + "params": [ + { + "id": "si-16_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SI-16" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"si-16_a\"/\u003e to protect its memory from unauthorized code execution.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSome adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Security safeguards employed to protect memory include, for example, data execution prevention and address space layout randomization. Data execution prevention safeguards can either be hardware-enforced or software-enforced with hardware providing the greater strength of mechanism.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.25" + }, + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-16-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be implemented to protect information system memory from unauthorized code execution; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-16[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-16-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined security safeguards to protect its memory from unauthorized code execution.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-16[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing memory protection for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards protecting information system memory from unauthorized code execution\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for memory protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing safeguards to protect information system memory from unauthorized code execution\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.17", + "title": "FAIL-SAFE PROCEDURES", + "params": [ + { + "id": "si-17_a", + "desc": "organization-defined fail-safe procedures", + "value": "organization-defined fail-safe procedures" + }, + { + "id": "si-17_b", + "desc": "organization-defined failure conditions occur", + "value": "organization-defined failure conditions occur" + } + ], + "props": [ + { + "class": "name", + "value": "SI-17" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"si-17_a\"/\u003e when \u003cinsert param-id=\"si-17_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailure conditions include, for example, loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include, for example, alerting operator personnel and providing specific instructions on subsequent steps to take (e.g., do nothing, reestablish system settings, shut down processes, restart the system, or contact designated organizational personnel).\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.12" + }, + { + "href": "#cp.13" + }, + { + "href": "#sc.24" + }, + { + "href": "#si.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-17-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines fail-safe procedures to be implemented when organization-defined failure conditions occur;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-17[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-17-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines failure conditions resulting in organization-defined fail-safe procedures being implemented when such conditions occur; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-17[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-17-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined fail-safe procedures when organization-defined failure conditions occur.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-17[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing memory protection for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards protecting information system memory from unauthorized code execution\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for fail-safe procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational fail-safe procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing fail-safe procedures\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "PROGRAM MANAGEMENT", + "controls": [ + { + "class": "SP800-53", + "id": "pm.1", + "title": "INFORMATION SECURITY PROGRAM PLAN", + "params": [ + { + "id": "pm-1_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PM-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops and disseminates an organization-wide information security program plan that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pm-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pm-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.2." + } + ] + }, + { + "class": "item", + "id": "sms_pm-1a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eReflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.3." + } + ] + }, + { + "class": "item", + "id": "sms_pm-1a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eIs approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pm-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the organization-wide information security program plan \u003cinsert param-id=\"pm-1_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1b." + } + ] + }, + { + "class": "item", + "id": "smm_pm-1c.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the plan to address organizational changes and problems identified during plan implementation or security control assessments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1c." + } + ] + }, + { + "class": "item", + "id": "smm_pm-1d.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the information security program plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation security program plans can be represented in single documents or compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Information security program plans provide sufficient information about the program management controls/common controls (including specification of parameters for any assignment and selection statements either explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended. The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organization�s information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls. Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and disseminates an organization-wide information security program plan that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.1.", + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides an overview of the requirements for the security program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides a description of the:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity program management controls in place or planned for meeting those requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ecommon controls in place or planned for meeting those requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eincludes the identification and assignment of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.5.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[5]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(3)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eis approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations, organizational assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(4)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.b.", + "props": [ + { + "class": "name", + "value": "PM-1(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the security program plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the organization-wide information security program plan with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the plan to address organizational:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges identified during plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges identified during security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eproblems identified during plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eproblems identified during security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the information security program plan from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edisclosure; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing program plan development and implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing program plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing coordination of the program plan with relevant entities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for program plan approvals\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of program plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information security program plan development/review/update/approval\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the information security program plan\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.2", + "title": "SENIOR INFORMATION SECURITY OFFICER", + "props": [ + { + "class": "name", + "value": "PM-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe security officer described in this control is an organizational official. For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this official as the Senior Information Security Officer or Chief Information Security Officer.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization appoints a senior information security officer with the mission and resources to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-2-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinate an organization-wide information security program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-2-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelop an organization-wide information security program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-2-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplement an organization-wide information security program; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-2-4.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintain an organization-wide information security program.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing program plan development and implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing program plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing coordination of the program plan with relevant entities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esenior information security officer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.3", + "title": "INFORMATION SECURITY RESOURCES", + "props": [ + { + "class": "name", + "value": "PM-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3a." + } + ] + }, + { + "class": "item", + "id": "smm_pm-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys a business case/Exhibit 300/Exhibit 53 to record the resources required; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3b." + } + ] + }, + { + "class": "item", + "id": "smm_pm-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that information security resources are available for expenditure as planned.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider establishing champions for information security efforts and as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board (or similar group) to manage and provide oversight for the information security-related aspects of the capital planning and investment control process.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.4" + }, + { + "href": "#sa.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-3.a.", + "props": [ + { + "class": "name", + "value": "PM-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that all capital planning and investment requests include the resources needed to implement the information security program plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments all exceptions to the requirement;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys a business case/Exhibit 300/Exhibit 53 to record the resources required; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that information security resources are available for expenditure as planned.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eExhibits 300\u003c/p\u003e", + "\u003cp class=\"object\"\u003eExhibits 53\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness cases for capital planning and investment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for capital planning and investment\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation of exceptions to capital planning requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for capital planning and investment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for capital planning and investment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for business case/Exhibit 300/Exhibit 53 development\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the capital planning and investment process\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-65", + "value": "NIST Special Publication 800-65" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.4", + "title": "PLAN OF ACTION AND MILESTONES PROCESS", + "props": [ + { + "class": "name", + "value": "PM-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pm-4a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAre developed and maintained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pm-4a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eDocument the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4a.2." + } + ] + }, + { + "class": "item", + "id": "sms_pm-4a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eAre reported in accordance with OMB FISMA reporting requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4a.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pm-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe plan of action and milestones is a key document in the information security program and is subject to federal reporting requirements established by OMB. With the increasing emphasis on organization-wide risk management across all three tiers in the risk management hierarchy (i.e., organization, mission/business process, and information system), organizations view plans of action and milestones from an organizational perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from security control assessments and continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding organizational plans of action and milestones.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-4.a.1.", + "props": [ + { + "class": "name", + "value": "PM-4(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-4.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eare developed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-4.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eare maintained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4(a)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocument the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4(a)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-4.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eare reported in accordance with OMB FISMA reporting requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4(a)(3)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews plans of action and milestones for consistency with:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organizational risk management strategy; 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OMB provides guidance on developing information systems inventories and associated reporting requirements. For specific information system inventory reporting requirements, organizations consult OMB annual FISMA reporting guidance.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-5-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops an inventory of its information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-5[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-5-2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains the inventory of its information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-5[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system inventory development and maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eOMB FISMA reporting guidance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for developing and maintaining the information system inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system inventory development and maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the information system inventory\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.omb.gov", + "value": "http://www.omb.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.6", + "title": "INFORMATION SECURITY MEASURES OF PERFORMANCE", + "props": [ + { + "class": "name", + "value": "PM-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization develops, monitors, and reports on the results of information security measures of performance.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMeasures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security program and the security controls employed in support of the program.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-6-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops information security measures of performance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-6[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-6-2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors information security measures of performance; 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The integration of information security requirements and associated security controls into the organization�s enterprise architecture helps to ensure that security considerations are addressed by organizations early in the system development life cycle and are directly and explicitly related to the organization�s mission/business processes. This process of security requirements integration also embeds into the enterprise architecture, an integral information security architecture consistent with organizational risk management and information security strategies. For PM-7, the information security architecture is developed at a system-of-systems level (organization-wide), representing all of the organizational information systems. For PL-8, the information security architecture is developed at a level representing an individual information system but at the same time, is consistent with the information security architecture defined for the organization. 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The use of a risk executive function can facilitate consistent, organization-wide application of the risk management strategy. The organization-wide risk management strategy can be informed by risk-related inputs from other sources both internal and external to the organization to ensure the strategy is both broad-based and comprehensive.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-9.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-9(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-9.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements the risk management strategy consistently across the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-9(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-9.c.", + "props": [ + { + "class": "name", + "value": "PM-9(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-9.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the risk management strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-9(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-9.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the risk management strategy to address organizational changes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-9(c)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-9.c.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-9(c)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-9.c.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eas required.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-9(c)[2][b]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development, implementation, review, and update of the risk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment results relevant to the risk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for development, implementation, review, and update of the risk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for development, implementation, review, and update of the risk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the development, implementation, review, and update of the risk management strategy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.10", + "title": "SECURITY AUTHORIZATION PROCESS", + "props": [ + { + "class": "name", + "value": "PM-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-10a.", + "prose": [ + "\u003cp class=\"description\"\u003eManages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10a." + } + ] + }, + { + "class": "item", + "id": "smm_pm-10b.", + "prose": [ + "\u003cp class=\"description\"\u003eDesignates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10b." + } + ] + }, + { + "class": "item", + "id": "smm_pm-10c.", + "prose": [ + "\u003cp class=\"description\"\u003eFully integrates the security authorization processes into an organization-wide risk management program.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity authorization processes for information systems and environments of operation require the implementation of an organization-wide risk management process, a Risk Management Framework, and associated security standards and guidelines. Specific roles within the risk management process include an organizational risk executive (function) and designated authorizing officials for each organizational information system and common control provider. Security authorization processes are integrated with organizational continuous monitoring processes to facilitate ongoing understanding and acceptance of risk to organizational operations and assets, individuals, other organizations, and the Nation.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-10.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emanages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-10.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edesignates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-10.c.", + "prose": [ + "\u003cp class=\"decision\"\u003efully integrates the security authorization processes into an organization-wide risk management program.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing management (i.e., documentation, tracking, and reporting) of the security authorization process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity authorization documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003elists or other documentation about security authorization process roles and responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment results relevant to the security authorization process and the organization-wide risk management program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational risk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for management of the security authorization process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorizing officials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem owners, senior information security officer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security authorization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the security authorization process\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.11", + "title": "MISSION/BUSINESS PROCESS DEFINITION", + "props": [ + { + "class": "name", + "value": "PM-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-11a.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-11a." + } + ] + }, + { + "class": "item", + "id": "smm_pm-11b.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until achievable protection needs are obtained.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-11b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, or the Nation through the compromise of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs are derived from the mission/business needs defined by the organization, the mission/business processes selected to meet the stated needs, and the organizational risk management strategy. Information protection needs determine the required security controls for the organization and the associated information systems supporting the mission/business processes. Inherent in defining an organization�s information protection needs is an understanding of the level of adverse impact that could result if a compromise of information occurs. The security categorization process is used to make such potential impact determinations. Mission/business process definitions and associated information protection requirements are documented by the organization in accordance with organizational policy and procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.7" + }, + { + "href": "#pm.8" + }, + { + "href": "#ra.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-11.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-11(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-11.b.", + "props": [ + { + "class": "name", + "value": "PM-11(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-11.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines information protection needs arising from the defined mission/business process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-11(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-11.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erevises the processes as necessary until achievable protection needs are obtained.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-11(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for determining mission/business protection needs\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment results relevant to determination of mission/business protection needs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for mission/business processes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for determining information protection needs for mission/business processes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining mission/business processes and their information protection needs\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-60", + "value": "NIST Special Publication 800-60" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.12", + "title": "INSIDER THREAT PROGRAM", + "props": [ + { + "class": "name", + "value": "PM-12" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations handling classified information are required, under Executive Order 13587 and the National Policy on Insider Threat, to establish insider threat programs. The standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of Controlled Unclassified Information in non-national security systems. Insider threat programs include security controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior organizational official is designated by the department/agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs as a minimum, prepare department/agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from all offices within the department/agency (e.g., human resources, legal, physical security, personnel security, information technology, information system security, and law enforcement) for insider threat analysis, and conduct self-assessments of department/agency insider threat posture. Insider threat programs can leverage the existence of incident handling teams organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace (e.g., ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues). These precursors can better inform and guide organizational officials in more focused, targeted monitoring efforts. The participation of a legal team is important to ensure that all monitoring activities are performed in accordance with appropriate legislation, directives, regulations, policies, standards, and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#at.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#au.10" + }, + { + "href": "#au.12" + }, + { + "href": "#au.13" + }, + { + "href": "#ca.7" + }, + { + "href": "#ia.4" + }, + { + "href": "#ir.4" + }, + { + "href": "#mp.7" + }, + { + "href": "#pe.2" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.4" + }, + { + "href": "#ps.5" + }, + { + "href": "#ps.8" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.38" + }, + { + "href": "#si.4" + }, + { + "href": "#pm.1" + }, + { + "href": "#pm.14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization implements an insider threat program that includes a cross-discipline insider threat incident handling team. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einsider threat program documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for the insider threat program\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment results relevant to insider threats\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist or other documentation on the cross-discipline insider threat incident handling team\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for the insider threat program\u003c/p\u003e", + "\u003cp class=\"object\"\u003emembers of the cross-discipline insider threat incident handling team\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for implementing the insider threat program and the cross-discipline insider threat incident handling team\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the insider threat program and the cross-discipline insider threat incident handling team\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net", + "value": "Executive Order 13587" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.13", + "title": "INFORMATION SECURITY WORKFORCE", + "props": [ + { + "class": "name", + "value": "PM-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes an information security workforce development and improvement program.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation security workforce development and improvement programs include, for example: (i) defining the knowledge and skill levels needed to perform information security duties and tasks; (ii) developing role-based training programs for individuals assigned information security roles and responsibilities; and (iii) providing standards for measuring and building individual qualifications for incumbents and applicants for information security-related positions. Such workforce programs can also include associated information security career paths to encourage: (i) information security professionals to advance in the field and fill positions with greater responsibility; and (ii) organizations to fill information security-related positions with qualified personnel. Information security workforce development and improvement programs are complementary to organizational security awareness and training programs. Information security workforce development and improvement programs focus on developing and institutionalizing core information security capabilities of selected personnel needed to protect organizational operations, assets, and individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization establishes an information security workforce development and improvement program. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation security workforce development and improvement program documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for the information security workforce development and improvement program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for the information security workforce development and improvement program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for implementing information security workforce development and improvement program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the information security workforce development and improvement program\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.14", + "title": "TESTING, TRAINING, AND MONITORING", + "props": [ + { + "class": "name", + "value": "PM-14" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-14a.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pm-14a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAre developed and maintained; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pm-14a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eContinue to be executed in a timely manner;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pm-14b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control ensures that organizations provide oversight for the security testing, training, and monitoring activities conducted organization-wide and that those activities are coordinated. With the importance of continuous monitoring programs, the implementation of information security across the three tiers of the risk management hierarchy, and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing organizational assessments supporting a variety of security controls. Security training activities, while typically focused on individual information systems and specific roles, also necessitate coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#ca.7" + }, + { + "href": "#cp.4" + }, + { + "href": "#ir.3" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-14.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-14.a.1.", + "props": [ + { + "class": "name", + "value": "PM-14(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-14.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eare developed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-14.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eare maintained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14(a)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-14.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econtinue to be executed in a timely manner;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14(a)(2)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-14.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews testing, training, and monitoring plans for consistency with:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-14.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organizational risk management strategy; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-14.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-wide priorities for risk response actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplans for conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational procedures addressing development and maintenance of plans for conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for review of plans for conducting security testing, training, and monitoring activities for consistency with risk management strategy and risk response priorities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eresults of risk assessments associated with conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence that plans for conducting security testing, training, and monitoring activities are executed in a timely manner\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for developing and maintaining plans for conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for development and maintenance of plans for conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting development and maintenance of plans for conducting security testing, training, and monitoring activities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-16", + "value": "NIST Special Publication 800-16" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.15", + "title": "CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS", + "props": [ + { + "class": "name", + "value": "PM-15" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes and institutionalizes contact with selected groups and associations within the security community:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-15a.", + "prose": [ + "\u003cp class=\"description\"\u003eTo facilitate ongoing security education and training for organizational personnel;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15a." + } + ] + }, + { + "class": "item", + "id": "smm_pm-15b.", + "prose": [ + "\u003cp class=\"description\"\u003eTo maintain currency with recommended security practices, techniques, and technologies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15b." + } + ] + }, + { + "class": "item", + "id": "smm_pm-15c.", + "prose": [ + "\u003cp class=\"description\"\u003eTo share current security-related information including threats, vulnerabilities, and incidents.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOngoing contact with security groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Security groups and associations include, for example, special interest groups, forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. Organizations select groups and associations based on organizational missions/business functions. Organizations share threat, vulnerability, and incident information consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization establishes and institutionalizes contact with selected groups and associations with the security community to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-15.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efacilitate ongoing security education and training for organizational personnel;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-15.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintain currency with recommended security practices, techniques, and technologies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-15.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eshare current security-related information including threats, vulnerabilities, and incidents.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for contacts with security groups and associations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of established and institutionalized contact with security groups and associations\u003c/p\u003e", + "\u003cp class=\"object\"\u003elists or other documentation about contact with and/or membership in security groups and associations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for establishing and institutionalizing contact with security groups and associations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel from selected groups and associations with which the organization has established and institutionalized contact\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for establishing and institutionalizing contact with security groups and associations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting contacts with security groups and associations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.16", + "title": "THREAT AWARENESS PROGRAM", + "props": [ + { + "class": "name", + "value": "PM-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements a threat awareness program that includes a cross-organization information-sharing capability.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBecause of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it is becoming more likely that adversaries may successfully breach or compromise organizational information systems. One of the best techniques to address this concern is for organizations to share threat information. This can include, for example, sharing threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, threat intelligence (i.e., indications and warnings about threats that are likely to occur). Threat information sharing may be bilateral (e.g., government-commercial cooperatives, government-government cooperatives), or multilateral (e.g., organizations taking part in threat-sharing consortia). Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.12" + }, + { + "href": "#pm.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization implements a threat awareness program that includes a cross-organization information-sharing capability. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethreat awareness program documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for the threat awareness program\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment results relevant to threat awareness\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist or other documentation on the cross-organization information-sharing capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for the threat awareness program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the cross-organization information-sharing capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel with whom threat awareness information is shared by the organization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for implementing the threat awareness program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eOrganizational processes for implementing the cross-organization information-sharing capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the threat awareness program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the cross-organization information-sharing capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + } + ] + } +} \ No newline at end of file diff --git a/examples/SP800-53/roundtripped/SP800-53-HIGH-baseline.xml b/examples/SP800-53/roundtripped/SP800-53-HIGH-baseline.xml new file mode 100644 index 0000000000..badda4e4ea --- /dev/null +++ b/examples/SP800-53/roundtripped/SP800-53-HIGH-baseline.xml @@ -0,0 +1,350 @@ + + SP800-53 HIGH BASELINE IMPACT + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + \ No newline at end of file diff --git a/examples/SP800-53/roundtripped/SP800-53-LOW-baseline.xml b/examples/SP800-53/roundtripped/SP800-53-LOW-baseline.xml new file mode 100644 index 0000000000..02090af49d --- /dev/null +++ b/examples/SP800-53/roundtripped/SP800-53-LOW-baseline.xml @@ -0,0 +1,131 @@ + + SP800-53 LOW BASELINE IMPACT + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + \ No newline at end of file diff --git a/examples/SP800-53/roundtripped/SP800-53-MODERATE-baseline.xml b/examples/SP800-53/roundtripped/SP800-53-MODERATE-baseline.xml new file mode 100644 index 0000000000..8f53ff63ef --- /dev/null +++ b/examples/SP800-53/roundtripped/SP800-53-MODERATE-baseline.xml @@ -0,0 +1,268 @@ + + SP800-53 MODERATE BASELINE IMPACT + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + \ No newline at end of file diff --git a/examples/SP800-53/roundtripped/SP800-53-oscal-declarations.xml b/examples/SP800-53/roundtripped/SP800-53-oscal-declarations.xml new file mode 100644 index 0000000000..cb3b1dd7c2 --- /dev/null +++ b/examples/SP800-53/roundtripped/SP800-53-oscal-declarations.xml @@ -0,0 +1,105 @@ + + + true + true + ^(AC|AT|AU|CA|CM|CP|IA|IR|MA|MP|PE|PL|PM|PS|RA|SA|SC|SI)[\d\.\-]*$ + + + true + P1 + P2 + P0 + P3 + + + LOW + MODERATE + HIGH + + + true + true + + + (1) + + + + LOW + MODERATE + HIGH + + + true + true + + + a. + + + + (a) + + + + 1. + + + + (1) + + + + true + true + + + true + + + true + true + EXAMINE + INTERVIEW + TEST + + + true + true + + + true + + + true + true + + + + true + true + + + true + + + true + true + + + + true + true + + + + + true + + + true + + + true + + \ No newline at end of file diff --git a/examples/SP800-53/roundtripped/SP800-53-rev4-catalog.xml b/examples/SP800-53/roundtripped/SP800-53-rev4-catalog.xml new file mode 100644 index 0000000000..389b80fce7 --- /dev/null +++ b/examples/SP800-53/roundtripped/SP800-53-rev4-catalog.xml @@ -0,0 +1,44097 @@ + + NIST SP800-53 rev 4 + + + ACCESS CONTROL + + ACCESS CONTROL POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + AC-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ AC-1a. + +

An access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ AC-1a.1. +
+ +

Procedures to facilitate the implementation of the access control policy and associated access controls; and

+ AC-1a.2. +
+
+ +

Reviews and updates the current:

+ AC-1b. + +

Access control policy ; and

+ AC-1b.1. +
+ +

Access control procedures .

+ AC-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + AC-1(a)(1) + +

develops and documents an access control policy that addresses:

+ AC-1(a)(1)[1] + +

purpose;

+ AC-1(a)(1)[1][a] +
+ +

scope;

+ AC-1(a)(1)[1][b] +
+ +

roles;

+ AC-1(a)(1)[1][c] +
+ +

responsibilities;

+ AC-1(a)(1)[1][d] +
+ +

management commitment;

+ AC-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ AC-1(a)(1)[1][f] +
+ +

compliance;

+ AC-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the access control policy are to be disseminated;

+ AC-1(a)(1)[2] +
+ +

disseminates the access control policy to organization-defined personnel or roles;

+ AC-1(a)(1)[3] +
+
+ + AC-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the access control policy and associated access control controls;

+ AC-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ AC-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ AC-1(a)(2)[3] +
+
+ + AC-1(b)(1) + +

defines the frequency to review and update the current access control policy;

+ AC-1(b)(1)[1] +
+ +

reviews and updates the current access control policy with the organization-defined frequency;

+ AC-1(b)(1)[2] +
+
+ + AC-1(b)(2) + +

defines the frequency to review and update the current access control procedures; and

+ AC-1(b)(2)[1] +
+ +

reviews and updates the current access control procedures with the organization-defined frequency.

+ AC-1(b)(2)[2] +
+
+
+ +

Access control policy and procedures

+ EXAMINE +
+ +

Organizational personnel with access control responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-100 + + +
+ + ACCOUNT MANAGEMENT + + organization-defined information system account types + organization-defined information system account types + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined procedures or conditions + organization-defined procedures or conditions + + + organization-defined frequency + organization-defined frequency + + AC-2 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Identifies and selects the following types of information system accounts to support organizational missions/business functions: ;

+ AC-2a. +
+ +

Assigns account managers for information system accounts;

+ AC-2b. +
+ +

Establishes conditions for group and role membership;

+ AC-2c. +
+ +

Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;

+ AC-2d. +
+ +

Requires approvals by for requests to create information system accounts;

+ AC-2e. +
+ +

Creates, enables, modifies, disables, and removes information system accounts in accordance with ;

+ AC-2f. +
+ +

Monitors the use of information system accounts;

+ AC-2g. +
+ +

Notifies account managers:

+ AC-2h. + +

When accounts are no longer required;

+ AC-2h.1. +
+ +

When users are terminated or transferred; and

+ AC-2h.2. +
+ +

When individual information system usage or need-to-know changes;

+ AC-2h.3. +
+
+ +

Authorizes access to the information system based on:

+ AC-2i. + +

A valid access authorization;

+ AC-2i.1. +
+ +

Intended system usage; and

+ AC-2i.2. +
+ +

Other attributes as required by the organization or associated missions/business functions;

+ AC-2i.3. +
+
+ +

Reviews accounts for compliance with account management requirements ; and

+ AC-2j. +
+ +

Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.

+ AC-2k. +
+
+ +

Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.

+ + + + + + + + + + + + + + + + + + + + + +
+ +

Determine if the organization:

+ + AC-2(a) + +

defines information system account types to be identified and selected to support organizational missions/business functions;

+ AC-2(a)[1] +
+ +

identifies and selects organization-defined information system account types to support organizational missions/business functions;

+ AC-2(a)[2] +
+
+ +

assigns account managers for information system accounts;

+ AC-2(b) +
+ +

establishes conditions for group and role membership;

+ AC-2(c) +
+ +

specifies for each account (as required):

+ AC-2(d) + +

authorized users of the information system;

+ AC-2(d)[1] +
+ +

group and role membership;

+ AC-2(d)[2] +
+ +

access authorizations (i.e., privileges);

+ AC-2(d)[3] +
+ +

other attributes;

+ AC-2(d)[4] +
+
+ + AC-2(e) + +

defines personnel or roles required to approve requests to create information system accounts;

+ AC-2(e)[1] +
+ +

requires approvals by organization-defined personnel or roles for requests to create information system accounts;

+ AC-2(e)[2] +
+
+ + AC-2(f) + +

defines procedures or conditions to:

+ AC-2(f)[1] + +

create information system accounts;

+ AC-2(f)[1][a] +
+ +

enable information system accounts;

+ AC-2(f)[1][b] +
+ +

modify information system accounts;

+ AC-2(f)[1][c] +
+ +

disable information system accounts;

+ AC-2(f)[1][d] +
+ +

remove information system accounts;

+ AC-2(f)[1][e] +
+
+ +

in accordance with organization-defined procedures or conditions:

+ AC-2(f)[2] + +

creates information system accounts;

+ AC-2(f)[2][a] +
+ +

enables information system accounts;

+ AC-2(f)[2][b] +
+ +

modifies information system accounts;

+ AC-2(f)[2][c] +
+ +

disables information system accounts;

+ AC-2(f)[2][d] +
+ +

removes information system accounts;

+ AC-2(f)[2][e] +
+
+
+ +

monitors the use of information system accounts;

+ AC-2(g) +
+ +

notifies account managers:

+ AC-2(h) + +

when accounts are no longer required;

+ AC-2(h)(1) +
+ +

when users are terminated or transferred;

+ AC-2(h)(2) +
+ +

when individual information system usage or need to know changes;

+ AC-2(h)(3) +
+
+ +

authorizes access to the information system based on;

+ AC-2(i) + +

a valid access authorization;

+ AC-2(i)(1) +
+ +

intended system usage;

+ AC-2(i)(2) +
+ +

other attributes as required by the organization or associated missions/business functions;

+ AC-2(i)(3) +
+
+ + AC-2(j) + +

defines the frequency to review accounts for compliance with account management requirements;

+ AC-2(j)[1] +
+ +

reviews accounts for compliance with account management requirements with the organization-defined frequency; and

+ AC-2(j)[2] +
+
+ +

establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.

+ AC-2(k) +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with account management responsibilities

+ INTERVIEW +
+ +

Organizational processes account management on the information system

+ TEST +
+ + AUTOMATED SYSTEM ACCOUNT MANAGEMENT + AC-2 (1) + MODERATE + HIGH + +

The organization employs automated mechanisms to support the management of information system accounts.

+
+ +

The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.

+
+ +

Determine if the organization employs automated mechanisms to support the management of information system accounts.

+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with account management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing account management functions

+ TEST +
+
+ + REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS + AC-2 (2) + MODERATE + HIGH + +

The information system automatically [Selection: removes; disables] temporary and emergency accounts after .

+
+ +

This control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.

+
+ +

Determine if:

+ +

the organization defines the time period after which the information system automatically removes or disables temporary and emergency accounts; and

+ AC-2(2)[1] +
+ +

the information system automatically removes or disables temporary and emergency accounts after the organization-defined time period for each type of account.

+ AC-2(2)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with account management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing account management functions

+ TEST +
+ + organization-defined time period for each type of account + organization-defined time period for each type of account + +
+ + DISABLE INACTIVE ACCOUNTS + AC-2 (3) + MODERATE + HIGH + +

The information system automatically disables inactive accounts after .

+
+ +

Determine if:

+ +

the organization defines the time period after which the information system automatically disables inactive accounts; and

+ AC-2(3)[1] +
+ +

the information system automatically disables inactive accounts after the organization-defined time period.

+ AC-2(3)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with account management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing account management functions

+ TEST +
+ + organization-defined time period + organization-defined time period + +
+ + AUTOMATED AUDIT ACTIONS + AC-2 (4) + MODERATE + HIGH + +

The information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies .

+
+ + + + + +

Determine if:

+ +

the information system automatically audits the following account actions:

+ AC-2(4)[1] + +

creation;

+ AC-2(4)[1][a] +
+ +

modification;

+ AC-2(4)[1][b] +
+ +

enabling;

+ AC-2(4)[1][c] +
+ +

disabling;

+ AC-2(4)[1][d] +
+ +

removal;

+ AC-2(4)[1][e] +
+
+ +

the organization defines personnel or roles to be notified of the following account actions:

+ AC-2(4)[2] + +

creation;

+ AC-2(4)[2][a] +
+ +

modification;

+ AC-2(4)[2][b] +
+ +

enabling;

+ AC-2(4)[2][c] +
+ +

disabling;

+ AC-2(4)[2][d] +
+ +

removal;

+ AC-2(4)[2][e] +
+
+ +

the information system notifies organization-defined personnel or roles of the following account actions:

+ AC-2(4)[3] + +

creation;

+ AC-2(4)[3][a] +
+ +

modification;

+ AC-2(4)[3][b] +
+ +

enabling;

+ AC-2(4)[3][c] +
+ +

disabling; and

+ AC-2(4)[3][d] +
+ +

removal.

+ AC-2(4)[3][e] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with account management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing account management functions

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + INACTIVITY LOGOUT + AC-2 (5) + HIGH + +

The organization requires that users log out when .

+
+ + + + +

Determine if the organization:

+ +

defines either the time period of expected inactivity that requires users to log out or the description of when users are required to log out; and

+ AC-2(5)[1] +
+ +

requires that users log out when the organization-defined time period of inactivity is reached or in accordance with organization-defined description of when to log out.

+ AC-2(5)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with account management responsibilities

+ INTERVIEW +
+ + organization-defined time-period of expected inactivity or description of when to log out + organization-defined time-period of expected inactivity or description of when to log out + +
+ + DYNAMIC PRIVILEGE MANAGEMENT + AC-2 (6) + +

The information system implements the following dynamic privilege management capabilities: .

+
+ +

In contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, dynamic access control approaches (e.g., service-oriented architectures) rely on run time access control decisions facilitated by dynamic privilege management. While user identities may remain relatively constant over time, user privileges may change more frequently based on ongoing mission/business requirements and operational needs of organizations. Dynamic privilege management can include, for example, the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also refer to mechanisms that change the privileges of users based on dynamic rules as opposed to editing specific user profiles. This type of privilege management includes, for example, automatic adjustments of privileges if users are operating out of their normal work times, or if information systems are under duress or in emergency maintenance situations. This control enhancement also includes the ancillary effects of privilege changes, for example, the potential changes to encryption keys used for communications. Dynamic privilege management can support requirements for information system resiliency.

+ +
+ +

Determine if:

+ +

the organization defines a list of dynamic privilege management capabilities to be implemented by the information system; and

+ AC-2(6)[1] +
+ +

the information system implements the organization-defined list of dynamic privilege management capabilities.

+ AC-2(6)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with account management responsibilities

+ INTERVIEW +
+ +

Information system implementing dynamic privilege management capabilities

+ TEST +
+ + organization-defined list of dynamic privilege management capabilities + organization-defined list of dynamic privilege management capabilities + +
+ + ROLE-BASED SCHEMES + AC-2 (7) + +

The organization:

+ +

Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;

+ AC-2 (7)(a) +
+ +

Monitors privileged role assignments; and

+ AC-2 (7)(b) +
+ +

Takes when privileged role assignments are no longer appropriate.

+ AC-2 (7)(c) +
+
+ +

Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.

+
+ +

Determine if the organization:

+ +

establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;

+ AC-2(7)(a) +
+ +

monitors privileged role assignments;

+ AC-2(7)(b) +
+ + AC-2(7)(c) + +

defines actions to be taken when privileged role assignments are no longer appropriate; and

+ AC-2(7)(c)[1] +
+ +

takes organization-defined actions when privileged role assignments are no longer appropriate.

+ AC-2(7)(c)[2] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with account management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing account management functions

+ TEST +
+ + organization-defined actions + organization-defined actions + +
+ + DYNAMIC ACCOUNT CREATION + AC-2 (8) + +

The information system creates dynamically.

+
+ +

Dynamic approaches for creating information system accounts (e.g., as implemented within service-oriented architectures) rely on establishing accounts (identities) at run time for entities that were previously unknown. Organizations plan for dynamic creation of information system accounts by establishing trust relationships and mechanisms with the appropriate authorities to validate related authorizations and privileges.

+ +
+ +

Determine if:

+ +

the organization defines information system accounts to be created by the information system dynamically; and

+ AC-2(8)[1] +
+ +

the information system creates organization-defined information system accounts dynamically.

+ AC-2(8)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with account management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing account management functions

+ TEST +
+ + organization-defined information system accounts + organization-defined information system accounts + +
+ + RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS + AC-2 (9) + +

The organization only permits the use of shared/group accounts that meet .

+
+ +

Determine if the organization:

+ +

defines conditions for establishing shared/group accounts; and

+ AC-2(9)[1] +
+ +

only permits the use of shared/group accounts that meet organization-defined conditions for establishing shared/group accounts.

+ AC-2(9)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with account management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing management of shared/group accounts

+ TEST +
+ + organization-defined conditions for establishing shared/group accounts + organization-defined conditions for establishing shared/group accounts + +
+ + SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION + AC-2 (10) + +

The information system terminates shared/group account credentials when members leave the group.

+
+ +

Determine if the information system terminates shared/group account credentials when members leave the group.

+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with account management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing account management functions

+ TEST +
+
+ + USAGE CONDITIONS + AC-2 (11) + HIGH + +

The information system enforces for .

+
+ +

Organizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.

+
+ +

Determine if:

+ +

the organization defines circumstances and/or usage conditions to be enforced for information system accounts;

+ AC-2(11)[1] +
+ +

the organization defines information system accounts for which organization-defined circumstances and/or usage conditions are to be enforced; and

+ AC-2(11)[2] +
+ +

the information system enforces organization-defined circumstances and/or usage conditions for organization-defined information system accounts.

+ AC-2(11)[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with account management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing account management functions

+ TEST +
+ + organization-defined circumstances and/or usage conditions + organization-defined circumstances and/or usage conditions + + + organization-defined information system accounts + organization-defined information system accounts + +
+ + ACCOUNT MONITORING / ATYPICAL USAGE + AC-2 (12) + HIGH + +

The organization:

+ +

Monitors information system accounts for ; and

+ AC-2 (12)(a) +
+ +

Reports atypical usage of information system accounts to .

+ AC-2 (12)(b) +
+
+ +

Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.

+ +
+ +

Determine if the organization:

+ + AC-2(12)(a) + +

defines atypical usage to be monitored for information system accounts;

+ AC-2(12)(a)[1] +
+ +

monitors information system accounts for organization-defined atypical usage;

+ AC-2(12)(a)[2] +
+
+ + AC-2(12)(b) + +

defines personnel or roles to whom atypical usage of information system accounts are to be reported; and

+ AC-2(12)(b)[1] +
+ +

reports atypical usage of information system accounts to organization-defined personnel or roles.

+ AC-2(12)(b)[2] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with account management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing account management functions

+ TEST +
+ + organization-defined atypical usage + organization-defined atypical usage + + + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS + AC-2 (13) + HIGH + +

The organization disables accounts of users posing a significant risk within of discovery of the risk.

+
+ +

Users posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement.

+ +
+ +

Determine if the organization:

+ +

defines the time period within which accounts are disabled upon discovery of a significant risk posed by users of such accounts; and

+ AC-2(13)[1] +
+ +

disables accounts of users posing a significant risk within the organization-defined time period of discovery of the risk.

+ AC-2(13)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with account management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing account management functions

+ TEST +
+ + organization-defined time period + organization-defined time period + +
+
+ + ACCESS ENFORCEMENT + AC-3 + P1 + LOW + MODERATE + HIGH + +

The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.

+
+ +

Access control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.

+ + + + + + + + + + + + + + + + + + + +
+ +

Determine if the information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.

+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with access enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing access control policy

+ TEST +
+ + RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS + AC-3 (1) + +

Incorporated into AC-6.

+
+ +
+ + DUAL AUTHORIZATION + AC-3 (2) + +

The information system enforces dual authorization for .

+
+ +

Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. Dual authorization may also be known as two-person control.

+ + +
+ +

Determine if:

+ +

the organization defines privileged commands and/or other actions for which dual authorization is to be enforced; and

+ AC-3(2)[1] +
+ +

the information system enforces dual authorization for organization-defined privileged commands and/or other organization-defined actions.

+ AC-3(2)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with access enforcement responsibilities

+ INTERVIEW +
+ +

Dual authorization mechanisms implementing access control policy

+ TEST +
+ + organization-defined privileged commands and/or other organization-defined actions + organization-defined privileged commands and/or other organization-defined actions + +
+ + MANDATORY ACCESS CONTROL + AC-3 (3) + +

The information system enforces over all subjects and objects where the policy:

+ +

Is uniformly enforced across all subjects and objects within the boundary of the information system;

+ AC-3 (3)(a) +
+ +

Specifies that a subject that has been granted access to information is constrained from doing any of the following;

+ AC-3 (3)(b) + +

Passing the information to unauthorized subjects or objects;

+ AC-3 (3)(b)(1) +
+ +

Granting its privileges to other subjects;

+ AC-3 (3)(b)(2) +
+ +

Changing one or more security attributes on subjects, objects, the information system, or information system components;

+ AC-3 (3)(b)(3) +
+ +

Choosing the security attributes and attribute values to be associated with newly created or modified objects; or

+ AC-3 (3)(b)(4) +
+ +

Changing the rules governing access control; and

+ AC-3 (3)(b)(5) +
+
+ +

Specifies that may explicitly be granted such that they are not limited by some or all of the above constraints.

+ AC-3 (3)(c) +
+
+ +

Mandatory access control as defined in this control enhancement is synonymous with nondiscretionary access control, and is not constrained only to certain historical uses (e.g., implementations using the Bell-LaPadula Model). The above class of mandatory access control policies constrains what actions subjects can take with information obtained from data objects for which they have already been granted access, thus preventing the subjects from passing the information to unauthorized subjects and objects. This class of mandatory access control policies also constrains what actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the information system has control. Otherwise, the access control policy can be circumvented. This enforcement typically is provided via an implementation that meets the reference monitor concept (see AC-25). The policy is bounded by the information system boundary (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes a policy regarding access to sensitive/classified information and some users of the information system are not authorized access to all sensitive/classified information resident in the information system. This control can operate in conjunction with AC-3 (4). A subject that is constrained in its operation by policies governed by this control is still able to operate under the less rigorous constraints of AC-3 (4), but policies governed by this control take precedence over the less rigorous constraints of AC-3 (4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity label, AC-3 (4) permits the subject to pass the information to any subject with the same sensitivity label as the subject.

+ + +
+ +

Determine if:

+ +

the organization defines mandatory access control policies to be enforced over all subjects and objects;

+ AC-3(3)[1] +
+ +

the organization defines subjects over which organization-defined mandatory access control policies are to be enforced;

+ AC-3(3)[2] +
+ +

the organization defines objects over which organization-defined mandatory access control policies are to be enforced;

+ AC-3(3)[3] +
+ +

the organization defines subjects that may explicitly be granted privileges such that they are not limited by the constraints specified elsewhere within this control;

+ AC-3(3)[4] +
+ +

the organization defines privileges that may be granted to organization-defined subjects;

+ AC-3(3)[5] +
+ +

the information system enforces organization-defined mandatory access control policies over all subjects and objects where the policy specifies that:

+ AC-3(3)[6] + +

the policy is uniformly enforced across all subjects and objects within the boundary of the information system;

+ AC-3(3)[6](a) +
+ +

a subject that has been granted access to information is constrained from doing any of the following:

+ AC-3(3)[6](b) + +

passing the information to unauthorized subjects or objects;

+ AC-3(3)[6](b)(1) +
+ +

granting its privileges to other subjects;

+ AC-3(3)[6](b)(2) +
+ +

changing one or more security attributes on:

+ AC-3(3)[6](b)(3) + +

subjects;

+ AC-3(3)[6](b)(3)[a] +
+ +

objects;

+ AC-3(3)[6](b)(3)[b] +
+ +

the information system; or

+ AC-3(3)[6](b)(3)[c] +
+ +

system components;

+ AC-3(3)[6](b)(3)[d] +
+
+ +

choosing the security attributes and attribute values to be associated with newly created or modified objects; or

+ AC-3(3)[6](b)(4) +
+ +

changing the rules governing access control; and

+ AC-3(3)[6](b)(5) +
+
+ +

organization-defined subjects may explicitly be granted organization-defined privileges such that they are not limited by some or all of the above constraints.

+ AC-3(3)[6](c) +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with access enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing mandatory access control

+ TEST +
+ + organization-defined mandatory access control policy + organization-defined mandatory access control policy + + + organization-defined subjects + organization-defined subjects + + + organization-defined privileges (i.e., they are trusted subjects) + organization-defined privileges (i.e., they are trusted subjects) + +
+ + DISCRETIONARY ACCESS CONTROL + AC-3 (4) + +

The information system enforces over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following:

+ +

Pass the information to any other subjects or objects;

+ AC-3 (4)(a) +
+ +

Grant its privileges to other subjects;

+ AC-3 (4)(b) +
+ +

Change security attributes on subjects, objects, the information system, or the information system�s components;

+ AC-3 (4)(c) +
+ +

Choose the security attributes to be associated with newly created or revised objects; or

+ AC-3 (4)(d) +
+ +

Change the rules governing access control.

+ AC-3 (4)(e) +
+
+ +

When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3 (3). A subject that is constrained in its operation by policies governed by AC-3 (3) is still able to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3 (3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3 (4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.

+
+ +

Determine if:

+ +

the organization defines discretionary access control policies to be enforced over defined subjects and objects;

+ AC-3(4)[1] +
+ +

the information system enforces organization-defined discretionary access control policies over defined subjects and objects where the policy specifies that a subject has been granted access to information and can do one or more of the following:

+ AC-3(4)[2] + +

pass the information to any other subjects or objects;

+ AC-3(4)[2](a) +
+ +

grant its privileges to other subjects;

+ AC-3(4)[2](b) +
+ +

change security attributes on:

+ AC-3(4)[2](c) + +

subjects,

+ AC-3(4)[2](c)[a] +
+ +

objects,

+ AC-3(4)[2](c)[b] +
+ +

the information system, or

+ AC-3(4)[2](c)[c] +
+ +

the information system’s components;

+ AC-3(4)[2](c)[d] +
+
+ +

choose the security attributes to be associated with newly created or revised objects; or

+ AC-3(4)[2](d) +
+ +

change the rules governing access control.

+ AC-3(4)[2](e) +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with access enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing discretionary access control policy

+ TEST +
+ + organization-defined discretionary access control policy + organization-defined discretionary access control policy + +
+ + SECURITY-RELEVANT INFORMATION + AC-3 (5) + +

The information system prevents access to except during secure, non-operable system states.

+
+ +

Security-relevant information is any information within information systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the isolation of code and data. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Secure, non-operable system states include the times in which information systems are not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shut down).

+ +
+ +

Determine if:

+ +

the organization defines security-relevant information to which the information system prevents access except during secure, non-operable system states; and

+ AC-3(5)[1] +
+ +

the information system prevents access to organization-defined security-relevant information except during secure, non-operable system states.

+ AC-3(5)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with access enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms preventing access to security-relevant information within the information system

+ TEST +
+ + organization-defined security-relevant information + organization-defined security-relevant information + +
+ + PROTECTION OF USER AND SYSTEM INFORMATION + AC-3 (6) + +

Incorporated into MP-4 and SC-28.

+
+ + +
+ + ROLE-BASED ACCESS CONTROL + AC-3 (7) + +

The information system enforces a role-based access control policy over defined subjects and objects and controls access based upon .

+
+ +

Role-based access control (RBAC) is an access control policy that restricts information system access to authorized users. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on organizational information systems associated with the organization-defined roles. When users are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3 (3) define the scope of the subjects and objects covered by the policy.

+
+ +

Determine if:

+ +

the organization defines roles to control information system access;

+ AC-3(7)[1] +
+ +

the organization defines users authorized to assume the organization-defined roles;

+ AC-3(7)[2] +
+ +

the information system controls access based on organization-defined roles and users authorized to assume such roles;

+ AC-3(7)[3] +
+ +

the information system enforces a role-based access control policy over defined:

+ AC-3(7)[4] + +

subjects, and

+ AC-3(7)[4][a] +
+ +

objects.

+ AC-3(7)[4][b] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with access enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing role-based access control policy

+ TEST +
+ + organization-defined roles and users authorized to assume such roles + organization-defined roles and users authorized to assume such roles + +
+ + REVOCATION OF ACCESS AUTHORIZATIONS + AC-3 (8) + +

The information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on .

+
+ +

Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object (e.g., file) is opened or until the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations can provide alternative approaches on how to make revocations immediate if information systems cannot provide such capability and immediate revocation is necessary.

+
+ +

Determine if:

+ +

the organization defines rules governing the timing of revocations of access authorizations; and

+ AC-3(8)[1] +
+ +

the information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on organization-defined rules governing the timing of revocations of access authorizations.

+ AC-3(8)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with access enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing access enforcement functions

+ TEST +
+ + organization-defined rules governing the timing of revocations of access authorizations + organization-defined rules governing the timing of revocations of access authorizations + +
+ + CONTROLLED RELEASE + AC-3 (9) + +

The information system does not release information outside of the established system boundary unless:

+ +

The receiving provides ; and

+ AC-3 (9)(a) +
+ +

are used to validate the appropriateness of the information designated for release.

+ AC-3 (9)(b) +
+
+ +

Information systems can only protect organizational information within the confines of established system boundaries. Additional security safeguards may be needed to ensure that such information is adequately protected once it is passed beyond the established information system boundaries. Examples of information leaving the system boundary include transmitting information to an external information system or printing the information on one of its printers. In cases where the information system is unable to make a determination of the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external information systems are providing adequate security. The means used to determine the adequacy of the security provided by external information systems include, for example, conducting inspections or periodic testing, establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires information systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the information system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the information system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular information system or organization.

+
+ +

Determine if:

+ +

the organization defines the information system or system component authorized to receive information released outside of the established system boundary of the information system releasing such information;

+ AC-3(9)[1] +
+ +

the organization defines security safeguards to be provided by organization-defined information system or system component receiving information released from an information system outside of the established system boundary;

+ AC-3(9)[2] +
+ +

the organization defines security safeguards to be used to validate the appropriateness of the information designated for release;

+ AC-3(9)[3] +
+ +

the information system does not release information outside of the established system boundary unless:

+ AC-3(9)[4] + +

the receiving organization-defined information system or system component provides organization-defined security safeguards; and

+ AC-3(9)[4](a) +
+ +

the organization-defined security safeguards are used to validate the appropriateness of the information designated for release.

+ AC-3(9)[4](b) +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with access enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing access enforcement functions

+ TEST +
+ + organization-defined information system or system component + organization-defined information system or system component + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined security safeguards + organization-defined security safeguards + +
+ + AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS + AC-3 (10) + +

The organization employs an audited override of automated access control mechanisms under .

+
+ + + + + +

Determine if the organization:

+ +

defines conditions under which to employ an audited override of automated access control mechanisms; and

+ AC-3(10)[1] +
+ +

employs an audited override of automated access control mechanisms under organization-defined conditions.

+ AC-3(10)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with access enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing access enforcement functions

+ TEST +
+ + organization-defined conditions + organization-defined conditions + +
+
+ + INFORMATION FLOW ENFORCEMENT + + organization-defined information flow control policies + organization-defined information flow control policies + + AC-4 + P1 + MODERATE + HIGH + +

The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on .

+
+ +

Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.

+ + + + + + + + + + + +
+ +

Determine if:

+ +

the organization defines information flow control policies to control the flow of information within the system and between interconnected systems; and

+ AC-4[1] +
+ +

the information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on organization-defined information flow control policies.

+ AC-4[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+ + OBJECT SECURITY ATTRIBUTES + AC-4 (1) + +

The information system uses associated with to enforce as a basis for flow control decisions.

+
+ +

Information flow enforcement mechanisms compare security attributes associated with information (data content and data structure) and source/destination objects, and respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. Security attributes can also include, for example, source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security attributes can be used, for example, to control the release of certain types of information.

+ +
+ +

Determine if:

+ +

the organization defines information flow control policies as a basis for flow control decisions;

+ AC-4(1)[1] +
+ +

the organization defines security attributes to be associated with information, source, and destination objects;

+ AC-4(1)[2] +
+ +

the organization defines the following objects to be associated with organization-defined security attributes:

+ AC-4(1)[3] + +

information;

+ AC-4(1)[3][a] +
+ +

source;

+ AC-4(1)[3][b] +
+ +

destination; and

+ AC-4(1)[3][c] +
+
+ +

the information system uses organization-defined security attributes associated with organization-defined information, source, and destination objects to enforce organization-defined information flow control policies as a basis for flow control decisions.

+ AC-4(1)[4] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+ + organization-defined security attributes + organization-defined security attributes + + + organization-defined information, source, and destination objects + organization-defined information, source, and destination objects + + + organization-defined information flow control policies + organization-defined information flow control policies + +
+ + PROCESSING DOMAINS + AC-4 (2) + +

The information system uses protected processing domains to enforce as a basis for flow control decisions.

+
+ +

Within information systems, protected processing domains are processing spaces that have controlled interactions with other processing spaces, thus enabling control of information flows between these spaces and to/from data/information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, information system processes are assigned to domains; information is identified by types; and information flows are controlled based on allowed information accesses (determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains.

+
+ +

Determine if:

+ +

the organization defines information flow control policies as a basis for flow control decisions; and

+ AC-4(2)[1] +
+ +

the information system uses protected processing domains to enforce organization-defined information flow control policies as a basis for flow control decisions.

+ AC-4(2)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+ + organization-defined information flow control policies + organization-defined information flow control policies + +
+ + DYNAMIC INFORMATION FLOW CONTROL + AC-4 (3) + +

The information system enforces dynamic information flow control based on .

+
+ +

Organizational policies regarding dynamic information flow control include, for example, allowing or disallowing information flows based on changing conditions or mission/operational considerations. Changing conditions include, for example, changes in organizational risk tolerance due to changes in the immediacy of mission/business needs, changes in the threat environment, and detection of potentially harmful or adverse events.

+ +
+ +

Determine if:

+ +

the organization defines policies to enforce dynamic information flow control; and

+ AC-4(3)[1] +
+ +

the information system enforces dynamic information flow control based on organization-defined policies.

+ AC-4(3)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+ + organization-defined policies + organization-defined policies + +
+ + CONTENT CHECK ENCRYPTED INFORMATION + AC-4 (4) + +

The information system prevents encrypted information from bypassing content-checking mechanisms by [Selection (one or more): decrypting the information; blocking the flow of the encrypted information; terminating communications sessions attempting to pass encrypted information; ].

+
+ + + + +

Determine if:

+ +

the organization defines a procedure or method to be employed to prevent encrypted information from bypassing content-checking mechanisms;

+ AC-4(4)[1] +
+ +

the information system prevents encrypted information from bypassing content-checking mechanisms by doing one or more of the following:

+ AC-4(4)[2] + +

decrypting the information;

+ AC-4(4)[2][a] +
+ +

blocking the flow of the encrypted information;

+ AC-4(4)[2][b] +
+ +

terminating communications sessions attempting to pass encrypted information; and/or

+ AC-4(4)[2][c] +
+ +

employing the organization-defined procedure or method.

+ AC-4(4)[2][d] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+ + organization-defined procedure or method + organization-defined procedure or method + +
+ + EMBEDDED DATA TYPES + AC-4 (5) + +

The information system enforces on embedding data types within other data types.

+
+ +

Embedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes, for example, inserting executable files as objects within word processing files, inserting references or descriptive information into a media file, and compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools.

+
+ +

Determine if:

+ +

the organization defines limitations to be enforced on embedding data types within other data types; and

+ AC-4(5)[1] +
+ +

the information system enforces organization-defined limitations on embedding data types within other data types.

+ AC-4(5)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+ + organization-defined limitations + organization-defined limitations + +
+ + METADATA + AC-4 (6) + +

The information system enforces information flow control based on .

+
+ +

Metadata is information used to describe the characteristics of data. Metadata can include structural metadata describing data structures (e.g., data format, syntax, and semantics) or descriptive metadata describing data contents (e.g., age, location, telephone number). Enforcing allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata with regard to data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., ensuring sufficiently strong binding techniques with appropriate levels of assurance).

+ + +
+ +

Determine if:

+ +

the organization defines metadata to be used as a means of enforcing information flow control; and

+ AC-4(6)[1] +
+ +

the information system enforces information flow control based on organization-defined metadata.

+ AC-4(6)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+ + organization-defined metadata + organization-defined metadata + +
+ + ONE-WAY FLOW MECHANISMS + AC-4 (7) + +

The information system enforces using hardware mechanisms.

+
+ +

Determine if:

+ +

the organization defines one-way information flows to be enforced by the information system; and

+ AC-4(7)[1] +
+ +

the information system enforces organization-defined one-way information flows using hardware mechanisms.

+ AC-4(7)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Hardware mechanisms implementing information flow enforcement policy

+ TEST +
+ + organization-defined one-way information flows + organization-defined one-way information flows + +
+ + SECURITY POLICY FILTERS + AC-4 (8) + +

The information system enforces information flow control using as a basis for flow control decisions for .

+
+ +

Organization-defined security policy filters can address data structures and content. For example, security policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security policy filters for data content can check for specific words (e.g., dirty/clean word filters), enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data typically refers to digital information without a particular data structure or with a data structure that does not facilitate the development of rule sets to address the particular sensitivity of the information conveyed by the data or the associated flow enforcement decisions. Unstructured data consists of: (i) bitmap objects that are inherently non language-based (i.e., image, video, or audio files); and (ii) textual objects that are based on written or printed languages (e.g., commercial off-the-shelf word processing documents, spreadsheets, or emails). Organizations can implement more than one security policy filter to meet information flow control objectives (e.g., employing clean word lists in conjunction with dirty word lists may help to reduce false positives).

+
+ +

Determine if:

+ +

the organization defines security policy filters to be used as a basis for enforcing flow control decisions;

+ AC-4(8)[1] +
+ +

the organization defines information flows for which flow control decisions are to be applied and enforced; and

+ AC-4(8)[2] +
+ +

the information system enforces information flow control using organization-defined security policy filters as a basis for flow control decisions for organization-defined information flows.

+ AC-4(8)[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+ + organization-defined security policy filters + organization-defined security policy filters + + + organization-defined information flows + organization-defined information flows + +
+ + HUMAN REVIEWS + AC-4 (9) + +

The information system enforces the use of human reviews for under the following conditions: .

+
+ +

Organizations define security policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of, or as a complement to, automated security policy filtering. Human reviews may also be employed as deemed necessary by organizations.

+
+ +

Determine if:

+ +

the organization defines information flows requiring the use of human reviews;

+ AC-4(9)[1] +
+ +

the organization defines conditions under which the use of human reviews for organization-defined information flows is to be enforced; and

+ AC-4(9)[2] +
+ +

the information system enforces the use of human reviews for organization-defined information flows under organization-defined conditions.

+ AC-4(9)[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms enforcing the use of human reviews

+ TEST +
+ + organization-defined information flows + organization-defined information flows + + + organization-defined conditions + organization-defined conditions + +
+ + ENABLE / DISABLE SECURITY POLICY FILTERS + AC-4 (10) + +

The information system provides the capability for privileged administrators to enable/disable under the following conditions: .

+
+ +

For example, as allowed by the information system authorization, administrators can enable security policy filters to accommodate approved data types.

+
+ +

Determine if:

+ +

the organization defines security policy filters that privileged administrators have the capability to enable/disable;

+ AC-4(10)[1] +
+ +

the organization-defined conditions under which privileged administrators have the capability to enable/disable organization-defined security policy filters; and

+ AC-4(10)[2] +
+ +

the information system provides the capability for privileged administrators to enable/disable organization-defined security policy filters under organization-defined conditions.

+ AC-4(10)[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for enabling/disabling security policy filters

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+ + organization-defined security policy filters + organization-defined security policy filters + + + organization-defined conditions + organization-defined conditions + +
+ + CONFIGURATION OF SECURITY POLICY FILTERS + AC-4 (11) + +

The information system provides the capability for privileged administrators to configure to support different security policies.

+
+ +

For example, to reflect changes in security policies, administrators can change the list of �dirty words� that security policy mechanisms check in accordance with the definitions provided by organizations.

+
+ +

Determine if:

+ +

the organization defines security policy filters that privileged administrators have the capability to configure to support different security policies; and

+ AC-4(11)[1] +
+ +

the information system provides the capability for privileged administrators to configure organization-defined security policy filters to support different security policies.

+ AC-4(11)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for configuring security policy filters

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+ + organization-defined security policy filters + organization-defined security policy filters + +
+ + DATA TYPE IDENTIFIERS + AC-4 (12) + +

The information system, when transferring information between different security domains, uses to validate data essential for information flow decisions.

+
+ +

Data type identifiers include, for example, filenames, file types, file signatures/tokens, and multiple internal file signatures/tokens. Information systems may allow transfer of data only if compliant with data type format specifications.

+
+ +

Determine if:

+ +

the organization defines data type identifiers to be used, when transferring information between different security domains, to validate data essential for information flow decisions; and

+ AC-4(12)[1] +
+ +

the information system, when transferring information between different security domains, uses organization-defined data type identifiers to validate data essential for information flow decisions.

+ AC-4(12)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+ + organization-defined data type identifiers + organization-defined data type identifiers + +
+ + DECOMPOSITION INTO POLICY-RELEVANT SUBCOMPONENTS + AC-4 (13) + +

The information system, when transferring information between different security domains, decomposes information into for submission to policy enforcement mechanisms.

+
+ +

Policy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security domains. Parsing transfer files facilitates policy decisions on source, destination, certificates, classification, attachments, and other security-related component differentiators.

+
+ +

Determine if:

+ +

the organization defines policy-relevant subcomponents to decompose information for submission to policy enforcement mechanisms when transferring such information between different security domains; and

+ AC-4(13)[1] +
+ +

the information system, when transferring information between different security domains, decomposes information into organization-defined policy-relevant subcomponents for submission to policy enforcement mechanisms.

+ AC-4(13)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+ + organization-defined policy-relevant subcomponents + organization-defined policy-relevant subcomponents + +
+ + SECURITY POLICY FILTER CONSTRAINTS + AC-4 (14) + +

The information system, when transferring information between different security domains, implements requiring fully enumerated formats that restrict data structure and content.

+
+ +

Data structure and content restrictions reduce the range of potential malicious and/or unsanctioned content in cross-domain transactions. Security policy filters that restrict data structures include, for example, restricting file sizes and field lengths. Data content policy filters include, for example: (i) encoding formats for character sets (e.g., Universal Character Set Transformation Formats, American Standard Code for Information Interchange); (ii) restricting character data fields to only contain alpha-numeric characters; (iii) prohibiting special characters; and (iv) validating schema structures.

+
+ +

Determine if:

+ +

the organization defines security policy filters to be implemented that require fully enumerated formats restricting data structure and content when transferring information between different security domains; and

+ AC-4(14)[1] +
+ +

the information system, when transferring information between different security domains, implements organization-defined security policy filters requiring fully enumerated formats that restrict data structure and content.

+ AC-4(14)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+ + organization-defined security policy filters + organization-defined security policy filters + +
+ + DETECTION OF UNSANCTIONED INFORMATION + AC-4 (15) + +

The information system, when transferring information between different security domains, examines the information for the presence of and prohibits the transfer of such information in accordance with the .

+
+ +

Detection of unsanctioned information includes, for example, checking all information to be transferred for malicious code and dirty words.

+ +
+ +

Determine if:

+ +

the organization defines unsanctioned information to be detected when transferring information between different security domains;

+ AC-4(15)[1] +
+ +

the organization defines the security policy that requires the transfer of organization-defined unsanctioned information between different security domains to be prohibited when the presence of such information is detected; and

+ AC-4(15)[2] +
+ +

the information system, when transferring information between different security domains, examines the information for the presence of organization-defined unsanctioned information and prohibits the transfer of such information in accordance with the organization-defined security policy.

+ AC-4(15)[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+ + organized-defined unsanctioned information + organized-defined unsanctioned information + + + organization-defined security policy + organization-defined security policy + +
+ + INFORMATION TRANSFERS ON INTERCONNECTED SYSTEMS + AC-4 (16) + +

Incorporated into AC-4.

+
+ +
+ + DOMAIN AUTHENTICATION + AC-4 (17) + +

The information system uniquely identifies and authenticates source and destination points by [Selection (one or more): organization, system, application, individual] for information transfer.

+
+ +

Attribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in information systems, allows the forensic reconstruction of events when required, and encourages policy compliance by attributing policy violations to specific organizations/individuals. Successful domain authentication requires that information system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information.

+ + + + +
+ +

Determine if the information system uniquely identifies and authenticates:

+ + AC-4(17)[1] + +

source points for information transfer;

+ AC-4(17)[1][a] +
+ +

destination points for information transfer;

+ AC-4(17)[1][b] +
+
+ +

by one or more of the following:

+ AC-4(17)[2] + +

organization;

+ AC-4(17)[2][a] +
+ +

system;

+ AC-4(17)[2][b] +
+ +

application; and/or

+ AC-4(17)[2][c] +
+ +

individual.

+ AC-4(17)[2][d] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement policy

+ TEST +
+
+ + SECURITY ATTRIBUTE BINDING + AC-4 (18) + +

The information system binds security attributes to information using to facilitate information flow policy enforcement.

+
+ +

Binding techniques implemented by information systems affect the strength of security attribute binding to information. Binding strength and the assurance associated with binding techniques play an important part in the trust organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations.

+ + +
+ +

Determine if:

+ +

the organization defines binding techniques to be used to facilitate information flow policy enforcement; and

+ AC-4(18)[1] +
+ +

the information system binds security attributes to information using organization-defined binding techniques to facilitate information flow policy enforcement.

+ AC-4(18)[2] +
+
+ +

Information flow enforcement policy

+ EXAMINE +
+ +

Organizational personnel with information flow enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement functions

+ TEST +
+ + organization-defined binding techniques + organization-defined binding techniques + +
+ + VALIDATION OF METADATA + AC-4 (19) + +

The information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads.

+
+ +

This control enhancement requires the validation of metadata and the data to which the metadata applies. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions, considering metadata and the data to which the metadata applies as part of the payload. All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection.

+
+ +

Determine if the information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads.

+
+ +

Information flow enforcement policy

+ EXAMINE +
+ +

Organizational personnel with information flow enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement functions

+ TEST +
+
+ + APPROVED SOLUTIONS + AC-4 (20) + +

The organization employs to control the flow of across security domains.

+
+ +

Organizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The Unified Cross Domain Management Office (UCDMO) provides a baseline listing of approved cross-domain solutions.

+
+ +

Determine if the organization:

+ +

defines solutions in approved configurations to control the flow of information across security domains;

+ AC-4(20)[1] +
+ +

defines information for which organization-defined solutions in approved configurations are to be employed to control the flow of such information across security domains; and

+ AC-4(20)[2] +
+ +

employs organization-defined solutions in approved configurations to control the flow of organization-defined information across security domains.

+ AC-4(20)[3] +
+
+ +

Information flow enforcement policy

+ EXAMINE +
+ +

Organizational personnel with information flow enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement functions

+ TEST +
+ + organization-defined solutions in approved configurations + organization-defined solutions in approved configurations + + + organization-defined information + organization-defined information + +
+ + PHYSICAL / LOGICAL SEPARATION OF INFORMATION FLOWS + AC-4 (21) + +

The information system separates information flows logically or physically using to accomplish .

+
+ +

Enforcing the separation of information flows by type can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths perhaps not otherwise achievable. Types of separable information include, for example, inbound and outbound communications traffic, service requests and responses, and information of differing security categories.

+
+ +

Determine if:

+ +

the organization defines the required separations of information flows by types of information;

+ AC-4(21)[1] +
+ +

the organization defines the mechanisms and/or techniques to be used to separate information flows logically or physically; and

+ AC-4(21)[2] +
+ +

the information system separates information flows logically or physically using organization-defined mechanisms and/or techniques to accomplish organization-defined required separations by types of information.

+ AC-4(21)[3] +
+
+ +

Information flow enforcement policy

+ EXAMINE +
+ +

Organizational personnel with information flow enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement functions

+ TEST +
+ + organization-defined mechanisms and/or techniques + organization-defined mechanisms and/or techniques + + + organization-defined required separations by types of information + organization-defined required separations by types of information + +
+ + ACCESS ONLY + AC-4 (22) + +

The information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.

+
+ +

The information system, for example, provides a desktop for users to access each connected security domain without providing any mechanisms to allow transfer of information between the different security domains.

+
+ +

Determine if the information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.

+
+ +

Information flow enforcement policy

+ EXAMINE +
+ +

Organizational personnel with information flow enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing information flow enforcement functions

+ TEST +
+
+
+ + SEPARATION OF DUTIES + + organization-defined duties of individuals + organization-defined duties of individuals + + AC-5 + P1 + MODERATE + HIGH + +

The organization:

+ +

Separates ;

+ AC-5a. +
+ +

Documents separation of duties of individuals; and

+ AC-5b. +
+ +

Defines information system access authorizations to support separation of duties.

+ AC-5c. +
+
+ +

Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example: (i) dividing mission functions and information system support functions among different individuals and/or roles; (ii) conducting information system support functions with different individuals (e.g., system management, programming, configuration management, quality assurance and testing, and network security); and (iii) ensuring security personnel administering access control functions do not also administer audit functions.

+ + + + + +
+ +

Determine if the organization:

+ + AC-5(a) + +

defines duties of individuals to be separated;

+ AC-5(a)[1] +
+ +

separates organization-defined duties of individuals;

+ AC-5(a)[2] +
+
+ +

documents separation of duties; and

+ AC-5(b) +
+ +

defines information system access authorizations to support separation of duties.

+ AC-5(c) +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties

+ INTERVIEW +
+ +

Automated mechanisms implementing separation of duties policy

+ TEST +
+
+ + LEAST PRIVILEGE + AC-6 + P1 + MODERATE + HIGH + +

The organization employs the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.

+
+ +

Organizations employ least privilege for specific duties and information systems. The principle of least privilege is also applied to information system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions/business functions. Organizations consider the creation of additional processes, roles, and information system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational information systems.

+ + + + + + +
+ +

Determine if the organization employs the principle of least privilege, allowing only authorized access for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.

+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+ INTERVIEW +
+ +

Automated mechanisms implementing least privilege functions

+ TEST +
+ + AUTHORIZE ACCESS TO SECURITY FUNCTIONS + AC-6 (1) + MODERATE + HIGH + +

The organization explicitly authorizes access to .

+
+ +

Security functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users.

+ + + +
+ +

Determine if the organization:

+ +

defines security-relevant information for which access must be explicitly authorized;

+ AC-6(1)[1] +
+ +

defines security functions deployed in:

+ AC-6(1)[2] + +

hardware;

+ AC-6(1)[2][a] +
+ +

software;

+ AC-6(1)[2][b] +
+ +

firmware;

+ AC-6(1)[2][c] +
+
+ +

explicitly authorizes access to:

+ AC-6(1)[3] + +

organization-defined security functions; and

+ AC-6(1)[3][a] +
+ +

security-relevant information.

+ AC-6(1)[3][b] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+ INTERVIEW +
+ +

Automated mechanisms implementing least privilege functions

+ TEST +
+ + organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information + organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information + +
+ + NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS + AC-6 (2) + MODERATE + HIGH + +

The organization requires that users of information system accounts, or roles, with access to , use non-privileged accounts or roles, when accessing nonsecurity functions.

+
+ +

This control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.

+ +
+ +

Determine if the organization:

+ +

defines security functions or security-relevant information to which users of information system accounts, or roles, have access; and

+ AC-6(2)[1] +
+ +

requires that users of information system accounts, or roles, with access to organization-defined security functions or security-relevant information, use non-privileged accounts, or roles, when accessing nonsecurity functions.

+ AC-6(2)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+ INTERVIEW +
+ +

Automated mechanisms implementing least privilege functions

+ TEST +
+ + organization-defined security functions or security-relevant information + organization-defined security functions or security-relevant information + +
+ + NETWORK ACCESS TO PRIVILEGED COMMANDS + AC-6 (3) + HIGH + +

The organization authorizes network access to only for and documents the rationale for such access in the security plan for the information system.

+
+ +

Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).

+ +
+ +

Determine if the organization:

+ +

defines privileged commands to which network access is to be authorized only for compelling operational needs;

+ AC-6(3)[1] +
+ +

defines compelling operational needs for which network access to organization-defined privileged commands are to be solely authorized;

+ AC-6(3)[2] +
+ +

authorizes network access to organization-defined privileged commands only for organization-defined compelling operational needs; and

+ AC-6(3)[3] +
+ +

documents the rationale for authorized network access to organization-defined privileged commands in the security plan for the information system.

+ AC-6(3)[4] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+ INTERVIEW +
+ +

Automated mechanisms implementing least privilege functions

+ TEST +
+ + organization-defined privileged commands + organization-defined privileged commands + + + organization-defined compelling operational needs + organization-defined compelling operational needs + +
+ + SEPARATE PROCESSING DOMAINS + AC-6 (4) + +

The information system provides separate processing domains to enable finer-grained allocation of user privileges.

+
+ +

Providing separate processing domains for finer-grained allocation of user privileges includes, for example: (i) using virtualization techniques to allow additional privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying actual machine; (ii) employing hardware and/or software domain separation mechanisms; and (iii) implementing separate physical domains.

+ + + + +
+ +

Determine if the information system provides separate processing domains to enable finer-grained allocation of user privileges.

+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+ INTERVIEW +
+ +

Automated mechanisms implementing least privilege functions

+ TEST +
+
+ + PRIVILEGED ACCOUNTS + AC-6 (5) + MODERATE + HIGH + +

The organization restricts privileged accounts on the information system to .

+
+ +

Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided organizations retain the ability to control information system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.

+ +
+ +

Determine if the organization:

+ +

defines personnel or roles for which privileged accounts on the information system are to be restricted; and

+ AC-6(5)[1] +
+ +

restricts privileged accounts on the information system to organization-defined personnel or roles.

+ AC-6(5)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+ INTERVIEW +
+ +

Automated mechanisms implementing least privilege functions

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS + AC-6 (6) + +

The organization prohibits privileged access to the information system by non-organizational users.

+
+ + + + +

Determine if the organization prohibits privileged access to the information system by non-organizational users.

+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+ INTERVIEW +
+ +

Automated mechanisms prohibiting privileged access to the information system

+ TEST +
+
+ + REVIEW OF USER PRIVILEGES + AC-6 (7) + +

The organization:

+ +

Reviews the privileges assigned to to validate the need for such privileges; and

+ AC-6 (7)(a) +
+ +

Reassigns or removes privileges, if necessary, to correctly reflect organizational mission/business needs.

+ AC-6 (7)(b) +
+
+ +

The need for certain assigned user privileges may change over time reflecting changes in organizational missions/business function, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.

+ +
+ +

Determine if the organization:

+ + AC-6(7)(a) + +

defines roles or classes of users to which privileges are assigned;

+ AC-6(7)(a)[1] +
+ +

defines the frequency to review the privileges assigned to organization-defined roles or classes of users to validate the need for such privileges;

+ AC-6(7)(a)[2] +
+ +

reviews the privileges assigned to organization-defined roles or classes of users with the organization-defined frequency to validate the need for such privileges; and

+ AC-6(7)(a)[3] +
+
+ +

reassigns or removes privileges, if necessary, to correctly reflect organizational missions/business needs.

+ AC-6(7)(b) +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks

+ INTERVIEW +
+ +

Automated mechanisms implementing review of user privileges

+ TEST +
+ + organization-defined frequency + organization-defined frequency + + + organization-defined roles or classes of users + organization-defined roles or classes of users + +
+ + PRIVILEGE LEVELS FOR CODE EXECUTION + AC-6 (8) + +

The information system prevents from executing at higher privilege levels than users executing the software.

+
+ +

In certain situations, software applications/programs need to execute with elevated privileges to perform required functions. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.

+
+ +

Determine if:

+ +

the organization defines software that should not execute at higher privilege levels than users executing the software; and

+ AC-6(8)[1] +
+ +

the information system prevents organization-defined software from executing at higher privilege levels than users executing the software.

+ AC-6(8)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+ INTERVIEW +
+ +

Automated mechanisms implementing least privilege functions for software execution

+ TEST +
+ + organization-defined software + organization-defined software + +
+ + AUDITING USE OF PRIVILEGED FUNCTIONS + AC-6 (9) + MODERATE + HIGH + +

The information system audits the execution of privileged functions.

+
+ +

Misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised information system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat (APT).

+ +
+ +

Determine if the information system audits the execution of privileged functions.

+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks

+ INTERVIEW +
+ +

Automated mechanisms auditing the execution of least privilege functions

+ TEST +
+
+ + PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS + AC-6 (10) + MODERATE + HIGH + +

The information system prevents non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures.

+
+ +

Privileged functions include, for example, establishing information system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.

+
+ +

Determine if the information system prevents non-privileged users from executing privileged functions to include:

+ +

disabling implemented security safeguards/countermeasures;

+ AC-6(10)[1] +
+ +

circumventing security safeguards/countermeasures; or

+ AC-6(10)[2] +
+ +

altering implemented security safeguards/countermeasures.

+ AC-6(10)[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

+ INTERVIEW +
+ +

Automated mechanisms implementing least privilege functions for non-privileged users

+ TEST +
+
+
+ + UNSUCCESSFUL LOGON ATTEMPTS + + organization-defined number + organization-defined number + + + organization-defined time period + organization-defined time period + + + organization-defined time period + organization-defined time period + + + organization-defined delay algorithm + organization-defined delay algorithm + + AC-7 + P2 + LOW + MODERATE + HIGH + +

The information system:

+ +

Enforces a limit of consecutive invalid logon attempts by a user during a ; and

+ AC-7a. +
+ +

Automatically [Selection: locks the account/node for an ; locks the account/node until released by an administrator; delays next logon prompt according to ] when the maximum number of unsuccessful attempts is exceeded.

+ AC-7b. +
+
+ +

This control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by information systems are usually temporary and automatically release after a predetermined time period established by organizations. If a delay algorithm is selected, organizations may choose to employ different algorithms for different information system components based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.

+ + + + +
+ +

Determine if:

+ + AC-7(a) + +

the organization defines the number of consecutive invalid logon attempts allowed to the information system by a user during an organization-defined time period;

+ AC-7(a)[1] +
+ +

the organization defines the time period allowed by a user of the information system for an organization-defined number of consecutive invalid logon attempts;

+ AC-7(a)[2] +
+ +

the information system enforces a limit of organization-defined number of consecutive invalid logon attempts by a user during an organization-defined time period;

+ AC-7(a)[3] +
+
+ + AC-7(b) + +

the organization defines account/node lockout time period or logon delay algorithm to be automatically enforced by the information system when the maximum number of unsuccessful logon attempts is exceeded;

+ AC-7(b)[1] +
+ +

the information system, when the maximum number of unsuccessful logon attempts is exceeded, automatically:

+ AC-7(b)[2] + +

locks the account/node for the organization-defined time period;

+ AC-7(b)[2][a] +
+ +

locks the account/node until released by an administrator; or

+ AC-7(b)[2][b] +
+ +

delays next logon prompt according to the organization-defined delay algorithm.

+ AC-7(b)[2][c] +
+
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing access control policy for unsuccessful logon attempts

+ TEST +
+ + AUTOMATIC ACCOUNT LOCK + AC-7 (1) + +

Incorporated into AC-7.

+
+ +
+ + PURGE / WIPE MOBILE DEVICE + AC-7 (2) + +

The information system purges/wipes information from based on after consecutive, unsuccessful device logon attempts.

+
+ +

This control enhancement applies only to mobile devices for which a logon occurs (e.g., personal digital assistants, smart phones, tablets). The logon is to the mobile device, not to any one account on the device. Therefore, successful logons to any accounts on mobile devices reset the unsuccessful logon count to zero. Organizations define information to be purged/wiped carefully in order to avoid over purging/wiping which may result in devices becoming unusable. Purging/wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms.

+ + + + +
+ +

Determine if:

+ +

the organization defines mobile devices to be purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;

+ AC-7(2)[1] +
+ +

the organization defines purging/wiping requirements/techniques to be used when organization-defined mobile devices are purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;

+ AC-7(2)[2] +
+ +

the organization defines the number of consecutive, unsuccessful logon attempts allowed for accessing mobile devices before the information system purges/wipes information from such devices; and

+ AC-7(2)[3] +
+ +

the information system purges/wipes information from organization-defined mobile devices based on organization-defined purging/wiping requirements/techniques after organization-defined number of consecutive, unsuccessful logon attempts.

+ AC-7(2)[4] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing access control policy for unsuccessful device logon attempts

+ TEST +
+ + organization-defined mobile devices + organization-defined mobile devices + + + organization-defined purging/wiping requirements/techniques + organization-defined purging/wiping requirements/techniques + + + organization-defined number + organization-defined number + +
+
+ + SYSTEM USE NOTIFICATION + + organization-defined system use notification message or banner + organization-defined system use notification message or banner + + + organization-defined conditions + organization-defined conditions + + AC-8 + P1 + LOW + MODERATE + HIGH + +

The information system:

+ +

Displays to users before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that:

+ AC-8a. + +

Users are accessing a U.S. Government information system;

+ AC-8a.1. +
+ +

Information system usage may be monitored, recorded, and subject to audit;

+ AC-8a.2. +
+ +

Unauthorized use of the information system is prohibited and subject to criminal and civil penalties; and

+ AC-8a.3. +
+ +

Use of the information system indicates consent to monitoring and recording;

+ AC-8a.4. +
+
+ +

Retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system; and

+ AC-8b. +
+ +

For publicly accessible systems:

+ AC-8c. + +

Displays system use information , before granting further access;

+ AC-8c.1. +
+ +

Displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and

+ AC-8c.2. +
+ +

Includes a description of the authorized uses of the system.

+ AC-8c.3. +
+
+
+ +

System use notifications can be implemented using messages or warning banners displayed before individuals log in to information systems. System use notifications are used only for access via logon interfaces with human users and are not required when such human interfaces do not exist. Organizations consider system use notification messages/banners displayed in multiple languages based on specific organizational needs and the demographics of information system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.

+
+ +

Determine if:

+ + AC-8(a) + +

the organization defines a system use notification message or banner to be displayed by the information system to users before granting access to the system;

+ AC-8(a)[1] +
+ +

the information system displays to users the organization-defined system use notification message or banner before granting access to the information system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance, and states that:

+ AC-8(a)[2] + +

users are accessing a U.S. Government information system;

+ AC-8(a)[2](1) +
+ +

information system usage may be monitored, recorded, and subject to audit;

+ AC-8(a)[2](2) +
+ +

unauthorized use of the information system is prohibited and subject to criminal and civil penalties;

+ AC-8(a)[2](3) +
+ +

use of the information system indicates consent to monitoring and recording;

+ AC-8(a)[2](4) +
+
+
+ +

the information system retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system;

+ AC-8(b) +
+ +

for publicly accessible systems:

+ AC-8(c) + + AC-8(c)(1) + +

the organization defines conditions for system use to be displayed by the information system before granting further access;

+ AC-8(c)(1)[1] +
+ +

the information system displays organization-defined conditions before granting further access;

+ AC-8(c)(1)[2] +
+
+ +

the information system displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and

+ AC-8(c)(2) +
+ +

the information system includes a description of the authorized uses of the system.

+ AC-8(c)(3) +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing system use notification

+ TEST +
+
+ + PREVIOUS LOGON (ACCESS) NOTIFICATION + AC-9 + P0 + +

The information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).

+
+ +

This control is applicable to logons to information systems via human user interfaces and logons to systems that occur in other types of architectures (e.g., service-oriented architectures).

+ + +
+ +

Determine if the information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).

+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing access control policy for previous logon notification

+ TEST +
+ + UNSUCCESSFUL LOGONS + AC-9 (1) + +

The information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.

+
+ +

Determine if the information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.

+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing access control policy for previous logon notification

+ TEST +
+
+ + SUCCESSFUL / UNSUCCESSFUL LOGONS + AC-9 (2) + +

The information system notifies the user of the number of [Selection: successful logons/accesses; unsuccessful logon/access attempts; both] during .

+
+ +

Determine if:

+ +

the organization defines the time period within which the information system must notify the user of the number of:

+ AC-9(2)[1] + +

successful logons/accesses; and/or

+ AC-9(2)[1][a] +
+ +

unsuccessful logon/access attempts;

+ AC-9(2)[1][b] +
+
+ +

the information system, during the organization-defined time period, notifies the user of the number of:

+ AC-9(2)[2] + +

successful logons/accesses; and/or

+ AC-9(2)[2][a] +
+ +

unsuccessful logon/access attempts.

+ AC-9(2)[2][b] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing access control policy for previous logon notification

+ TEST +
+ + organization-defined time period + organization-defined time period + +
+ + NOTIFICATION OF ACCOUNT CHANGES + AC-9 (3) + +

The information system notifies the user of changes to during .

+
+ +

Determine if:

+ +

the organization defines security-related characteristics/parameters of a user’s account;

+ AC-9(3)[1] +
+ +

the organization defines the time period within which changes to organization-defined security-related characteristics/parameters of a user’s account must occur; and

+ AC-9(3)[2] +
+ +

the information system notifies the user of changes to organization-defined security-related characteristics/parameters of the user’s account during the organization-defined time period.

+ AC-9(3)[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing access control policy for previous logon notification

+ TEST +
+ + organization-defined security-related characteristics/parameters of the user�s account + organization-defined security-related characteristics/parameters of the user�s account + + + organization-defined time period + organization-defined time period + +
+ + ADDITIONAL LOGON INFORMATION + AC-9 (4) + +

The information system notifies the user, upon successful logon (access), of the following additional information: .

+
+ +

This control enhancement permits organizations to specify additional information to be provided to users upon logon including, for example, the location of last logon. User location is defined as that information which can be determined by information systems, for example, IP addresses from which network logons occurred, device identifiers, or notifications of local logons.

+
+ +

Determine if:

+ +

the organization defines information to be included in addition to the date and time of the last logon (access); and

+ AC-9(4)[1] +
+ +

the information system notifies the user, upon successful logon (access), of the organization-defined information to be included in addition to the date and time of the last logon (access).

+ AC-9(4)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing access control policy for previous logon notification

+ TEST +
+ + organization-defined information to be included in addition to the date and time of the last logon (access) + organization-defined information to be included in addition to the date and time of the last logon (access) + +
+
+ + CONCURRENT SESSION CONTROL + + organization-defined account and/or account type + organization-defined account and/or account type + + + organization-defined number + organization-defined number + + AC-10 + P3 + HIGH + +

The information system limits the number of concurrent sessions for each to .

+
+ +

Organizations may define the maximum number of concurrent sessions for information system accounts globally, by account type (e.g., privileged user, non-privileged user, domain, specific application), by account, or a combination. For example, organizations may limit the number of concurrent sessions for system administrators or individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts.

+
+ +

Determine if:

+ +

the organization defines account and/or account types for the information system;

+ AC-10[1] +
+ +

the organization defines the number of concurrent sessions to be allowed for each organization-defined account and/or account type; and

+ AC-10[2] +
+ +

the information system limits the number of concurrent sessions for each organization-defined account and/or account type to the organization-defined number of concurrent sessions allowed.

+ AC-10[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing access control policy for concurrent session control

+ TEST +
+
+ + SESSION LOCK + + organization-defined time period + organization-defined time period + + AC-11 + P3 + MODERATE + HIGH + +

The information system:

+ +

Prevents further access to the system by initiating a session lock after of inactivity or upon receiving a request from a user; and

+ AC-11a. +
+ +

Retains the session lock until the user reestablishes access using established identification and authentication procedures.

+ AC-11b. +
+
+ +

Session locks are temporary actions taken when users stop work and move away from the immediate vicinity of information systems but do not want to log out because of the temporary nature of their absences. Session locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Session locks are not an acceptable substitute for logging out of information systems, for example, if organizations require users to log out at the end of workdays.

+ +
+ +

Determine if:

+ + AC-11(a) + +

the organization defines the time period of user inactivity after which the information system initiates a session lock;

+ AC-11(a)[1] +
+ +

the information system prevents further access to the system by initiating a session lock after organization-defined time period of user inactivity or upon receiving a request from a user; and

+ AC-11(a)[2] +
+
+ +

the information system retains the session lock until the user reestablishes access using established identification and authentication procedures.

+ AC-11(b) +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing access control policy for session lock

+ TEST +
+ + PATTERN-HIDING DISPLAYS + AC-11 (1) + MODERATE + HIGH + +

The information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.

+
+ +

Publicly viewable images can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the additional caveat that none of the images convey sensitive information.

+
+ +

Determine if the information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.

+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Information system session lock mechanisms

+ TEST +
+
+ + + OMB Memorandum 06-16 + + +
+ + SESSION TERMINATION + + organization-defined conditions or trigger events requiring session disconnect + organization-defined conditions or trigger events requiring session disconnect + + AC-12 + P2 + MODERATE + HIGH + +

The information system automatically terminates a user session after .

+
+ +

This control addresses the termination of user-initiated logical sessions in contrast to SC-10 which addresses the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user�s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on information system use.

+ + +
+ +

Determine if:

+ +

the organization defines conditions or trigger events requiring session disconnect; and

+ AC-12[1] +
+ +

the information system automatically terminates a user session after organization-defined conditions or trigger events requiring session disconnect occurs.

+ AC-12[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing user session termination

+ TEST +
+ + USER-INITIATED LOGOUTS / MESSAGE DISPLAYS + AC-12 (1) + +

The information system:

+ +

Provides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to ; and

+ AC-12 (1)(a) +
+ +

Displays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.

+ AC-12 (1)(b) +
+
+ +

Information resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web-based services. Logout messages for web page access, for example, can be displayed after authenticated sessions have been terminated. However, for some types of interactive sessions including, for example, file transfer protocol (FTP) sessions, information systems typically send logout messages as final messages prior to terminating sessions.

+
+ +

Determine if:

+ + AC-12(1)(a) + +

the organization defines information resources for which user authentication is required to gain access to such resources;

+ AC-12(1)(a)[1] +
+ +

the information system provides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to organization-defined information resources; and

+ AC-12(1)(a)[2] +
+
+ +

the information system displays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.

+ AC-12(1)(b) +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Information system session lock mechanisms

+ TEST +
+ + organization-defined information resources + organization-defined information resources + +
+
+ + SUPERVISION AND REVIEW - ACCESS CONTROL + AC-13 + +

Incorporated into AC-2 and AU-6.

+
+ + +
+ + PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION + + organization-defined user actions + organization-defined user actions + + AC-14 + P3 + LOW + MODERATE + HIGH + +

The organization:

+ +

Identifies that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and

+ AC-14a. +
+ +

Documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.

+ AC-14b. +
+
+ +

This control addresses situations in which organizations determine that no identification or authentication is required in organizational information systems. Organizations may allow a limited number of user actions without identification or authentication including, for example, when individuals access public websites or other publicly accessible federal information systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational information systems without identification and authentication and thus, the values for assignment statements can be none.

+ + +
+ +

Determine if the organization:

+ + AC-14(a) + +

defines user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions;

+ AC-14(a)[1] +
+ +

identifies organization-defined user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and

+ AC-14(a)[2] +
+
+ +

documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.

+ AC-14(b) +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ + NECESSARY USES + AC-14 (1) + +

Incorporated into AC-14.

+
+ +
+
+ + AUTOMATED MARKING + AC-15 + +

Incorporated into MP-3.

+
+ +
+ + SECURITY ATTRIBUTES + + organization-defined types of security attributes + organization-defined types of security attributes + + + organization-defined security attribute values + organization-defined security attribute values + + + organization-defined security attributes + organization-defined security attributes + + + organization-defined information systems + organization-defined information systems + + + organization-defined values or ranges + organization-defined values or ranges + + AC-16 + P0 + +

The organization:

+ +

Provides the means to associate having with information in storage, in process, and/or in transmission;

+ AC-16a. +
+ +

Ensures that the security attribute associations are made and retained with the information;

+ AC-16b. +
+ +

Establishes the permitted for ; and

+ AC-16c. +
+ +

Determines the permitted for each of the established security attributes.

+ AC-16d. +
+
+ +

Information is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. These attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the information system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security attributes to subjects and objects is referred to as binding and is typically inclusive of setting the attribute value and the attribute type. Security attributes when bound to data/information, enables the enforcement of information security policies for access control and information flow control, either through organizational processes or information system functions or mechanisms. The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Organizations can define the types of attributes needed for selected information systems to support missions/business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings could include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations can ensure that the security attribute values are meaningful and relevant. The term security labeling refers to the association of security attributes with subjects and objects represented by internal data structures within organizational information systems, to enable information system-based enforcement of information security policies. Security labels include, for example, access authorizations, data life cycle protection (i.e., encryption and data expiration), nationality, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. The term security marking refers to the association of security attributes with objects in a human-readable form, to enable organizational process-based enforcement of information security policies. The AC-16 base control represents the requirement for user-based attribute association (marking). The enhancements to AC-16 represent additional requirements including information system-based attribute association (labeling). Types of attributes include, for example, classification level for objects and clearance (access authorization) level for subjects. An example of a value for both of these attribute types is Top Secret.

+ + + + + + + + +
+ +

Determine if the organization:

+ + AC-16(a) + +

defines types of security attributes to be associated with information:

+ AC-16(a)[1] + +

in storage;

+ AC-16(a)[1][a] +
+ +

in process; and/or

+ AC-16(a)[1][b] +
+ +

in transmission;

+ AC-16(a)[1][c] +
+
+ +

defines security attribute values for organization-defined types of security attributes;

+ AC-16(a)[2] +
+ +

provides the means to associate organization-defined types of security attributes having organization-defined security attribute values with information:

+ AC-16(a)[3] + +

in storage;

+ AC-16(a)[3][a] +
+ +

in process; and/or

+ AC-16(a)[3][b] +
+ +

in transmission;

+ AC-16(a)[3][c] +
+
+
+ +

ensures that the security attribute associations are made and retained with the information;

+ AC-16(b) +
+ + AC-16(c) + +

defines information systems for which the permitted organization-defined security attributes are to be established;

+ AC-16(c)[1] +
+ +

defines security attributes that are permitted for organization-defined information systems;

+ AC-16(c)[2] +
+ +

establishes the permitted organization-defined security attributes for organization-defined information systems;

+ AC-16(c)[3] +
+
+ + AC-16(d) + +

defines values or ranges for each of the established security attributes; and

+ AC-16(d)[1] +
+ +

determines the permitted organization-defined values or ranges for each of the established security attributes.

+ AC-16(d)[2] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational capability supporting and maintaining the association of security attributes to information in storage, in process, and in transmission

+ TEST +
+ + DYNAMIC ATTRIBUTE ASSOCIATION + AC-16 (1) + +

The information system dynamically associates security attributes with in accordance with as information is created and combined.

+
+ +

Dynamic association of security attributes is appropriate whenever the security characteristics of information changes over time. Security attributes may change, for example, due to information aggregation issues (i.e., the security characteristics of individual information elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), and changes in the security category of information.

+ +
+ +

Determine if:

+ +

the organization defines subjects and objects to which security attributes are to be dynamically associated as information is created and combined;

+ AC-16(1)[1] +
+ +

the organization defines security policies requiring the information system to dynamically associate security attributes with organization-defined subjects and objects; and

+ AC-16(1)[2] +
+ +

the information system dynamically associates security attributes with organization-defined subjects and objects in accordance with organization-defined security policies as information is created and combined.

+ AC-16(1)[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing dynamic association of security attributes to information

+ TEST +
+ + organization-defined subjects and objects + organization-defined subjects and objects + + + organization-defined security policies + organization-defined security policies + +
+ + ATTRIBUTE VALUE CHANGES BY AUTHORIZED INDIVIDUALS + AC-16 (2) + +

The information system provides authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security attributes.

+
+ +

The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals.

+ + +
+ +

Determine if the information system provides authorized individuals (or processes acting on behalf on individuals) the capability to define or change the value of associated security attributes.

+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for changing values of security attributes

+ INTERVIEW +
+ +

Automated mechanisms permitting changes to values of security attributes

+ TEST +
+
+ + MAINTENANCE OF ATTRIBUTE ASSOCIATIONS BY INFORMATION SYSTEM + AC-16 (3) + +

The information system maintains the association and integrity of to .

+
+ +

Maintaining the association and integrity of security attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. Automated policy actions include, for example, access control decisions or information flow control decisions.

+
+ +

Determine if:

+ +

the organization defines security attributes to be associated with organization-defined subjects and objects;

+ AC-16(3)[1] +
+ +

the organization defines subjects and objects requiring the association and integrity of security attributes to such subjects and objects to be maintained; and

+ AC-16(3)[2] +
+ +

the information system maintains the association and integrity of organization-defined security attributes to organization-defined subjects and objects.

+ AC-16(3)[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms maintaining association and integrity of security attributes to information

+ TEST +
+ + organization-defined security attributes + organization-defined security attributes + + + organization-defined subjects and objects + organization-defined subjects and objects + +
+ + ASSOCIATION OF ATTRIBUTES BY AUTHORIZED INDIVIDUALS + AC-16 (4) + +

The information system supports the association of with by authorized individuals (or processes acting on behalf of individuals).

+
+ +

The support provided by information systems can vary to include: (i) prompting users to select specific security attributes to be associated with specific information objects; (ii) employing automated mechanisms for categorizing information with appropriate attributes based on defined policies; or (iii) ensuring that the combination of selected security attributes selected is valid. Organizations consider the creation, deletion, or modification of security attributes when defining auditable events.

+
+ +

Determine if:

+ +

the organization defines security attributes to be associated with subjects and objects by authorized individuals (or processes acting on behalf of individuals);

+ AC-16(4)[1] +
+ +

the organization defines subjects and objects requiring the association of organization-defined security attributes by authorized individuals (or processes acting on behalf of individuals); and

+ AC-16(4)[2] +
+ +

the information system supports the association of organization-defined security attributes with organization-defined subjects and objects by authorized individuals (or processes acting on behalf of individuals).

+ AC-16(4)[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for associating security attributes to information

+ INTERVIEW +
+ +

Automated mechanisms supporting user associations of security attributes to information

+ TEST +
+ + organization-defined security attributes + organization-defined security attributes + + + organization-defined subjects and objects + organization-defined subjects and objects + +
+ + ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES + AC-16 (5) + +

The information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify using .

+
+ +

Information system outputs include, for example, pages, screens, or equivalent. Information system output devices include, for example, printers and video displays on computer workstations, notebook computers, and personal digital assistants.

+
+ +

Determine if:

+ +

the organization identifies special dissemination, handling, or distribution instructions to be used for each object that the information system transmits to output devices;

+ AC-16(5)[1] +
+ +

the organization identifies human-readable, standard naming conventions for the security attributes to be displayed in human-readable form on each object that the information system transmits to output devices; and

+ AC-16(5)[2] +
+ +

the information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify organization-identified special dissemination, handling, or distribution instructions using organization-identified human readable, standard naming conventions.

+ AC-16(5)[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

System output devices displaying security attributes in human-readable form on each object

+ TEST +
+ + organization-identified special dissemination, handling, or distribution instructions + organization-identified special dissemination, handling, or distribution instructions + + + organization-identified human-readable, standard naming conventions + organization-identified human-readable, standard naming conventions + +
+ + MAINTENANCE OF ATTRIBUTE ASSOCIATION BY ORGANIZATION + AC-16 (6) + +

The organization allows personnel to associate, and maintain the association of with in accordance with .

+
+ +

This control enhancement requires individual users (as opposed to the information system) to maintain associations of security attributes with subjects and objects.

+
+ +

Determine if the organization:

+ +

defines security attributes to be associated with subjects and objects;

+ AC-16(6)[1] +
+ +

defines subjects and objects to be associated with organization-defined security attributes;

+ AC-16(6)[2] +
+ +

defines security policies to allow personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects; and

+ AC-16(6)[3] +
+ +

allows personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects in accordance with organization-defined security policies.

+ AC-16(6)[4] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for associating and maintaining association of security attributes with subjects and objects

+ INTERVIEW +
+ +

Automated mechanisms supporting associations of security attributes to subjects and objects

+ TEST +
+ + organization-defined security attributes + organization-defined security attributes + + + organization-defined subjects and objects + organization-defined subjects and objects + + + organization-defined security policies + organization-defined security policies + +
+ + CONSISTENT ATTRIBUTE INTERPRETATION + AC-16 (7) + +

The organization provides a consistent interpretation of security attributes transmitted between distributed information system components.

+
+ +

In order to enforce security policies across multiple components in distributed information systems (e.g., distributed database management systems, cloud-based systems, and service-oriented architectures), organizations provide a consistent interpretation of security attributes that are used in access enforcement and flow enforcement decisions. Organizations establish agreements and processes to ensure that all distributed information system components implement security attributes with consistent interpretations in automated access/flow enforcement actions.

+
+ +

Determine if the organization provides a consistent interpretation of security attributes transmitted between distributed information system components.

+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for providing consistent interpretation of security attributes used in access enforcement and information flow enforcement actions

+ INTERVIEW +
+ +

Automated mechanisms implementing access enforcement and information flow enforcement functions

+ TEST +
+
+ + ASSOCIATION TECHNIQUES / TECHNOLOGIES + AC-16 (8) + +

The information system implements with in associating security attributes to information.

+
+ +

The association (i.e., binding) of security attributes to information within information systems is of significant importance with regard to conducting automated access enforcement and flow enforcement actions. The association of such security attributes can be accomplished with technologies/techniques providing different levels of assurance. For example, information systems can cryptographically bind security attributes to information using digital signatures with the supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).

+
+ +

Determine if:

+ +

the organization defines techniques or technologies to be implemented in associating security attributes to information;

+ AC-16(8)[1] +
+ +

the organization defines level of assurance to be provided when the information system implements organization-defined technologies or technologies to associate security attributes to information; and

+ AC-16(8)[2] +
+ +

the information system implements organization-defined techniques or technologies with organization-defined level of assurance in associating security attributes to information.

+ AC-16(8)[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for associating security attributes to information

+ INTERVIEW +
+ +

Automated mechanisms implementing techniques or technologies associating security attributes to information

+ TEST +
+ + organization-defined techniques or technologies + organization-defined techniques or technologies + + + organization-defined level of assurance + organization-defined level of assurance + +
+ + ATTRIBUTE REASSIGNMENT + AC-16 (9) + +

The organization ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using .

+
+ +

Validated re-grading mechanisms are employed by organizations to provide the requisite levels of assurance for security attribute reassignment activities. The validation is facilitated by ensuring that re-grading mechanisms are single purpose and of limited function. Since security attribute reassignments can affect security policy enforcement actions (e.g., access/flow enforcement decisions), using trustworthy re-grading mechanisms is necessary to ensure that such mechanisms perform in a consistent/correct mode of operation.

+
+ +

Determine if the organization:

+ +

defines techniques or procedures to validate re-grading mechanisms used to reassign association of security attributes with information; and

+ AC-16(9)[1] +
+ +

ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using organization-defined techniques or procedures.

+ AC-16(9)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for reassigning association of security attributes to information

+ INTERVIEW +
+ +

Automated mechanisms implementing techniques or procedures for reassigning association of security attributes to information

+ TEST +
+ + organization-defined techniques or procedures + organization-defined techniques or procedures + +
+ + ATTRIBUTE CONFIGURATION BY AUTHORIZED INDIVIDUALS + AC-16 (10) + +

The information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects.

+
+ +

The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals only.

+
+ +

Determine if the information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects.

+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for defining or changing security attributes associated with information

+ INTERVIEW +
+ +

Automated mechanisms implementing capability for defining or changing security attributes

+ TEST +
+
+
+ + REMOTE ACCESS + AC-17 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Establishes and documents usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and

+ AC-17a. +
+ +

Authorizes remote access to the information system prior to allowing such connections.

+ AC-17b. +
+
+ +

Remote access is access to organizational information systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g., employing appropriate encryption techniques for confidentiality and integrity protection) may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can affect the organizational capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to information systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.

+ + + + + + + + + + + + + + + + +
+ +

Determine if the organization:

+ + AC-17(a) + +

identifies the types of remote access allowed to the information system;

+ AC-17(a)[1] +
+ +

establishes for each type of remote access allowed:

+ AC-17(a)[2] + +

usage restrictions;

+ AC-17(a)[2][a] +
+ +

configuration/connection requirements;

+ AC-17(a)[2][b] +
+ +

implementation guidance;

+ AC-17(a)[2][c] +
+
+ +

documents for each type of remote access allowed:

+ AC-17(a)[3] + +

usage restrictions;

+ AC-17(a)[3][a] +
+ +

configuration/connection requirements;

+ AC-17(a)[3][b] +
+ +

implementation guidance; and

+ AC-17(a)[3][c] +
+
+
+ +

authorizes remote access to the information system prior to allowing such connections.

+ AC-17(b) +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for managing remote access connections

+ INTERVIEW +
+ +

Remote access management capability for the information system

+ TEST +
+ + AUTOMATED MONITORING / CONTROL + AC-17 (1) + MODERATE + HIGH + +

The information system monitors and controls remote access methods.

+
+ +

Automated monitoring and control of remote access sessions allows organizations to detect cyber attacks and also ensure ongoing compliance with remote access policies by auditing connection activities of remote users on a variety of information system components (e.g., servers, workstations, notebook computers, smart phones, and tablets).

+ + +
+ +

Determine if the information system monitors and controls remote access methods.

+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms monitoring and controlling remote access methods

+ TEST +
+
+ + PROTECTION OF CONFIDENTIALITY / INTEGRITY USING ENCRYPTION + AC-17 (2) + MODERATE + HIGH + +

The information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.

+
+ +

The encryption strength of mechanism is selected based on the security categorization of the information.

+ + + +
+ +

Determine if the information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.

+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Cryptographic mechanisms protecting confidentiality and integrity of remote access sessions

+ TEST +
+
+ + MANAGED ACCESS CONTROL POINTS + AC-17 (3) + MODERATE + HIGH + +

The information system routes all remote accesses through managed network access control points.

+
+ +

Limiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the Trusted Internet Connections (TIC) initiative requirements for external network connections.

+ +
+ +

Determine if:

+ +

the organization defines the number of managed network access control points through which all remote accesses are to be routed; and

+ AC-17(3)[1] +
+ +

the information system routes all remote accesses through the organization-defined number of managed network access control points.

+ AC-17(3)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms routing all remote accesses through managed network access control points

+ TEST +
+ + organization-defined number + organization-defined number + +
+ + PRIVILEGED COMMANDS / ACCESS + AC-17 (4) + MODERATE + HIGH + +

The organization:

+ +

Authorizes the execution of privileged commands and access to security-relevant information via remote access only for ; and

+ AC-17 (4)(a) +
+ +

Documents the rationale for such access in the security plan for the information system.

+ AC-17 (4)(b) +
+
+ + + + +

Determine if the organization:

+ + AC-17(4)(a) + +

defines needs to authorize the execution of privileged commands and access to security-relevant information via remote access;

+ AC-17(4)(a)[1] +
+ +

authorizes the execution of privileged commands and access to security-relevant information via remote access only for organization-defined needs; and

+ AC-17(4)(a)[2] +
+
+ +

documents the rationale for such access in the information system security plan.

+ AC-17(4)(b) +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing remote access management

+ TEST +
+ + organization-defined needs + organization-defined needs + +
+ + MONITORING FOR UNAUTHORIZED CONNECTIONS + AC-17 (5) + +

Incorporated into SI-4.

+
+ +
+ + PROTECTION OF INFORMATION + AC-17 (6) + +

The organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.

+
+ + + + + + +

Determine if the organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.

+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for implementing or monitoring remote access to the information system

+ INTERVIEW +
+
+ + ADDITIONAL PROTECTION FOR SECURITY FUNCTION ACCESS + AC-17 (7) + +

Incorporated into AC-3 (10).

+
+ +
+ + DISABLE NONSECURE NETWORK PROTOCOLS + AC-17 (8) + +

Incorporated into CM-7.

+
+ +
+ + DISCONNECT / DISABLE ACCESS + AC-17 (9) + +

The organization provides the capability to expeditiously disconnect or disable remote access to the information system within .

+
+ +

This control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the information system and/or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions/business functions and the need to eliminate immediate or future remote access to organizational information systems.

+
+ +

Determine if the organization:

+ +

defines the time period within which to expeditiously disconnect or disable remote access to the information system; and

+ AC-17(9)[1] +
+ +

provides the capability to expeditiously disconnect or disable remote access to the information system within the organization-defined time period.

+ AC-17(9)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing capability to disconnect or disable remote access to information system

+ TEST +
+ + organization-defined time period + organization-defined time period + +
+ + + NIST Special Publication 800-46 + + + NIST Special Publication 800-77 + + + NIST Special Publication 800-113 + + + NIST Special Publication 800-114 + + + NIST Special Publication 800-121 + + +
+ + WIRELESS ACCESS + AC-18 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Establishes usage restrictions, configuration/connection requirements, and implementation guidance for wireless access; and

+ AC-18a. +
+ +

Authorizes wireless access to the information system prior to allowing such connections.

+ AC-18b. +
+
+ +

Wireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication.

+ + + + + + + + + + + + +
+ +

Determine if the organization:

+ +

establishes for wireless access:

+ AC-18(a) + +

usage restrictions;

+ AC-18(a)[1] +
+ +

configuration/connection requirement;

+ AC-18(a)[2] +
+ +

implementation guidance; and

+ AC-18(a)[3] +
+
+ +

authorizes wireless access to the information system prior to allowing such connections.

+ AC-18(b) +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for managing wireless access connections

+ INTERVIEW +
+ +

Wireless access management capability for the information system

+ TEST +
+ + AUTHENTICATION AND ENCRYPTION + AC-18 (1) + MODERATE + HIGH + +

The information system protects wireless access to the system using authentication of [Selection (one or more): users; devices] and encryption.

+
+ + + + + +

Determine if the information system protects wireless access to the system using encryption and one or more of the following:

+ +

authentication of users; and/or

+ AC-18(1)[1] +
+ +

authentication of devices.

+ AC-18(1)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing wireless access protections to the information system

+ TEST +
+
+ + MONITORING UNAUTHORIZED CONNECTIONS + AC-18 (2) + +

Incorporated into SI-4.

+
+ +
+ + DISABLE WIRELESS NETWORKING + AC-18 (3) + +

The organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.

+
+ + + + +

Determine if the organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.

+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms managing the disabling of wireless networking capabilities internally embedded within information system components

+ TEST +
+
+ + RESTRICT CONFIGURATIONS BY USERS + AC-18 (4) + HIGH + +

The organization identifies and explicitly authorizes users allowed to independently configure wireless networking capabilities.

+
+ +

Organizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational information systems.

+ + +
+ +

Determine if the organization:

+ +

identifies users allowed to independently configure wireless networking capabilities; and

+ AC-18(4)[1] +
+ +

explicitly authorizes the identified users allowed to independently configure wireless networking capabilities.

+ AC-18(4)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms authorizing independent user configuration of wireless networking capabilities

+ TEST +
+
+ + ANTENNAS / TRANSMISSION POWER LEVELS + AC-18 (5) + HIGH + +

The organization selects radio antennas and calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.

+
+ +

Actions that may be taken by organizations to limit unauthorized use of wireless communications outside of organization-controlled boundaries include, for example: (i) reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be used by adversaries outside of the physical perimeters of organizations; (ii) employing measures such as TEMPEST to control wireless emanations; and (iii) using directional/beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational information systems as well as other systems that may be operating in the area.

+ +
+ +

Determine if the organization:

+ +

selects radio antennas to reduce the probability that usable signals can be received outside of organization-controlled boundaries; and

+ AC-18(5)[1] +
+ +

calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.

+ AC-18(5)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Wireless access capability protecting usable signals from unauthorized access outside organization-controlled boundaries

+ TEST +
+
+ + + NIST Special Publication 800-48 + + + NIST Special Publication 800-94 + + + NIST Special Publication 800-97 + + +
+ + ACCESS CONTROL FOR MOBILE DEVICES + AC-19 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Establishes usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices; and

+ AC-19a. +
+ +

Authorizes the connection of mobile devices to organizational information systems.

+ AC-19b. +
+
+ +

A mobile device is a computing device that: (i) has a small form factor such that it can easily be carried by a single individual; (ii) is designed to operate without a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, non-removable or removable data storage; and (iv) includes a self-contained power source. Mobile devices may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually in close proximity to the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of desktop systems, depending upon the nature and intended purpose of the device. Due to the large variety of mobile devices with different technical characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards and countermeasures for mobile devices are reflected in other security controls in the catalog allocated in the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some degree of overlap in the requirements articulated by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.

+ + + + + + + + + + + + + + + + +
+ +

Determine if the organization:

+ +

establishes for organization-controlled mobile devices:

+ AC-19(a) + +

usage restrictions;

+ AC-19(a)[1] +
+ +

configuration/connection requirement;

+ AC-19(a)[2] +
+ +

implementation guidance; and

+ AC-19(a)[3] +
+
+ +

authorizes the connection of mobile devices to organizational information systems.

+ AC-19(b) +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel using mobile devices to access organizational information systems

+ INTERVIEW +
+ +

Access control capability authorizing mobile device connections to organizational information systems

+ TEST +
+ + USE OF WRITABLE / PORTABLE STORAGE DEVICES + AC-19 (1) + +

Incorporated into MP-7.

+
+ +
+ + USE OF PERSONALLY OWNED PORTABLE STORAGE DEVICES + AC-19 (2) + +

Incorporated into MP-7.

+
+ +
+ + USE OF PORTABLE STORAGE DEVICES WITH NO IDENTIFIABLE OWNER + AC-19 (3) + +

Incorporated into MP-7.

+
+ +
+ + RESTRICTIONS FOR CLASSIFIED INFORMATION + AC-19 (4) + +

The organization:

+ +

Prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and

+ AC-19 (4)(a) +
+ +

Enforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:

+ AC-19 (4)(b) + +

Connection of unclassified mobile devices to classified information systems is prohibited;

+ AC-19 (4)(b)(1) +
+ +

Connection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;

+ AC-19 (4)(b)(2) +
+ +

Use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and

+ AC-19 (4)(b)(3) +
+ +

Unclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by , and if classified information is found, the incident handling policy is followed.

+ AC-19 (4)(b)(4) +
+
+ +

Restricts the connection of classified mobile devices to classified information systems in accordance with .

+ AC-19 (4)(c) +
+
+ + + + + +

Determine if the organization:

+ +

prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official;

+ AC-19(4)(a) +
+ +

enforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:

+ AC-19(4)(b) + +

connection of unclassified mobile devices to classified information systems is prohibited;

+ AC-19(4)(b)(1) +
+ +

connection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;

+ AC-19(4)(b)(2) +
+ +

use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited;

+ AC-19(4)(b)(3) +
+ + AC-19(4)(b)(4) + +

defines security officials responsible for reviews and inspections of unclassified mobile devices and the information stored on those devices;

+ AC-19(4)(b)(4)[1] +
+ +

unclassified mobile devices and the information stored on those devices are subject to random reviews/inspections by organization-defined security officials;

+ AC-19(4)(b)(4)[2] +
+ +

the incident handling policy is followed if classified information is found;

+ AC-19(4)(b)(4)[3] +
+
+
+ + AC-19(4)(c) + +

defines security policies to restrict the connection of classified mobile devices to classified information systems; and

+ AC-19(4)(c)[1] +
+ +

restricts the connection of classified mobile devices to classified information systems in accordance with organization-defined security policies.

+ AC-19(4)(c)[2] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel responsible for random reviews/inspections of mobile devices

+ INTERVIEW +
+ +

Automated mechanisms prohibiting the use of internal or external modems or wireless interfaces with mobile devices

+ TEST +
+ + organization-defined security officials + organization-defined security officials + + + organization-defined security policies + organization-defined security policies + +
+ + FULL DEVICE / CONTAINER-BASED ENCRYPTION + AC-19 (5) + MODERATE + HIGH + +

The organization employs [Selection: full-device encryption; container encryption] to protect the confidentiality and integrity of information on .

+
+ +

Container-based encryption provides a more fine-grained approach to the encryption of data/information on mobile devices, including for example, encrypting selected data structures such as files, records, or fields.

+ + + +
+ +

Determine if the organization:

+ +

defines mobile devices for which full-device encryption or container encryption is required to protect the confidentiality and integrity of information on such devices; and

+ AC-19(5)[1] +
+ +

employs full-device encryption or container encryption to protect the confidentiality and integrity of information on organization-defined mobile devices.

+ AC-19(5)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with access control responsibilities for mobile devices

+ INTERVIEW +
+ +

Encryption mechanisms protecting confidentiality and integrity of information on mobile devices

+ TEST +
+ + organization-defined mobile devices + organization-defined mobile devices + +
+ + + OMB Memorandum 06-16 + + + NIST Special Publication 800-114 + + + NIST Special Publication 800-124 + + + NIST Special Publication 800-164 + + +
+ + USE OF EXTERNAL INFORMATION SYSTEMS + AC-20 + P1 + LOW + MODERATE + HIGH + +

The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:

+ +

Access the information system from external information systems; and

+ AC-20a. +
+ +

Process, store, or transmit organization-controlled information using external information systems.

+ AC-20b. +
+
+ +

External information systems are information systems or components of information systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External information systems include, for example: (i) personally owned information systems/devices (e.g., notebook computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, train stations, convention centers, shopping malls, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of organizations. This control also addresses the use of external information systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) from organizational information systems. For some external information systems (i.e., information systems operated by other federal agencies, including organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Information systems within these organizations would not be considered external. These situations occur when, for example, there are pre-existing sharing/trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational information systems and over which organizations have the authority to impose rules of behavior with regard to system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending upon the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. This control does not apply to the use of external information systems to access public interfaces to organizational information systems (e.g., individuals accessing federal information through www.usa.gov). Organizations establish terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: types of applications that can be accessed on organizational information systems from external information systems; and the highest security category of information that can be processed, stored, or transmitted on external information systems. If terms and conditions with the owners of external information systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.

+ + + + + + +
+ +

Determine if the organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:

+ +

access the information system from the external information systems; and

+ AC-20(a) +
+ +

process, store, or transmit organization-controlled information using external information systems.

+ AC-20(b) +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for defining terms and conditions for use of external information systems to access organizational systems

+ INTERVIEW +
+ +

Automated mechanisms implementing terms and conditions on use of external information systems

+ TEST +
+ + LIMITS ON AUTHORIZED USE + AC-20 (1) + MODERATE + HIGH + +

The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:

+ +

Verifies the implementation of required security controls on the external system as specified in the organization�s information security policy and security plan; or

+ AC-20 (1)(a) +
+ +

Retains approved information system connection or processing agreements with the organizational entity hosting the external information system.

+ AC-20 (1)(b) +
+
+ +

This control enhancement recognizes that there are circumstances where individuals using external information systems (e.g., contractors, coalition partners) need to access organizational information systems. In those situations, organizations need confidence that the external information systems contain the necessary security safeguards (i.e., security controls), so as not to compromise, damage, or otherwise harm organizational information systems. Verification that the required security controls have been implemented can be achieved, for example, by third-party, independent assessments, attestations, or other means, depending on the confidence level required by organizations.

+ +
+ +

Determine if the organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:

+ +

verifies the implementation of required security controls on the external system as specified in the organization’s information security policy and security plan; or

+ AC-20(1)(a) +
+ +

retains approved information system connection or processing agreements with the organizational entity hosting the external information system.

+ AC-20(1)(b) +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing limits on use of external information systems

+ TEST +
+
+ + PORTABLE STORAGE DEVICES + AC-20 (2) + MODERATE + HIGH + +

The organization [Selection: restricts; prohibits] the use of organization-controlled portable storage devices by authorized individuals on external information systems.

+
+ +

Limits on the use of organization-controlled portable storage devices in external information systems include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.

+
+ +

Determine if the organization restricts or prohibits the use of organization-controlled portable storage devices by authorized individuals on external information systems.

+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for restricting or prohibiting use of organization-controlled storage devices on external information systems

+ INTERVIEW +
+ +

Automated mechanisms implementing restrictions on use of portable storage devices

+ TEST +
+
+ + NON-ORGANIZATIONALLY OWNED SYSTEMS / COMPONENTS / DEVICES + AC-20 (3) + +

The organization [Selection: restricts; prohibits] the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.

+
+ +

Non-organizationally owned devices include devices owned by other organizations (e.g., federal/state agencies, contractors) and personally owned devices. There are risks to using non-organizationally owned devices. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, it may be such that the use of non-organizationally owned devices is allowed but restricted in some way. Restrictions include, for example: (i) requiring the implementation of organization-approved security controls prior to authorizing such connections; (ii) limiting access to certain types of information, services, or applications; (iii) using virtualization techniques to limit processing and storage activities to servers or other system components provisioned by the organization; and (iv) agreeing to terms and conditions for usage. For personally owned devices, organizations consult with the Office of the General Counsel regarding legal issues associated with using such devices in operational environments, including, for example, requirements for conducting forensic analyses during investigations after an incident.

+
+ +

Determine if the organization restricts or prohibits the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.

+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for restricting or prohibiting use of non-organizationally owned information systems, system components, or devices

+ INTERVIEW +
+ +

Automated mechanisms implementing restrictions on the use of non-organizationally owned systems/components/devices

+ TEST +
+
+ + NETWORK ACCESSIBLE STORAGE DEVICES + AC-20 (4) + +

The organization prohibits the use of in external information systems.

+
+ +

Network accessible storage devices in external information systems include, for example, online storage devices in public, hybrid, or community cloud-based systems.

+
+ +

Determine if the organization:

+ +

defines network accessible storage devices to be prohibited from use in external information systems; and

+ AC-20(4)[1] +
+ +

prohibits the use of organization-defined network accessible storage devices in external information systems.

+ AC-20(4)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for prohibiting use of network accessible storage devices in external information systems

+ INTERVIEW +
+ +

Automated mechanisms prohibiting the use of network accessible storage devices in external information systems

+ TEST +
+ + organization-defined network accessible storage devices + organization-defined network accessible storage devices + +
+ + + FIPS Publication 199 + + +
+ + INFORMATION SHARING + + organization-defined information sharing circumstances where user discretion is required + organization-defined information sharing circumstances where user discretion is required + + + organization-defined automated mechanisms or manual processes + organization-defined automated mechanisms or manual processes + + AC-21 + P2 + MODERATE + HIGH + +

The organization:

+ +

Facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for ; and

+ AC-21a. +
+ +

Employs to assist users in making information sharing/collaboration decisions.

+ AC-21b. +
+
+ +

This control applies to information that may be restricted in some manner (e.g., privileged medical information, contract-sensitive information, proprietary information, personally identifiable information, classified information related to special access programs or compartments) based on some formal or administrative determination. Depending on the particular information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment.

+ +
+ +

Determine if the organization:

+ + AC-21(a) + +

defines information sharing circumstances where user discretion is required;

+ AC-21(a)[1] +
+ +

facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for organization-defined information sharing circumstances;

+ AC-21(a)[2] +
+
+ + AC-21(b) + +

defines automated mechanisms or manual processes to be employed to assist users in making information sharing/collaboration decisions; and

+ AC-21(b)[1] +
+ +

employs organization-defined automated mechanisms or manual processes to assist users in making information sharing/collaboration decisions.

+ AC-21(b)[2] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel responsible for making information sharing/collaboration decisions

+ INTERVIEW +
+ +

Automated mechanisms or manual process implementing access authorizations supporting information sharing/user collaboration decisions

+ TEST +
+ + AUTOMATED DECISION SUPPORT + AC-21 (1) + +

The information system enforces information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.

+
+ +

Determine if the information system enforces information-sharing decisions by authorized users based on:

+ +

access authorizations of sharing partners; and

+ AC-21(1)[1] +
+ +

access restrictions on information to be shared.

+ AC-21(1)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing access authorizations supporting information sharing/user collaboration decisions

+ TEST +
+
+ + INFORMATION SEARCH AND RETRIEVAL + AC-21 (2) + +

The information system implements information search and retrieval services that enforce .

+
+ +

Determine if:

+ +

the organization defines information sharing restrictions to be enforced through information search and retrieval services; and

+ AC-21(2)[1] +
+ +

the information system implements information search and retrieval services that enforce organization-defined information sharing restrictions.

+ AC-21(2)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with access enforcement responsibilities for information system search and retrieval services

+ INTERVIEW +
+ +

Information system search and retrieval services enforcing information sharing restrictions

+ TEST +
+ + organization-defined information sharing restrictions + organization-defined information sharing restrictions + +
+
+ + PUBLICLY ACCESSIBLE CONTENT + + organization-defined frequency + organization-defined frequency + + AC-22 + P3 + LOW + MODERATE + HIGH + +

The organization:

+ +

Designates individuals authorized to post information onto a publicly accessible information system;

+ AC-22a. +
+ +

Trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;

+ AC-22b. +
+ +

Reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included; and

+ AC-22c. +
+ +

Reviews the content on the publicly accessible information system for nonpublic information and removes such information, if discovered.

+ AC-22d. +
+
+ +

In accordance with federal laws, Executive Orders, directives, policies, regulations, standards, and/or guidance, the general public is not authorized access to nonpublic information (e.g., information protected under the Privacy Act and proprietary information). This control addresses information systems that are controlled by the organization and accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by organizational policy.

+ + + + + +
+ +

Determine if the organization:

+ +

designates individuals authorized to post information onto a publicly accessible information system;

+ AC-22(a) +
+ +

trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;

+ AC-22(b) +
+ +

reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included;

+ AC-22(c) +
+ + AC-22(d) + +

defines the frequency to review the content on the publicly accessible information system for nonpublic information;

+ AC-22(d)[1] +
+ +

reviews the content on the publicly accessible information system for nonpublic information with the organization-defined frequency; and

+ AC-22(d)[2] +
+ +

removes nonpublic information from the publicly accessible information system, if discovered.

+ AC-22(d)[3] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for managing publicly accessible information posted on organizational information systems

+ INTERVIEW +
+ +

Automated mechanisms implementing management of publicly accessible content

+ TEST +
+
+ + DATA MINING PROTECTION + + organization-defined data mining prevention and detection techniques + organization-defined data mining prevention and detection techniques + + + organization-defined data storage objects + organization-defined data storage objects + + AC-23 + P0 + +

The organization employs for to adequately detect and protect against data mining.

+
+ +

Data storage objects include, for example, databases, database records, and database fields. Data mining prevention and detection techniques include, for example: (i) limiting the types of responses provided to database queries; (ii) limiting the number/frequency of database queries to increase the work factor needed to determine the contents of such databases; and (iii) notifying organizational personnel when atypical database queries or accesses occur. This control focuses on the protection of organizational information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is now available as open source information residing on external sites, for example, through social networking or social media websites.

+
+ +

Determine if the organization:

+ +

defines data mining prevention and detection techniques to be employed for organization-defined storage objects to adequately detect and protect against data mining;

+ AC-23[1] +
+ +

defines data storage objects to be protected from data mining; and

+ AC-23[2] +
+ +

employs organization-defined data mining prevention and detection techniques for organization-defined data storage objects to adequately detect and protect against data mining.

+ AC-23[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for implementing data mining detection and prevention techniques for data storage objects

+ INTERVIEW +
+ +

Automated mechanisms implementing data mining prevention and detection

+ TEST +
+
+ + ACCESS CONTROL DECISIONS + + organization-defined access control decisions + organization-defined access control decisions + + AC-24 + P0 + +

The organization establishes procedures to ensure are applied to each access request prior to access enforcement.

+
+ +

Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when information systems enforce access control decisions. While it is very common to have access control decisions and access enforcement implemented by the same entity, it is not required and it is not always an optimal implementation choice. For some architectures and distributed information systems, different entities may perform access control decisions and access enforcement.

+
+ +

Determine if the organization:

+ +

defines access control decisions to be applied to each access request prior to access control enforcement; and

+ AC-24[1] +
+ +

establishes procedures to ensure organization-defined access control decisions are applied to each access request prior to access control enforcement.

+ AC-24[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for establishing procedures regarding access control decisions to the information system

+ INTERVIEW +
+ +

Automated mechanisms applying established access control decisions and procedures

+ TEST +
+ + TRANSMIT ACCESS AUTHORIZATION INFORMATION + AC-24 (1) + +

The information system transmits using to that enforce access control decisions.

+
+ +

In distributed information systems, authorization processes and access control decisions may occur in separate parts of the systems. In such instances, authorization information is transmitted securely so timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information, supporting security attributes. This is due to the fact that in distributed information systems, there are various access control decisions that need to be made and different entities (e.g., services) make these decisions in a serial fashion, each requiring some security attributes to make the decisions. Protecting access authorization information (i.e., access control decisions) ensures that such information cannot be altered, spoofed, or otherwise compromised during transmission.

+
+ +

Determine if:

+ +

the organization defines access authorization information that the information system transmits to organization-defined information systems that enforce access control decisions;

+ AC-24(1)[1] +
+ +

the organization defines security safeguards to be used when the information system transmits organization-defined authorization information to organization-defined information systems that enforce access control decisions;

+ AC-24(1)[2] +
+ +

the organization defines the information systems that enforce access control decisions; and

+ AC-24(1)[3] +
+ +

the information system transmits organization-defined access authorization information using organization-defined security safeguards to organization-defined information systems that enforce access control decisions.

+ AC-24(1)[4] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with access enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing access enforcement functions

+ TEST +
+ + organization-defined access authorization information + organization-defined access authorization information + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined information systems + organization-defined information systems + +
+ + NO USER OR PROCESS IDENTITY + AC-24 (2) + +

The information system enforces access control decisions based on that do not include the identity of the user or process acting on behalf of the user.

+
+ +

In certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions and, especially in the case of distributed information systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish.

+
+ +

Determine if:

+ +

the organization defines security attributes that support access control decisions that do not include the identity of the user or processes acting on behalf of the user; and

+ AC-24(2)[1] +
+ +

the information system enforces access control decisions based on organization-defined security attributes that do not include the identity of the user or process acting on behalf of the user.

+ AC-24(2)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with access enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing access enforcement functions

+ TEST +
+ + organization-defined security attributes + organization-defined security attributes + +
+
+ + REFERENCE MONITOR + + organization-defined access control policies + organization-defined access control policies + + AC-25 + P0 + +

The information system implements a reference monitor for that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.

+
+ +

Information is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Reference monitors typically enforce mandatory access control policies�a type of access control that restricts access to objects based on the identity of subjects or groups to which the subjects belong. The access controls are mandatory because subjects with certain privileges (i.e., access permissions) are restricted from passing those privileges on to any other subjects, either directly or indirectly�that is, the information system strictly enforces the access control policy based on the rule set established by the policy. The tamperproof property of the reference monitor prevents adversaries from compromising the functioning of the mechanism. The always invoked property prevents adversaries from bypassing the mechanism and hence violating the security policy. The smallness property helps to ensure the completeness in the analysis and testing of the mechanism to detect weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy.

+ + + + +
+ +

Determine if:

+ +

the organization defines access control policies for which the information system implements a reference monitor to enforce such policies; and

+ AC-25[1] +
+ +

the information system implements a reference monitor for organization-defined access control policies that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.

+ AC-25[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with access enforcement responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing access enforcement functions

+ TEST +
+
+
+ + AWARENESS AND TRAINING + + SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + AT-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ AT-1a. + +

A security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ AT-1a.1. +
+ +

Procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; and

+ AT-1a.2. +
+
+ +

Reviews and updates the current:

+ AT-1b. + +

Security awareness and training policy ; and

+ AT-1b.1. +
+ +

Security awareness and training procedures .

+ AT-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + AT-1(a)(1) + +

develops and documents an security awareness and training policy that addresses:

+ AT-1(a)(1)[1] + +

purpose;

+ AT-1(a)(1)[1][a] +
+ +

scope;

+ AT-1(a)(1)[1][b] +
+ +

roles;

+ AT-1(a)(1)[1][c] +
+ +

responsibilities;

+ AT-1(a)(1)[1][d] +
+ +

management commitment;

+ AT-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ AT-1(a)(1)[1][f] +
+ +

compliance;

+ AT-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the security awareness and training policy are to be disseminated;

+ AT-1(a)(1)[2] +
+ +

disseminates the security awareness and training policy to organization-defined personnel or roles;

+ AT-1(a)(1)[3] +
+
+ + AT-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the security awareness and training policy and associated awareness and training controls;

+ AT-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ AT-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ AT-1(a)(2)[3] +
+
+ + AT-1(b)(1) + +

defines the frequency to review and update the current security awareness and training policy;

+ AT-1(b)(1)[1] +
+ +

reviews and updates the current security awareness and training policy with the organization-defined frequency;

+ AT-1(b)(1)[2] +
+
+ + AT-1(b)(2) + +

defines the frequency to review and update the current security awareness and training procedures; and

+ AT-1(b)(2)[1] +
+ +

reviews and updates the current security awareness and training procedures with the organization-defined frequency.

+ AT-1(b)(2)[2] +
+
+
+ +

Security awareness and training policy and procedures

+ EXAMINE +
+ +

Organizational personnel with security awareness and training responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-16 + + + NIST Special Publication 800-50 + + + NIST Special Publication 800-100 + + +
+ + SECURITY AWARENESS TRAINING + + organization-defined frequency + organization-defined frequency + + AT-2 + P1 + LOW + MODERATE + HIGH + +

The organization provides basic security awareness training to information system users (including managers, senior executives, and contractors):

+ +

As part of initial training for new users;

+ AT-2a. +
+ +

When required by information system changes; and

+ AT-2b. +
+ +

thereafter.

+ AT-2c. +
+
+ +

Organizations determine the appropriate content of security awareness training and security awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.

+ + + +
+ +

Determine if the organization:

+ +

provides basic security awareness training to information system users (including managers, senior executives, and contractors) as part of initial training for new users;

+ AT-2(a) +
+ +

provides basic security awareness training to information system users (including managers, senior executives, and contractors) when required by information system changes; and

+ AT-2(b) +
+ + AT-2(c) + +

defines the frequency to provide refresher security awareness training thereafter to information system users (including managers, senior executives, and contractors); and

+ AT-2(c)[1] +
+ +

provides refresher security awareness training to information users (including managers, senior executives, and contractors) with the organization-defined frequency.

+ AT-2(c)[2] +
+
+
+ +

Security awareness and training policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for security awareness training

+ INTERVIEW +
+ +

Automated mechanisms managing security awareness training

+ TEST +
+ + PRACTICAL EXERCISES + AT-2 (1) + +

The organization includes practical exercises in security awareness training that simulate actual cyber attacks.

+
+ +

Practical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links.

+ + + + +
+ +

Determine if the organization includes practical exercises in security awareness training that simulate actual cyber attacks.

+
+ +

Security awareness and training policy

+ EXAMINE +
+ +

Organizational personnel that participate in security awareness training

+ INTERVIEW +
+ +

Automated mechanisms implementing cyber attack simulations in practical exercises

+ TEST +
+
+ + INSIDER THREAT + AT-2 (2) + MODERATE + HIGH + +

The organization includes security awareness training on recognizing and reporting potential indicators of insider threat.

+
+ +

Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to information not required for job performance, unexplained access to financial resources, bullying or sexual harassment of fellow employees, workplace violence, and other serious violations of organizational policies, procedures, directives, rules, or practices. Security awareness training includes how to communicate employee and management concerns regarding potential indicators of insider threat through appropriate organizational channels in accordance with established organizational policies and procedures.

+ + + + +
+ +

Determine if the organization includes security awareness training on recognizing and reporting potential indicators of insider threat.

+
+ +

Security awareness and training policy

+ EXAMINE +
+ +

Organizational personnel that participate in security awareness training

+ INTERVIEW +
+
+ + + C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) + + + Executive Order 13587 + + + NIST Special Publication 800-50 + + +
+ + ROLE-BASED SECURITY TRAINING + + organization-defined frequency + organization-defined frequency + + AT-3 + P1 + LOW + MODERATE + HIGH + +

The organization provides role-based security training to personnel with assigned security roles and responsibilities:

+ +

Before authorizing access to the information system or performing assigned duties;

+ AT-3a. +
+ +

When required by information system changes; and

+ AT-3b. +
+ +

thereafter.

+ AT-3c. +
+
+ +

Organizations determine the appropriate content of security training based on the assigned roles and responsibilities of individuals and the specific security requirements of organizations and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include for example, policies, procedures, tools, and artifacts for the organizational security roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of organizational information security programs. Role-based security training also applies to contractors providing services to federal agencies.

+ + + + + + + +
+ +

Determine if the organization:

+ +

provides role-based security training to personnel with assigned security roles and responsibilities before authorizing access to the information system or performing assigned duties;

+ AT-3(a) +
+ +

provides role-based security training to personnel with assigned security roles and responsibilities when required by information system changes; and

+ AT-3(b) +
+ + AT-3(c) + +

defines the frequency to provide refresher role-based security training thereafter to personnel with assigned security roles and responsibilities; and

+ AT-3(c)[1] +
+ +

provides refresher role-based security training to personnel with assigned security roles and responsibilities with the organization-defined frequency.

+ AT-3(c)[2] +
+
+
+ +

Security awareness and training policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for role-based security training

+ INTERVIEW +
+ +

Automated mechanisms managing role-based security training

+ TEST +
+ + ENVIRONMENTAL CONTROLS + AT-3 (1) + +

The organization provides with initial and training in the employment and operation of environmental controls.

+
+ +

Environmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the facility. Organizations identify personnel with specific roles and responsibilities associated with environmental controls requiring specialized training.

+ + + + +
+ +

Determine if the organization:

+ +

defines personnel or roles to be provided with initial and refresher training in the employment and operation of environmental controls;

+ AT-3(1)[1] +
+ +

provides organization-defined personnel or roles with initial and refresher training in the employment and operation of environmental controls;

+ AT-3(1)[2] +
+ +

defines the frequency to provide refresher training in the employment and operation of environmental controls; and

+ AT-3(1)[3] +
+ +

provides refresher training in the employment and operation of environmental controls with the organization-defined frequency.

+ AT-3(1)[4] +
+
+ +

Security awareness and training policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for role-based security training

+ INTERVIEW +
+ + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + +
+ + PHYSICAL SECURITY CONTROLS + AT-3 (2) + +

The organization provides with initial and training in the employment and operation of physical security controls.

+
+ +

Physical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring/surveillance equipment, and security guards (deployment and operating procedures). Organizations identify personnel with specific roles and responsibilities associated with physical security controls requiring specialized training.

+ + + + +
+ +

Determine if the organization:

+ +

defines personnel or roles to be provided with initial and refresher training in the employment and operation of physical security controls;

+ AT-3(2)[1] +
+ +

provides organization-defined personnel or roles with initial and refresher training in the employment and operation of physical security controls;

+ AT-3(2)[2] +
+ +

defines the frequency to provide refresher training in the employment and operation of physical security controls; and

+ AT-3(2)[3] +
+ +

provides refresher training in the employment and operation of physical security controls with the organization-defined frequency.

+ AT-3(2)[4] +
+
+ +

Security awareness and training policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for role-based security training

+ INTERVIEW +
+ + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + +
+ + PRACTICAL EXERCISES + AT-3 (3) + +

The organization includes practical exercises in security training that reinforce training objectives.

+
+ +

Practical exercises may include, for example, security training for software developers that includes simulated cyber attacks exploiting common software vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted at senior leaders/executives. These types of practical exercises help developers better understand the effects of such vulnerabilities and appreciate the need for security coding standards and processes.

+
+ +

Determine if the organization includes practical exercises in security training that reinforce training objectives.

+
+ +

Security awareness and training policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for role-based security training

+ INTERVIEW +
+
+ + SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR + AT-3 (4) + +

The organization provides training to its personnel on to recognize suspicious communications and anomalous behavior in organizational information systems.

+
+ +

A well-trained workforce provides another organizational safeguard that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming in to organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to such suspicious email or web communications (e.g., not opening attachments, not clicking on embedded web links, and checking the source of email addresses). For this process to work effectively, all organizational personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in organizational information systems can potentially provide early warning for the presence of malicious code. Recognition of such anomalous behavior by organizational personnel can supplement automated malicious code detection and protection tools and systems employed by organizations.

+
+ +

Determine if the organization:

+ +

defines indicators of malicious code; and

+ AT-3(4)[1] +
+ +

provides training to its personnel on organization-defined indicators of malicious code to recognize suspicious communications and anomalous behavior in organizational information systems.

+ AT-3(4)[2] +
+
+ +

Security awareness and training policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for role-based security training

+ INTERVIEW +
+ + organization-defined indicators of malicious code + organization-defined indicators of malicious code + +
+ + + C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) + + + NIST Special Publication 800-16 + + + NIST Special Publication 800-50 + + +
+ + SECURITY TRAINING RECORDS + + organization-defined time period + organization-defined time period + + AT-4 + P3 + LOW + MODERATE + HIGH + +

The organization:

+ +

Documents and monitors individual information system security training activities including basic security awareness training and specific information system security training; and

+ AT-4a. +
+ +

Retains individual training records for .

+ AT-4b. +
+
+ +

Documentation for specialized training may be maintained by individual supervisors at the option of the organization.

+ + + +
+ +

Determine if the organization:

+ + AT-4(a) + +

documents individual information system security training activities including:

+ AT-4(a)[1] + +

basic security awareness training;

+ AT-4(a)[1][a] +
+ +

specific role-based information system security training;

+ AT-4(a)[1][b] +
+
+ +

monitors individual information system security training activities including:

+ AT-4(a)[2] + +

basic security awareness training;

+ AT-4(a)[2][a] +
+ +

specific role-based information system security training;

+ AT-4(a)[2][b] +
+
+
+ + AT-4(b) + +

defines a time period to retain individual training records; and

+ AT-4(b)[1] +
+ +

retains individual training records for the organization-defined time period.

+ AT-4(b)[2] +
+
+
+ +

Security awareness and training policy

+ EXAMINE +
+ +

Organizational personnel with security training record retention responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting management of security training records

+ TEST +
+
+ + CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS + AT-5 + +

Incorporated into PM-15.

+
+ +
+
+ + AUDIT AND ACCOUNTABILITY + + AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + AU-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ AU-1a. + +

An audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ AU-1a.1. +
+ +

Procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls; and

+ AU-1a.2. +
+
+ +

Reviews and updates the current:

+ AU-1b. + +

Audit and accountability policy ; and

+ AU-1b.1. +
+ +

Audit and accountability procedures .

+ AU-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + AU-1(a)(1) + +

develops and documents an audit and accountability policy that addresses:

+ AU-1(a)(1)[1] + +

purpose;

+ AU-1(a)(1)[1][a] +
+ +

scope;

+ AU-1(a)(1)[1][b] +
+ +

roles;

+ AU-1(a)(1)[1][c] +
+ +

responsibilities;

+ AU-1(a)(1)[1][d] +
+ +

management commitment;

+ AU-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ AU-1(a)(1)[1][f] +
+ +

compliance;

+ AU-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the audit and accountability policy are to be disseminated;

+ AU-1(a)(1)[2] +
+ +

disseminates the audit and accountability policy to organization-defined personnel or roles;

+ AU-1(a)(1)[3] +
+
+ + AU-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls;

+ AU-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ AU-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ AU-1(a)(2)[3] +
+
+ + AU-1(b)(1) + +

defines the frequency to review and update the current audit and accountability policy;

+ AU-1(b)(1)[1] +
+ +

reviews and updates the current audit and accountability policy with the organization-defined frequency;

+ AU-1(b)(1)[2] +
+
+ + AU-1(b)(2) + +

defines the frequency to review and update the current audit and accountability procedures; and

+ AU-1(b)(2)[1] +
+ +

reviews and updates the current audit and accountability procedures in accordance with the organization-defined frequency.

+ AU-1(b)(2)[2] +
+
+
+ +

Audit and accountability policy and procedures

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-100 + + +
+ + AUDIT EVENTS + + organization-defined auditable events + organization-defined auditable events + + + organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event + organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event + + AU-2 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Determines that the information system is capable of auditing the following events: ;

+ AU-2a. +
+ +

Coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;

+ AU-2b. +
+ +

Provides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and

+ AU-2c. +
+ +

Determines that the following events are to be audited within the information system: .

+ AU-2d. +
+
+ +

An event is any observable occurrence in an organizational information system. Organizations identify audit events as those events which are significant and relevant to the security of information systems and the environments in which those systems operate in order to meet specific and ongoing audit needs. Audit events can include, for example, password changes, failed logons, or failed accesses related to information systems, administrative privilege usage, PIV credential usage, or third-party credential usage. In determining the set of auditable events, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are audited at a given point in time. For example, organizations may determine that information systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security controls and control enhancements. Organizations also include auditable events that are required by applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable events, the auditing necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented architectures.

+ + + + + + + + +
+ +

Determine if the organization:

+ + AU-2(a) + +

defines the auditable events that the information system must be capable of auditing;

+ AU-2(a)[1] +
+ +

determines that the information system is capable of auditing organization-defined auditable events;

+ AU-2(a)[2] +
+
+ +

coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;

+ AU-2(b) +
+ +

provides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents;

+ AU-2(c) +
+ + AU-2(d) + +

defines the subset of auditable events defined in AU-2a that are to be audited within the information system;

+ AU-2(d)[1] +
+ +

determines that the subset of auditable events defined in AU-2a are to be audited within the information system; and

+ AU-2(d)[2] +
+ +

determines the frequency of (or situation requiring) auditing for each identified event.

+ AU-2(d)[3] +
+
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing information system auditing

+ TEST +
+ + COMPILATION OF AUDIT RECORDS FROM MULTIPLE SOURCES + AU-2 (1) + +

Incorporated into AU-12.

+
+ +
+ + SELECTION OF AUDIT EVENTS BY COMPONENT + AU-2 (2) + +

Incorporated into AU-12.

+
+ +
+ + REVIEWS AND UPDATES + AU-2 (3) + MODERATE + HIGH + +

The organization reviews and updates the audited events .

+
+ +

Over time, the events that organizations believe should be audited may change. Reviewing and updating the set of audited events periodically is necessary to ensure that the current set is still necessary and sufficient.

+
+ +

Determine if the organization:

+ +

defines the frequency to review and update the audited events; and

+ AU-2(3)[1] +
+ +

reviews and updates the auditable events with organization-defined frequency.

+ AU-2(3)[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting review and update of auditable events

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+ + PRIVILEGED FUNCTIONS + AU-2 (4) + +

Incorporated into AC-6 (9).

+
+ +
+ + + NIST Special Publication 800-92 + + + http://idmanagement.gov + + +
+ + CONTENT OF AUDIT RECORDS + AU-3 + P1 + LOW + MODERATE + HIGH + +

The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event.

+
+ +

Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred).

+ + + + +
+ +

Determine if the information system generates audit records containing information that establishes:

+ +

what type of event occurred;

+ AU-3[1] +
+ +

when the event occurred;

+ AU-3[2] +
+ +

where the event occurred;

+ AU-3[3] +
+ +

the source of the event;

+ AU-3[4] +
+ +

the outcome of the event; and

+ AU-3[5] +
+ +

the identity of any individuals or subjects associated with the event.

+ AU-3[6] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing information system auditing of auditable events

+ TEST +
+ + ADDITIONAL AUDIT INFORMATION + AU-3 (1) + MODERATE + HIGH + +

The information system generates audit records containing the following additional information: .

+
+ +

Detailed information that organizations may consider in audit records includes, for example, full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest.

+
+ +

Determine if:

+ +

the organization defines additional, more detailed information to be contained in audit records that the information system generates; and

+ AU-3(1)[1] +
+ +

the information system generates audit records containing the organization-defined additional, more detailed information.

+ AU-3(1)[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Information system audit capability

+ TEST +
+ + organization-defined additional, more detailed information + organization-defined additional, more detailed information + +
+ + CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT + AU-3 (2) + HIGH + +

The information system provides centralized management and configuration of the content to be captured in audit records generated by .

+
+ +

This control enhancement requires that the content to be captured in audit records be configured from a central location (necessitating automation). Organizations coordinate the selection of required audit content to support the centralized management and configuration capability provided by the information system.

+ + +
+ +

Determine if:

+ +

the organization defines information system components that generate audit records whose content is to be centrally managed and configured by the information system; and

+ AU-3(2)[1] +
+ +

the information system provides centralized management and configuration of the content to be captured in audit records generated by the organization-defined information system components.

+ AU-3(2)[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Information system capability implementing centralized management and configuration of audit record content

+ TEST +
+ + organization-defined information system components + organization-defined information system components + +
+
+ + AUDIT STORAGE CAPACITY + + organization-defined audit record storage requirements + organization-defined audit record storage requirements + + AU-4 + P1 + LOW + MODERATE + HIGH + +

The organization allocates audit record storage capacity in accordance with .

+
+ +

Organizations consider the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Allocating sufficient audit storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of auditing capability.

+ + + + + + +
+ +

Determine if the organization:

+ +

defines audit record storage requirements; and

+ AU-4[1] +
+ +

allocates audit record storage capacity in accordance with the organization-defined audit record storage requirements.

+ AU-4[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Audit record storage capacity and related configuration settings

+ TEST +
+ + TRANSFER TO ALTERNATE STORAGE + AU-4 (1) + +

The information system off-loads audit records onto a different system or media than the system being audited.

+
+ +

Off-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary information system to a secondary or alternate system. It is a common process in information systems with limited audit storage capacity; the audit storage is used only in a transitory fashion until the system can communicate with the secondary or alternate system designated for storing the audit records, at which point the information is transferred.

+
+ +

Determine if:

+ +

the organization defines the frequency to off-load audit records onto a different system or media than the system being audited; and

+ AU-4(1)[1] +
+ +

the information system off-loads audit records onto a different system or media than the system being audited with the organization-defined frequency.

+ AU-4(1)[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit storage capacity planning responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting transfer of audit records onto a different system

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+
+ + RESPONSE TO AUDIT PROCESSING FAILURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records) + organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records) + + AU-5 + P1 + LOW + MODERATE + HIGH + +

The information system:

+ +

Alerts in the event of an audit processing failure; and

+ AU-5a. +
+ +

Takes the following additional actions: .

+ AU-5b. +
+
+ +

Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for different audit processing failures (e.g., by type, by location, by severity, or a combination of such factors). This control applies to each audit data storage repository (i.e., distinct information system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.

+ + +
+ +

Determine if:

+ + AU-5(a) + +

the organization defines the personnel or roles to be alerted in the event of an audit processing failure;

+ AU-5(a)[1] +
+ +

the information system alerts the organization-defined personnel or roles in the event of an audit processing failure;

+ AU-5(a)[2] +
+
+ + AU-5(b) + +

the organization defines additional actions to be taken (e.g., shutdown information system, overwrite oldest audit records, stop generating audit records) in the event of an audit processing failure; and

+ AU-5(b)[1] +
+ +

the information system takes the additional organization-defined actions in the event of an audit processing failure.

+ AU-5(b)[2] +
+
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing information system response to audit processing failures

+ TEST +
+ + AUDIT STORAGE CAPACITY + AU-5 (1) + HIGH + +

The information system provides a warning to within when allocated audit record storage volume reaches of repository maximum audit record storage capacity.

+
+ +

Organizations may have multiple audit data storage repositories distributed across multiple information system components, with each repository having different storage volume capacities.

+
+ +

Determine if:

+ +

the organization defines:

+ AU-5(1)[1] + +

personnel to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;

+ AU-5(1)[1][a] +
+ +

roles to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity; and/or

+ AU-5(1)[1][b] +
+ +

locations to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;

+ AU-5(1)[1][c] +
+
+ +

the organization defines the time period within which the information system is to provide a warning to the organization-defined personnel, roles, and/or locations when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity;

+ AU-5(1)[2] +
+ +

the organization defines the percentage of repository maximum audit record storage capacity that, if reached, requires a warning to be provided; and

+ AU-5(1)[3] +
+ +

the information system provides a warning to the organization-defined personnel, roles, and/or locations within the organization-defined time period when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity.

+ AU-5(1)[4] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing audit storage limit warnings

+ TEST +
+ + organization-defined personnel, roles, and/or locations + organization-defined personnel, roles, and/or locations + + + organization-defined time period + organization-defined time period + + + organization-defined percentage + organization-defined percentage + +
+ + REAL-TIME ALERTS + AU-5 (2) + HIGH + +

The information system provides an alert in to when the following audit failure events occur: .

+
+ +

Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).

+
+ +

Determine if:

+ +

the organization defines audit failure events requiring real-time alerts;

+ AU-5(2)[1] +
+ +

the organization defines:

+ AU-5(2)[2] + +

personnel to be alerted when organization-defined audit failure events requiring real-time alerts occur;

+ AU-5(2)[2][a] +
+ +

roles to be alerted when organization-defined audit failure events requiring real-time alerts occur; and/or

+ AU-5(2)[2][b] +
+ +

locations to be alerted when organization-defined audit failure events requiring real-time alerts occur;

+ AU-5(2)[2][c] +
+
+ +

the organization defines the real-time period within which the information system is to provide an alert to the organization-defined personnel, roles, and/or locations when the organization-defined audit failure events requiring real-time alerts occur; and

+ AU-5(2)[3] +
+ +

the information system provides an alert within the organization-defined real-time period to the organization-defined personnel, roles, and/or locations when organization-defined audit failure events requiring real-time alerts occur.

+ AU-5(2)[4] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing real-time audit alerts when organization-defined audit failure events occur

+ TEST +
+ + organization-defined real-time period + organization-defined real-time period + + + organization-defined personnel, roles, and/or locations + organization-defined personnel, roles, and/or locations + + + organization-defined audit failure events requiring real-time alerts + organization-defined audit failure events requiring real-time alerts + +
+ + CONFIGURABLE TRAFFIC VOLUME THRESHOLDS + AU-5 (3) + +

The information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity and [Selection: rejects; delays] network traffic above those thresholds.

+
+ +

Organizations have the capability to reject or delay the processing of network communications traffic if auditing such traffic is determined to exceed the storage capacity of the information system audit function. The rejection or delay response is triggered by the established organizational traffic volume thresholds which can be adjusted based on changes to audit storage capacity.

+
+ +

Determine if:

+ +

the information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity;

+ AU-5(3)[1] +
+ +

the organization selects if network traffic above configurable traffic volume thresholds is to be:

+ AU-5(3)[2] + +

rejected; or

+ AU-5(3)[2][a] +
+ +

delayed; and

+ AU-5(3)[2][b] +
+
+ +

the information system rejects or delays network communications traffic generated above configurable traffic volume thresholds.

+ AU-5(3)[3] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Information system capability implementing configurable traffic volume thresholds

+ TEST +
+
+ + SHUTDOWN ON FAILURE + AU-5 (4) + +

The information system invokes a [Selection: full system shutdown; partial system shutdown; degraded operational mode with limited mission/business functionality available] in the event of , unless an alternate audit capability exists.

+
+ +

Organizations determine the types of audit failures that can trigger automatic information system shutdowns or degraded operations. Because of the importance of ensuring mission/business continuity, organizations may determine that the nature of the audit failure is not so severe that it warrants a complete shutdown of the information system supporting the core organizational missions/business operations. In those instances, partial information system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.

+ +
+ +

Determine if:

+ +

the organization selects one of the following specific actions for the information system to invoke in the event of organization-defined audit failures:

+ AU-5(4)[1] + +

full system shutdown;

+ AU-5(4)[1][a] +
+ +

partial system shutdown; or

+ AU-5(4)[1][b] +
+ +

degraded operational mode with limited mission/business functionality available;

+ AU-5(4)[1][c] +
+
+ +

the organization defines audit failures that, unless an alternate audit capability exists, are to trigger the information system to invoke a specific action; and

+ AU-5(4)[2] +
+ +

the information system invokes the selected specific action in the event of organization-defined audit failures, unless an alternate audit capability exists.

+ AU-5(4)[3] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Information system capability invoking system shutdown or degraded operational mode in the event of an audit processing failure

+ TEST +
+ + organization-defined audit failures + organization-defined audit failures + +
+
+ + AUDIT REVIEW, ANALYSIS, AND REPORTING + + organization-defined frequency + organization-defined frequency + + + organization-defined inappropriate or unusual activity + organization-defined inappropriate or unusual activity + + + organization-defined personnel or roles + organization-defined personnel or roles + + AU-6 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Reviews and analyzes information system audit records for indications of ; and

+ AU-6a. +
+ +

Reports findings to .

+ AU-6b. +
+
+ +

Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority.

+ + + + + + + + + + + + + + + + + + + + + + + + + + + + +
+ +

Determine if the organization:

+ + AU-6(a) + +

defines the types of inappropriate or unusual activity to look for when information system audit records are reviewed and analyzed;

+ AU-6(a)[1] +
+ +

defines the frequency to review and analyze information system audit records for indications of organization-defined inappropriate or unusual activity;

+ AU-6(a)[2] +
+ +

reviews and analyzes information system audit records for indications of organization-defined inappropriate or unusual activity with the organization-defined frequency;

+ AU-6(a)[3] +
+
+ + AU-6(b) + +

defines personnel or roles to whom findings resulting from reviews and analysis of information system audit records are to be reported; and

+ AU-6(b)[1] +
+ +

reports findings to organization-defined personnel or roles.

+ AU-6(b)[2] +
+
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit review, analysis, and reporting responsibilities

+ INTERVIEW +
+ + PROCESS INTEGRATION + AU-6 (1) + MODERATE + HIGH + +

The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.

+
+ +

Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits.

+ + +
+ +

Determine if the organization:

+ +

employs automated mechanisms to integrate:

+ AU-6(1)[1] + +

audit review;

+ AU-6(1)[1][a] +
+ +

analysis;

+ AU-6(1)[1][b] +
+ +

reporting processes;

+ AU-6(1)[1][c] +
+
+ +

uses integrated audit review, analysis and reporting processes to support organizational processes for:

+ AU-6(1)[2] + +

investigation of suspicious activities; and

+ AU-6(1)[2][a] +
+ +

response to suspicious activities.

+ AU-6(1)[2][b] +
+
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit review, analysis, and reporting responsibilities

+ INTERVIEW +
+ +

Automated mechanisms integrating audit review, analysis, and reporting processes

+ TEST +
+
+ + AUTOMATED SECURITY ALERTS + AU-6 (2) + +

Incorporated into SI-4.

+
+ +
+ + CORRELATE AUDIT REPOSITORIES + AU-6 (3) + MODERATE + HIGH + +

The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.

+
+ +

Organization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and information system) and supports cross-organization awareness.

+ + +
+ +

Determine if the organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.

+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit review, analysis, and reporting responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting analysis and correlation of audit records

+ TEST +
+
+ + CENTRAL REVIEW AND ANALYSIS + AU-6 (4) + +

The information system provides the capability to centrally review and analyze audit records from multiple components within the system.

+
+ +

Automated mechanisms for centralized reviews and analyses include, for example, Security Information Management products.

+ + +
+ +

Determine if the information system provides the capability to centrally review and analyze audit records from multiple components within the system.

+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit review, analysis, and reporting responsibilities

+ INTERVIEW +
+ +

Information system capability to centralize review and analysis of audit records

+ TEST +
+
+ + INTEGRATION / SCANNING AND MONITORING CAPABILITIES + AU-6 (5) + HIGH + +

The organization integrates analysis of audit records with analysis of [Selection (one or more): vulnerability scanning information; performance data; information system monitoring information; ] to further enhance the ability to identify inappropriate or unusual activity.

+
+ +

This control enhancement does not require vulnerability scanning, the generation of performance data, or information system monitoring. Rather, the enhancement requires that the analysis of information being otherwise produced in these areas is integrated with the analysis of audit information. Security Event and Information Management System tools can facilitate audit record aggregation/consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans and correlating attack detection events with scanning results. Correlation with performance data can help uncover denial of service attacks or cyber attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations.

+ + + +
+ +

Determine if the organization:

+ +

defines data/information to be collected from other sources;

+ AU-6(5)[1] +
+ +

selects sources of data/information to be analyzed and integrated with the analysis of audit records from one or more of the following:

+ AU-6(5)[2] + +

vulnerability scanning information;

+ AU-6(5)[2][a] +
+ +

performance data;

+ AU-6(5)[2][b] +
+ +

information system monitoring information; and/or

+ AU-6(5)[2][c] +
+ +

organization-defined data/information collected from other sources; and

+ AU-6(5)[2][d] +
+
+ +

integrates the analysis of audit records with the analysis of selected data/information to further enhance the ability to identify inappropriate or unusual activity.

+ AU-6(5)[3] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit review, analysis, and reporting responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing capability to integrate analysis of audit records with analysis of data/information sources

+ TEST +
+ + organization-defined data/information collected from other sources + organization-defined data/information collected from other sources + +
+ + CORRELATION WITH PHYSICAL MONITORING + AU-6 (6) + HIGH + +

The organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.

+
+ +

The correlation of physical audit information and audit logs from information systems may assist organizations in identifying examples of suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual�s identity for logical access to certain information systems with the additional physical security information that the individual was actually present at the facility when the logical access occurred, may prove to be useful in investigations.

+
+ +

Determine if the organization correlates information from audit records with information obtained from monitoring physical access to enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.

+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit review, analysis, and reporting responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing capability to correlate information from audit records with information from monitoring physical access

+ TEST +
+
+ + PERMITTED ACTIONS + AU-6 (7) + +

The organization specifies the permitted actions for each [Selection (one or more): information system process; role; user] associated with the review, analysis, and reporting of audit information.

+
+ +

Organizations specify permitted actions for information system processes, roles, and/or users associated with the review, analysis, and reporting of audit records through account management techniques. Specifying permitted actions on audit information is a way to enforce the principle of least privilege. Permitted actions are enforced by the information system and include, for example, read, write, execute, append, and delete.

+
+ +

Determine if the organization specifies the permitted actions for each one or more of the following associated with the review, analysis and reporting of audit information:

+ +

information system process;

+ AU-6(7)[1] +
+ +

role; and/or

+ AU-6(7)[2] +
+ +

user.

+ AU-6(7)[3] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit review, analysis, and reporting responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting permitted actions for review, analysis, and reporting of audit information

+ TEST +
+
+ + FULL TEXT ANALYSIS OF PRIVILEGED COMMANDS + AU-6 (8) + +

The organization performs a full text analysis of audited privileged commands in a physically distinct component or subsystem of the information system, or other information system that is dedicated to that analysis.

+
+ +

This control enhancement requires a distinct environment for the dedicated analysis of audit information related to privileged users without compromising such information on the information system where the users have elevated privileges including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and all parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes, for example, the use of pattern matching and heuristics.

+ + + + +
+ +

Determine if the organization performs a full text analysis of audited privileged commands in:

+ +

a physically distinct component or subsystem of the information system; or

+ AU-6(8)[1] +
+ +

other information system that is dedicated to that analysis.

+ AU-6(8)[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit review, analysis, and reporting responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing capability to perform a full text analysis of audited privilege commands

+ TEST +
+
+ + CORRELATION WITH INFORMATION FROM NONTECHNICAL SOURCES + AU-6 (9) + +

The organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.

+
+ +

Nontechnical sources include, for example, human resources records documenting organizational policy violations (e.g., sexual harassment incidents, improper use of organizational information assets). Such information can lead organizations to a more directed analytical effort to detect potential malicious insider activity. Due to the sensitive nature of the information available from nontechnical sources, organizations limit access to such information to minimize the potential for the inadvertent release of privacy-related information to individuals that do not have a need to know. Thus, correlation of information from nontechnical sources with audit information generally occurs only when individuals are suspected of being involved in a security incident. Organizations obtain legal advice prior to initiating such actions.

+ +
+ +

Determine if the organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.

+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit review, analysis, and reporting responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing capability to correlate information from non-technical sources

+ TEST +
+
+ + AUDIT LEVEL ADJUSTMENT + AU-6 (10) + +

The organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.

+
+ +

The frequency, scope, and/or depth of the audit review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.

+
+ +

Determine if the organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on:

+ +

law enforcement information;

+ AU-6(10)[1] +
+ +

intelligence information; and/or

+ AU-6(10)[2] +
+ +

other credible sources of information.

+ AU-6(10)[3] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit review, analysis, and reporting responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting review, analysis, and reporting of audit information

+ TEST +
+
+
+ + AUDIT REDUCTION AND REPORT GENERATION + AU-7 + P2 + MODERATE + HIGH + +

The information system provides an audit reduction and report generation capability that:

+ +

Supports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and

+ AU-7a. +
+ +

Does not alter the original content or time ordering of audit records.

+ AU-7b. +
+
+ +

Audit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. Audit reduction and report generation capabilities do not always emanate from the same information system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient.

+ +
+ +

Determine if the information system provides an audit reduction and report generation capability that supports:

+ + AU-7(a) + +

on-demand audit review;

+ AU-7(a)[1] +
+ +

analysis;

+ AU-7(a)[2] +
+ +

reporting requirements;

+ AU-7(a)[3] +
+ +

after-the-fact investigations of security incidents; and

+ AU-7(a)[4] +
+
+ +

does not alter the original content or time ordering of audit records.

+ AU-7(b) +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit reduction and report generation responsibilities

+ INTERVIEW +
+ +

Audit reduction and report generation capability

+ TEST +
+ + AUTOMATIC PROCESSING + AU-7 (1) + MODERATE + HIGH + +

The information system provides the capability to process audit records for events of interest based on .

+
+ +

Events of interest can be identified by the content of specific audit record fields including, for example, identities of individuals, event types, event locations, event times, event dates, system resources involved, IP addresses involved, or information objects accessed. Organizations may define audit event criteria to any degree of granularity required, for example, locations selectable by general networking location (e.g., by network or subnetwork) or selectable by specific information system component.

+ + +
+ +

Determine if:

+ +

the organization defines audit fields within audit records in order to process audit records for events of interest; and

+ AU-7(1)[1] +
+ +

the information system provides the capability to process audit records for events of interest based on the organization-defined audit fields within audit records.

+ AU-7(1)[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit reduction and report generation responsibilities

+ INTERVIEW +
+ +

Audit reduction and report generation capability

+ TEST +
+ + organization-defined audit fields within audit records + organization-defined audit fields within audit records + +
+ + AUTOMATIC SORT AND SEARCH + AU-7 (2) + +

The information system provides the capability to sort and search audit records for events of interest based on the content of .

+
+ +

Sorting and searching of audit records may be based upon the contents of audit record fields, for example: (i) date/time of events; (ii) user identifiers; (iii) Internet Protocol (IP) addresses involved in the event; (iv) type of event; or (v) event success/failure.

+
+ +

Determine if:

+ +

the organization defines audit fields within audit records in order to sort and search audit records for events of interest based on content of such audit fields; and

+ AU-7(2)[1] +
+ +

the information system provides the capability to sort and search audit records for events of interest based on the content of organization-defined audit fields within audit records.

+ AU-7(2)[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit reduction and report generation responsibilities

+ INTERVIEW +
+ +

Audit reduction and report generation capability

+ TEST +
+ + organization-defined audit fields within audit records + organization-defined audit fields within audit records + +
+
+ + TIME STAMPS + + organization-defined granularity of time measurement + organization-defined granularity of time measurement + + AU-8 + P1 + LOW + MODERATE + HIGH + +

The information system:

+ +

Uses internal system clocks to generate time stamps for audit records; and

+ AU-8a. +
+ +

Records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT) and meets .

+ AU-8b. +
+
+ +

Time stamps generated by the information system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.

+ + +
+ +

Determine if:

+ +

the information system uses internal system clocks to generate time stamps for audit records;

+ AU-8(a) +
+ + AU-8(b) + +

the information system records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);

+ AU-8(b)[1] +
+ +

the organization defines the granularity of time measurement to be met when recording time stamps for audit records; and

+ AU-8(b)[2] +
+ +

the organization records time stamps for audit records that meet the organization-defined granularity of time measurement.

+ AU-8(b)[3] +
+
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing time stamp generation

+ TEST +
+ + SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE + AU-8 (1) + MODERATE + HIGH + +

The information system:

+ +

Compares the internal information system clocks with ; and

+ AU-8 (1)(a) +
+ +

Synchronizes the internal system clocks to the authoritative time source when the time difference is greater than .

+ AU-8 (1)(b) +
+
+ +

This control enhancement provides uniformity of time stamps for information systems with multiple system clocks and systems connected over a network.

+
+ +

Determine if:

+ + AU-8(1)(a) + +

the organization defines the authoritative time source to which internal information system clocks are to be compared;

+ AU-8(1)(a)[1] +
+ +

the organization defines the frequency to compare the internal information system clocks with the organization-defined authoritative time source; and

+ AU-8(1)(a)[2] +
+ +

the information system compares the internal information system clocks with the organization-defined authoritative time source with organization-defined frequency; and

+ AU-8(1)(a)[3] +
+
+ + AU-8(1)(b) + +

the organization defines the time period that, if exceeded by the time difference between the internal system clocks and the authoritative time source, will result in the internal system clocks being synchronized to the authoritative time source; and

+ AU-8(1)(b)[1] +
+ +

the information system synchronizes the internal information system clocks to the authoritative time source when the time difference is greater than the organization-defined time period.

+ AU-8(1)(b)[2] +
+
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing internal information system clock synchronization

+ TEST +
+ + organization-defined frequency + organization-defined frequency + + + organization-defined authoritative time source + organization-defined authoritative time source + + + organization-defined time period + organization-defined time period + +
+ + SECONDARY AUTHORITATIVE TIME SOURCE + AU-8 (2) + +

The information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source.

+
+ +

Determine if the information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source.

+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing internal information system clock authoritative time sources

+ TEST +
+
+
+ + PROTECTION OF AUDIT INFORMATION + AU-9 + P1 + LOW + MODERATE + HIGH + +

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

+
+ +

Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.

+ + + + + + + +
+ +

Determine if:

+ +

the information system protects audit information from unauthorized:

+ AU-9[1] + +

access;

+ AU-9[1][a] +
+ +

modification;

+ AU-9[1][b] +
+ +

deletion;

+ AU-9[1][c] +
+
+ +

the information system protects audit tools from unauthorized:

+ AU-9[2] + +

access;

+ AU-9[2][a] +
+ +

modification; and

+ AU-9[2][b] +
+ +

deletion.

+ AU-9[2][c] +
+
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing audit information protection

+ TEST +
+ + HARDWARE WRITE-ONCE MEDIA + AU-9 (1) + +

The information system writes audit trails to hardware-enforced, write-once media.

+
+ +

This control enhancement applies to the initial generation of audit trails (i.e., the collection of audit records that represents the audit information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. The enhancement does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes, for example, Compact Disk-Recordable (CD-R) and Digital Video Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB) drives results in write-protected, but not write-once, media.

+ + +
+ +

Determine if the information system writes audit trails to hardware-enforced, write-once media.

+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Information system media storing audit trails

+ TEST +
+
+ + AUDIT BACKUP ON SEPARATE PHYSICAL SYSTEMS / COMPONENTS + AU-9 (2) + HIGH + +

The information system backs up audit records onto a physically different system or system component than the system or component being audited.

+
+ +

This control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records.

+ + + +
+ +

Determine if:

+ +

the organization defines the frequency to back up audit records onto a physically different system or system component than the system or component being audited; and

+ AU-9(2)[1] +
+ +

the information system backs up audit records with the organization-defined frequency, onto a physically different system or system component than the system or component being audited.

+ AU-9(2)[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing the backing up of audit records

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+ + CRYPTOGRAPHIC PROTECTION + AU-9 (3) + HIGH + +

The information system implements cryptographic mechanisms to protect the integrity of audit information and audit tools.

+
+ +

Cryptographic mechanisms used for protecting the integrity of audit information include, for example, signed hash functions using asymmetric cryptography enabling distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.

+ + + +
+ +

Determine if the information system:

+ +

uses cryptographic mechanisms to protect the integrity of audit information; and

+ AU-9(3)[1] +
+ +

uses cryptographic mechanisms to protect the integrity of audit tools.

+ AU-9(3)[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Cryptographic mechanisms protecting integrity of audit information and tools

+ TEST +
+
+ + ACCESS BY SUBSET OF PRIVILEGED USERS + AU-9 (4) + MODERATE + HIGH + +

The organization authorizes access to management of audit functionality to only .

+
+ +

Individuals with privileged access to an information system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit activities or modifying audit records. This control enhancement requires that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges.

+ +
+ +

Determine if the organization:

+ +

defines a subset of privileged users to be authorized access to management of audit functionality; and

+ AU-9(4)[1] +
+ +

authorizes access to management of audit functionality to only the organization-defined subset of privileged users.

+ AU-9(4)[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Automated mechanisms managing access to audit functionality

+ TEST +
+ + organization-defined subset of privileged users + organization-defined subset of privileged users + +
+ + DUAL AUTHORIZATION + AU-9 (5) + +

The organization enforces dual authorization for [Selection (one or more): movement; deletion] of .

+
+ +

Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Dual authorization may also be known as two-person control.

+ + +
+ +

Determine if the organization:

+ +

defines audit information for which dual authorization is to be enforced;

+ AU-9(5)[1] +
+ +

defines one or more of the following types of operations on audit information for which dual authorization is to be enforced:

+ AU-9(5)[2] + +

movement; and/or

+ AU-9(5)[2][a] +
+ +

deletion; and

+ AU-9(5)[2][b] +
+
+ +

enforces dual authorization for the movement and/or deletion of organization-defined audit information.

+ AU-9(5)[3] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing enforcement of dual authorization

+ TEST +
+ + organization-defined audit information + organization-defined audit information + +
+ + READ ONLY ACCESS + AU-9 (6) + +

The organization authorizes read-only access to audit information to .

+
+ +

Restricting privileged user authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users (e.g., deleting audit records to cover up malicious activity).

+
+ +

Determine if the organization:

+ +

defines the subset of privileged users to be authorized read-only access to audit information; and

+ AU-9(6)[1] +
+ +

authorizes read-only access to audit information to the organization-defined subset of privileged users.

+ AU-9(6)[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit and accountability responsibilities

+ INTERVIEW +
+ +

Automated mechanisms managing access to audit information

+ TEST +
+ + organization-defined subset of privileged users + organization-defined subset of privileged users + +
+
+ + NON-REPUDIATION + + organization-defined actions to be covered by non-repudiation + organization-defined actions to be covered by non-repudiation + + AU-10 + P2 + HIGH + +

The information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed .

+
+ +

Types of individual actions covered by non-repudiation include, for example, creating information, sending and receiving messages, approving information (e.g., indicating concurrence or signing a contract). Non-repudiation protects individuals against later claims by: (i) authors of not having authored particular documents; (ii) senders of not having transmitted messages; (iii) receivers of not having received messages; or (iv) signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from a particular individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).

+ + + + + + +
+ +

Determine if:

+ +

the organization defines actions to be covered by non-repudiation; and

+ AU-10[1] +
+ +

the information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed organization-defined actions to be covered by non-repudiation.

+ AU-10[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing non-repudiation capability

+ TEST +
+ + ASSOCIATION OF IDENTITIES + AU-10 (1) + +

The information system:

+ +

Binds the identity of the information producer with the information to ; and

+ AU-10 (1)(a) +
+ +

Provides the means for authorized individuals to determine the identity of the producer of the information.

+ AU-10 (1)(b) +
+
+ +

This control enhancement supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of the binding between the information producer and the information based on the security category of the information and relevant risk factors.

+ + +
+ +

Determine if:

+ + AU-10(1)(a) + +

the organization defines the strength of binding to be employed between the identity of the information producer and the information;

+ AU-10(1)(a)[1] +
+ +

the information system binds the identity of the information producer with the information to the organization-defined strength of binding; and

+ AU-10(1)(a)[2] +
+
+ +

the information system provides the means for authorized individuals to determine the identity of the producer of the information.

+ AU-10(1)(b) +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing non-repudiation capability

+ TEST +
+ + organization-defined strength of binding + organization-defined strength of binding + +
+ + VALIDATE BINDING OF INFORMATION PRODUCER IDENTITY + AU-10 (2) + +

The information system:

+ +

Validates the binding of the information producer identity to the information at ; and

+ AU-10 (2)(a) +
+ +

Performs in the event of a validation error.

+ AU-10 (2)(b) +
+
+ +

This control enhancement prevents the modification of information between production and review. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.

+ + + +
+ +

Determine if:

+ + AU-10(2)(a) + +

the organization defines the frequency to validate the binding of the information producer identity to the information;

+ AU-10(2)(a)[1] +
+ +

the information system validates the binding of the information producer identity to the information at the organization-defined frequency; and

+ AU-10(2)(a)[2] +
+
+ + AU-10(2)(b) + +

the organization defines actions to be performed in the event of a validation error; and

+ AU-10(2)(b)[1] +
+ +

the information system performs organization-defined actions in the event of a validation error.

+ AU-10(2)(b)[2] +
+
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing non-repudiation capability

+ TEST +
+ + organization-defined frequency + organization-defined frequency + + + organization-defined actions + organization-defined actions + +
+ + CHAIN OF CUSTODY + AU-10 (3) + +

The information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released.

+
+ +

Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each person who handled the evidence, the date and time it was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release/transfer function, the information system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, this control enhancement provides organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, this control enhancement ensures that only approved review functions are employed.

+ + +
+ +

Determine if the information system:

+ +

maintains reviewer/releaser identity within the established chain of custody for all information reviewed;

+ AU-10(3)[1] +
+ +

maintains reviewer/releaser identity within the established chain of custody for all information released;

+ AU-10(3)[2] +
+ +

maintains reviewer/releaser credentials within the established chain of custody for all information reviewed; and

+ AU-10(3)[3] +
+ +

maintains reviewer/releaser credentials within the established chain of custody for all information released.

+ AU-10(3)[4] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing non-repudiation capability

+ TEST +
+
+ + VALIDATE BINDING OF INFORMATION REVIEWER IDENTITY + AU-10 (4) + +

The information system:

+ +

Validates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between ; and

+ AU-10 (4)(a) +
+ +

Performs in the event of a validation error.

+ AU-10 (4)(b) +
+
+ +

This control enhancement prevents the modification of information between review and transfer/release. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine validations are in response to user requests or generated automatically.

+ + +
+ +

Determine if:

+ + AU-10(4)(a) + +

the organization defines security domains for which the binding of the information reviewer identity to the information is to be validated at the transfer or release points prior to release/transfer between such domains;

+ AU-10(4)(a)[1] +
+ +

the information system validates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between organization-defined security domains;

+ AU-10(4)(a)[2] +
+
+ + AU-10(4)(b) + +

the organization defines actions to be performed in the event of a validation error; and

+ AU-10(4)(b)[1] +
+ +

the information system performs organization-defined actions in the event of a validation error.

+ AU-10(4)(b)[2] +
+
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing non-repudiation capability

+ TEST +
+ + organization-defined security domains + organization-defined security domains + + + organization-defined actions + organization-defined actions + +
+ + DIGITAL SIGNATURES + AU-10 (5) + +

Incorporated into SI-7.

+
+ +
+
+ + AUDIT RECORD RETENTION + + organization-defined time period consistent with records retention policy + organization-defined time period consistent with records retention policy + + AU-11 + P3 + LOW + MODERATE + HIGH + +

The organization retains audit records for to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.

+
+ +

Organizations retain audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention.

+ + + + +
+ +

Determine if the organization:

+ +

defines a time period to retain audit records that is consistent with records retention policy;

+ AU-11[1] +
+ +

retains audit records for the organization-defined time period consistent with records retention policy to:

+ AU-11[2] + +

provide support for after-the-fact investigations of security incidents; and

+ AU-11[2][a] +
+ +

meet regulatory and organizational information retention requirements.

+ AU-11[2][b] +
+
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit record retention responsibilities

+ INTERVIEW +
+ + LONG-TERM RETRIEVAL CAPABILITY + AU-11 (1) + +

The organization employs to ensure that long-term audit records generated by the information system can be retrieved.

+
+ +

Measures employed by organizations to help facilitate the retrieval of audit records include, for example, converting records to newer formats, retaining equipment capable of reading the records, and retaining necessary documentation to help organizational personnel understand how to interpret the records.

+
+ +

Determine if the organization:

+ +

defines measures to be employed to ensure that long-term audit records generated by the information system can be retrieved; and

+ AU-11(1)[1] +
+ +

employs organization-defined measures to ensure that long-term audit records generated by the information system can be retrieved.

+ AU-11(1)[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit record retention responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing audit record retention capability

+ TEST +
+ + organization-defined measures + organization-defined measures + +
+
+ + AUDIT GENERATION + + organization-defined information system components + organization-defined information system components + + + organization-defined personnel or roles + organization-defined personnel or roles + + AU-12 + P1 + LOW + MODERATE + HIGH + +

The information system:

+ +

Provides audit record generation capability for the auditable events defined in AU-2 a. at ;

+ AU-12a. +
+ +

Allows to select which auditable events are to be audited by specific components of the information system; and

+ AU-12b. +
+ +

Generates audit records for the events defined in AU-2 d. with the content defined in AU-3.

+ AU-12c. +
+
+ +

Audit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records.

+ + + + + +
+ +

Determine if:

+ + AU-12(a) + +

the organization defines the information system components which are to provide audit record generation capability for the auditable events defined in AU-2a;

+ AU-12(a)[1] +
+ +

the information system provides audit record generation capability, for the auditable events defined in AU-2a, at organization-defined information system components;

+ AU-12(a)[2] +
+
+ + AU-12(b) + +

the organization defines the personnel or roles allowed to select which auditable events are to be audited by specific components of the information system;

+ AU-12(b)[1] +
+ +

the information system allows the organization-defined personnel or roles to select which auditable events are to be audited by specific components of the system; and

+ AU-12(b)[2] +
+
+ +

the information system generates audit records for the events defined in AU-2d with the content in defined in AU-3.

+ AU-12(c) +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit record generation responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing audit record generation capability

+ TEST +
+ + SYSTEM-WIDE / TIME-CORRELATED AUDIT TRAIL + AU-12 (1) + HIGH + +

The information system compiles audit records from into a system-wide (logical or physical) audit trail that is time-correlated to within .

+
+ +

Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances.

+ + +
+ +

Determine if:

+ +

the organization defines the information system components from which audit records are to be compiled into a system-wide (logical or physical) audit trail;

+ AU-12(1)[1] +
+ +

the organization defines the level of tolerance for the relationship between time stamps of individual records in the audit trail; and

+ AU-12(1)[2] +
+ +

the information system compiles audit records from organization-defined information system components into a system-wide (logical or physical) audit trail that is time-correlated to within the organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail.

+ AU-12(1)[3] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit record generation responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing audit record generation capability

+ TEST +
+ + organization-defined information system components + organization-defined information system components + + + organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail + organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail + +
+ + STANDARDIZED FORMATS + AU-12 (2) + +

The information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.

+
+ +

Audit information that is normalized to common standards promotes interoperability and exchange of such information between dissimilar devices and information systems. This facilitates production of event information that can be more readily analyzed and correlated. Standard formats for audit records include, for example, system log records and audit records compliant with Common Event Expressions (CEE). If logging mechanisms within information systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.

+
+ +

Determine if the information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.

+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit record generation responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing audit record generation capability

+ TEST +
+
+ + CHANGES BY AUTHORIZED INDIVIDUALS + AU-12 (3) + HIGH + +

The information system provides the capability for to change the auditing to be performed on based on within .

+
+ +

This control enhancement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve information system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near real-time, within minutes, or within hours.

+ +
+ +

Determine if:

+ +

the organization defines information system components on which auditing is to be performed;

+ AU-12(3)[1] +
+ +

the organization defines individuals or roles authorized to change the auditing to be performed on organization-defined information system components;

+ AU-12(3)[2] +
+ +

the organization defines time thresholds within which organization-defined individuals or roles can change the auditing to be performed on organization-defined information system components;

+ AU-12(3)[3] +
+ +

the organization defines selectable event criteria that support the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components; and

+ AU-12(3)[4] +
+ +

the information system provides the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components based on organization-defined selectable event criteria within organization-defined time thresholds.

+ AU-12(3)[5] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with audit record generation responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing audit record generation capability

+ TEST +
+ + organization-defined individuals or roles + organization-defined individuals or roles + + + organization-defined information system components + organization-defined information system components + + + organization-defined selectable event criteria + organization-defined selectable event criteria + + + organization-defined time thresholds + organization-defined time thresholds + +
+
+ + MONITORING FOR INFORMATION DISCLOSURE + + organization-defined open source information and/or information sites + organization-defined open source information and/or information sites + + + organization-defined frequency + organization-defined frequency + + AU-13 + P0 + +

The organization monitors for evidence of unauthorized disclosure of organizational information.

+
+ +

Open source information includes, for example, social networking sites.

+ + +
+ +

Determine if the organization:

+ +

defines open source information and/or information sites to be monitored for evidence of unauthorized disclosure of organizational information;

+ AU-13[1] +
+ +

defines a frequency to monitor organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information; and

+ AU-13[2] +
+ +

monitors organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information with the organization-defined frequency.

+ AU-13[3] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for monitoring open source information and/or information sites

+ INTERVIEW +
+ +

Automated mechanisms implementing monitoring for information disclosure

+ TEST +
+ + USE OF AUTOMATED TOOLS + AU-13 (1) + +

The organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.

+
+ +

Automated mechanisms can include, for example, automated scripts to monitor new posts on selected websites, and commercial services providing notifications and alerts to organizations.

+
+ +

Determine if the organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.

+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for monitoring information disclosures

+ INTERVIEW +
+ +

Automated mechanisms implementing monitoring for information disclosure

+ TEST +
+
+ + REVIEW OF MONITORED SITES + AU-13 (2) + +

The organization reviews the open source information sites being monitored .

+
+ +

Determine if the organization:

+ +

defines a frequency to review the open source information sites being monitored; and

+ AU-13(2)[1] +
+ +

reviews the open source information sites being monitored with the organization-defined frequency.

+ AU-13(2)[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for monitoring open source information sites

+ INTERVIEW +
+ +

Automated mechanisms implementing monitoring for information disclosure

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+
+ + SESSION AUDIT + AU-14 + P0 + +

The information system provides the capability for authorized users to select a user session to capture/record or view/hear.

+
+ +

Session audits include, for example, monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, or standards.

+ + + + + +
+ +

Determine if the information system provides the capability for authorized users to select a user session to:

+ +

capture/record; and/or

+ AU-14[1] +
+ +

view/hear.

+ AU-14[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing user session auditing capability

+ TEST +
+ + SYSTEM START-UP + AU-14 (1) + +

The information system initiates session audits at system start-up.

+
+ +

Determine if the information system initiates session audits at system start-up.

+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing user session auditing capability

+ TEST +
+
+ + CAPTURE/RECORD AND LOG CONTENT + AU-14 (2) + +

The information system provides the capability for authorized users to capture/record and log content related to a user session.

+
+ +

Determine if the information system provides the capability for authorized users to:

+ +

capture/record content related to a user session; and

+ AU-14(2)[1] +
+ +

log content related to a user session.

+ AU-14(2)[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing user session auditing capability

+ TEST +
+
+ + REMOTE VIEWING / LISTENING + AU-14 (3) + +

The information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time.

+
+ +

Determine if the information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time.

+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing user session auditing capability

+ TEST +
+
+
+ + ALTERNATE AUDIT CAPABILITY + + organization-defined alternate audit functionality + organization-defined alternate audit functionality + + AU-15 + P0 + +

The organization provides an alternate audit capability in the event of a failure in primary audit capability that provides .

+
+ +

Since an alternate audit capability may be a short-term protection employed until the failure in the primary auditing capability is corrected, organizations may determine that the alternate audit capability need only provide a subset of the primary audit functionality that is impacted by the failure.

+ +
+ +

Determine if the organization:

+ +

defines alternative audit functionality to be provided in the event of a failure in primary audit capability; and

+ AU-15[1] +
+ +

provides an alternative audit capability in the event of a failure in primary audit capability that provides organization-defined alternative audit functionality.

+ AU-15[2] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel responsible for providing alternate audit capability

+ INTERVIEW +
+ +

Automated mechanisms implementing alternative audit capability

+ TEST +
+
+ + CROSS-ORGANIZATIONAL AUDITING + + organization-defined methods + organization-defined methods + + + organization-defined audit information + organization-defined audit information + + AU-16 + P0 + +

The organization employs for coordinating among external organizations when audit information is transmitted across organizational boundaries.

+
+ +

When organizations use information systems and/or services of external organizations, the auditing capability necessitates a coordinated approach across organizations. For example, maintaining the identity of individuals that requested particular services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance ramifications. Therefore, it is often the case that cross-organizational auditing (e.g., the type of auditing capability provided by service-oriented architectures) simply captures the identity of individuals issuing requests at the initial information system, and subsequent systems record that the requests emanated from authorized individuals.

+ +
+ +

Determine if the organization:

+ +

defines audit information to be coordinated among external organizations when audit information is transmitted across organizational boundaries;

+ AU-16[1] +
+ +

defines methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries; and

+ AU-16[2] +
+ +

employs organization-defined methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries.

+ AU-16[3] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for coordinating audit information among external organizations

+ INTERVIEW +
+ +

Automated mechanisms implementing cross-organizational auditing (if applicable)

+ TEST +
+ + IDENTITY PRESERVATION + AU-16 (1) + +

The organization requires that the identity of individuals be preserved in cross-organizational audit trails.

+
+ +

This control enhancement applies when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.

+
+ +

Determine if the organization requires that the identity of individuals be preserved in cross- organizational audit trails.

+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with cross-organizational audit responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing cross-organizational auditing (if applicable)

+ TEST +
+
+ + SHARING OF AUDIT INFORMATION + AU-16 (2) + +

The organization provides cross-organizational audit information to based on .

+
+ +

Because of the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only the home organizations of individuals have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations.

+
+ +

Determine if the organization:

+ +

defines organizations with whom cross-organizational audit information is to be shared;

+ AU-16(2)[1] +
+ +

defines cross-organizational sharing agreements to be used when providing cross-organizational audit information to organization-defined organizations; and

+ AU-16(2)[2] +
+ +

provides cross-organizational audit information to organization-defined organizations based on organization-defined cross-organizational sharing agreements.

+ AU-16(2)[3] +
+
+ +

Audit and accountability policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for sharing cross-organizational audit information

+ INTERVIEW +
+ + organization-defined organizations + organization-defined organizations + + + organization-defined cross-organizational sharing agreements + organization-defined cross-organizational sharing agreements + +
+
+
+ + SECURITY ASSESSMENT AND AUTHORIZATION + + SECURITY ASSESSMENT AND AUTHORIZATION POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + CA-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ CA-1a. + +

A security assessment and authorization policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ CA-1a.1. +
+ +

Procedures to facilitate the implementation of the security assessment and authorization policy and associated security assessment and authorization controls; and

+ CA-1a.2. +
+
+ +

Reviews and updates the current:

+ CA-1b. + +

Security assessment and authorization policy ; and

+ CA-1b.1. +
+ +

Security assessment and authorization procedures .

+ CA-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + CA-1(a)(1) + +

develops and documents a security assessment and authorization policy that addresses:

+ CA-1(a)(1)[1] + +

purpose;

+ CA-1(a)(1)[1][a] +
+ +

scope;

+ CA-1(a)(1)[1][b] +
+ +

roles;

+ CA-1(a)(1)[1][c] +
+ +

responsibilities;

+ CA-1(a)(1)[1][d] +
+ +

management commitment;

+ CA-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ CA-1(a)(1)[1][f] +
+ +

compliance;

+ CA-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the security assessment and authorization policy is to be disseminated;

+ CA-1(a)(1)[2] +
+ +

disseminates the security assessment and authorization policy to organization-defined personnel or roles;

+ CA-1(a)(1)[3] +
+
+ + CA-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the security assessment and authorization policy and associated assessment and authorization controls;

+ CA-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ CA-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ CA-1(a)(2)[3] +
+
+ + CA-1(b)(1) + +

defines the frequency to review and update the current security assessment and authorization policy;

+ CA-1(b)(1)[1] +
+ +

reviews and updates the current security assessment and authorization policy with the organization-defined frequency;

+ CA-1(b)(1)[2] +
+
+ + CA-1(b)(2) + +

defines the frequency to review and update the current security assessment and authorization procedures; and

+ CA-1(b)(2)[1] +
+ +

reviews and updates the current security assessment and authorization procedures with the organization-defined frequency.

+ CA-1(b)(2)[2] +
+
+
+ +

Security assessment and authorization policy and procedures

+ EXAMINE +
+ +

Organizational personnel with security assessment and authorization responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-37 + + + NIST Special Publication 800-53A + + + NIST Special Publication 800-100 + + +
+ + SECURITY ASSESSMENTS + + organization-defined frequency + organization-defined frequency + + + organization-defined individuals or roles + organization-defined individuals or roles + + CA-2 + P2 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops a security assessment plan that describes the scope of the assessment including:

+ CA-2a. + +

Security controls and control enhancements under assessment;

+ CA-2a.1. +
+ +

Assessment procedures to be used to determine security control effectiveness; and

+ CA-2a.2. +
+ +

Assessment environment, assessment team, and assessment roles and responsibilities;

+ CA-2a.3. +
+
+ +

Assesses the security controls in the information system and its environment of operation to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;

+ CA-2b. +
+ +

Produces a security assessment report that documents the results of the assessment; and

+ CA-2c. +
+ +

Provides the results of the security control assessment to .

+ CA-2d. +
+
+ +

Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives. To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.

+ + + + + + + + +
+ +

Determine if the organization:

+ +

develops a security assessment plan that describes the scope of the assessment including:

+ CA-2(a) + +

security controls and control enhancements under assessment;

+ CA-2(a)(1) +
+ +

assessment procedures to be used to determine security control effectiveness;

+ CA-2(a)(2) +
+ + CA-2(a)(3) + +

assessment environment;

+ CA-2(a)(3)[1] +
+ +

assessment team;

+ CA-2(a)(3)[2] +
+ +

assessment roles and responsibilities;

+ CA-2(a)(3)[3] +
+
+
+ + CA-2(b) + +

defines the frequency to assess the security controls in the information system and its environment of operation;

+ CA-2(b)[1] +
+ +

assesses the security controls in the information system with the organization-defined frequency to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;

+ CA-2(b)[2] +
+
+ +

produces a security assessment report that documents the results of the assessment;

+ CA-2(c) +
+ + CA-2(d) + +

defines individuals or roles to whom the results of the security control assessment are to be provided; and

+ CA-2(d)[1] +
+ +

provides the results of the security control assessment to organization-defined individuals or roles.

+ CA-2(d)[2] +
+
+
+ +

Security assessment and authorization policy

+ EXAMINE +
+ +

Organizational personnel with security assessment responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting security assessment, security assessment plan development, and/or security assessment reporting

+ TEST +
+ + INDEPENDENT ASSESSORS + CA-2 (1) + MODERATE + HIGH + +

The organization employs assessors or assessment teams with to conduct security control assessments.

+
+ +

Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.

+
+ +

Determine if the organization:

+ +

defines the level of independence to be employed to conduct security control assessments; and

+ CA-2(1)[1] +
+ +

employs assessors or assessment teams with the organization-defined level of independence to conduct security control assessments.

+ CA-2(1)[2] +
+
+ +

Security assessment and authorization policy

+ EXAMINE +
+ +

Organizational personnel with security assessment responsibilities

+ INTERVIEW +
+ + organization-defined level of independence + organization-defined level of independence + +
+ + SPECIALIZED ASSESSMENTS + CA-2 (2) + HIGH + +

The organization includes as part of security control assessments, , [Selection: announced; unannounced], [Selection (one or more): in-depth monitoring; vulnerability scanning; malicious user testing; insider threat assessment; performance/load testing; ].

+
+ +

Organizations can employ information system monitoring, insider threat assessments, malicious user testing, and other forms of testing (e.g., verification and validation) to improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security. Organizations conduct assessment activities in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability remediation processes.

+ + +
+ +

Determine if the organization:

+ +

selects one or more of the following forms of specialized security assessment to be included as part of security control assessments:

+ CA-2(2)[1] + +

in-depth monitoring;

+ CA-2(2)[1][a] +
+ +

vulnerability scanning;

+ CA-2(2)[1][b] +
+ +

malicious user testing;

+ CA-2(2)[1][c] +
+ +

insider threat assessment;

+ CA-2(2)[1][d] +
+ +

performance/load testing; and/or

+ CA-2(2)[1][e] +
+ +

other forms of organization-defined specialized security assessment;

+ CA-2(2)[1][f] +
+
+ +

defines the frequency for conducting the selected form(s) of specialized security assessment;

+ CA-2(2)[2] +
+ +

defines whether the specialized security assessment will be announced or unannounced; and

+ CA-2(2)[3] +
+ +

conducts announced or unannounced organization-defined forms of specialized security assessments with the organization-defined frequency as part of security control assessments.

+ CA-2(2)[4] +
+
+ +

Security assessment and authorization policy

+ EXAMINE +
+ +

Organizational personnel with security assessment responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting security control assessment

+ TEST +
+ + organization-defined frequency + organization-defined frequency + + + organization-defined other forms of security assessment + organization-defined other forms of security assessment + +
+ + EXTERNAL ORGANIZATIONS + CA-2 (3) + +

The organization accepts the results of an assessment of performed by when the assessment meets .

+
+ +

Organizations may often rely on assessments of specific information systems by other (external) organizations. Utilizing such existing assessments (i.e., reusing existing assessment evidence) can significantly decrease the time and resources required for organizational assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations may consider in determining whether to accept assessment results from external organizations can vary. Determinations for accepting assessment results can be based on, for example, past assessment experiences one organization has had with another organization, the reputation that organizations have with regard to assessments, the level of detail of supporting assessment documentation provided, or mandates imposed upon organizations by federal legislation, policies, or directives.

+
+ +

Determine if the organization:

+ +

defines an information system for which the results of a security assessment performed by an external organization are to be accepted;

+ CA-2(3)[1] +
+ +

defines an external organization from which to accept a security assessment performed on an organization-defined information system;

+ CA-2(3)[2] +
+ +

defines the requirements to be met by a security assessment performed by organization-defined external organization on organization-defined information system; and

+ CA-2(3)[3] +
+ +

accepts the results of an assessment of an organization-defined information system performed by an organization-defined external organization when the assessment meets organization-defined requirements.

+ CA-2(3)[4] +
+
+ +

Security assessment and authorization policy

+ EXAMINE +
+ +

Organizational personnel with security assessment responsibilities

+ INTERVIEW +
+ + organization-defined information system + organization-defined information system + + + organization-defined external organization + organization-defined external organization + + + organization-defined requirements + organization-defined requirements + +
+ + + Executive Order 13587 + + + FIPS Publication 199 + + + NIST Special Publication 800-37 + + + NIST Special Publication 800-39 + + + NIST Special Publication 800-53A + + + NIST Special Publication 800-115 + + + NIST Special Publication 800-137 + + +
+ + SYSTEM INTERCONNECTIONS + + organization-defined frequency + organization-defined frequency + + CA-3 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;

+ CA-3a. +
+ +

Documents, for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated; and

+ CA-3b. +
+ +

Reviews and updates Interconnection Security Agreements .

+ CA-3c. +
+
+ +

This control applies to dedicated connections between information systems (i.e., system interconnections) and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations carefully consider the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within organizations and external to organizations. Authorizing officials determine the risk associated with information system connections and the appropriate controls employed. If interconnecting systems have the same authorizing official, organizations do not need to develop Interconnection Security Agreements. Instead, organizations can describe the interface characteristics between those interconnecting systems in their respective security plans. If interconnecting systems have different authorizing officials within the same organization, organizations can either develop Interconnection Security Agreements or describe the interface characteristics between systems in the security plans for the respective systems. Organizations may also incorporate Interconnection Security Agreement information into formal contracts, especially for interconnections established between federal agencies and nonfederal (i.e., private sector) organizations. Risk considerations also include information systems sharing the same networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices), there may be specialized connections in place during preoperational testing. Such connections may require Interconnection Security Agreements and be subject to additional security controls.

+ + + + + + + + + + + +
+ +

Determine if the organization:

+ +

authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;

+ CA-3(a) +
+ +

documents, for each interconnection:

+ CA-3(b) + +

the interface characteristics;

+ CA-3(b)[1] +
+ +

the security requirements;

+ CA-3(b)[2] +
+ +

the nature of the information communicated;

+ CA-3(b)[3] +
+
+ + CA-3(c) + +

defines the frequency to review and update Interconnection Security Agreements; and

+ CA-3(c)[1] +
+ +

reviews and updates Interconnection Security Agreements with the organization-defined frequency.

+ CA-3(c)[2] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for developing, implementing, or approving information system interconnection agreements

+ INTERVIEW +
+ + UNCLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS + CA-3 (1) + +

The organization prohibits the direct connection of an to an external network without the use of .

+
+ +

Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).

+
+ +

Determine if the organization:

+ +

defines an unclassified, national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;

+ CA-3(1)[1] +
+ +

defines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, national security system to an external network; and

+ CA-3(1)[2] +
+ +

prohibits the direct connection of an organization-defined unclassified, national security system to an external network without the use of an organization-defined boundary protection device.

+ CA-3(1)[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for managing direct connections to external networks

+ INTERVIEW +
+ +

Automated mechanisms supporting the management of external network connections

+ TEST +
+ + organization-defined unclassified, national security system + organization-defined unclassified, national security system + + + organization-defined boundary protection device + organization-defined boundary protection device + +
+ + CLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS + CA-3 (2) + +

The organization prohibits the direct connection of a classified, national security system to an external network without the use of .

+
+ +

Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface/cross-domain systems) provide information flow enforcement from information systems to external networks.

+
+ +

Determine if the organization:

+ +

defines a boundary protection device to be used to establish the direct connection of a classified, national security system to an external network; and

+ CA-3(2)[1] +
+ +

prohibits the direct connection of a classified, national security system to an external network without the use of an organization-defined boundary protection device.

+ CA-3(2)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for managing direct connections to external networks

+ INTERVIEW +
+ +

Automated mechanisms supporting the management of external network connections

+ TEST +
+ + organization-defined boundary protection device + organization-defined boundary protection device + +
+ + UNCLASSIFIED NON-NATIONAL SECURITY SYSTEM CONNECTIONS + CA-3 (3) + +

The organization prohibits the direct connection of an to an external network without the use of .

+
+ +

Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified non-national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).

+
+ +

Determine if the organization:

+ +

defines an unclassified, non-national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;

+ CA-3(3)[1] +
+ +

defines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, non-national security system to an external network; and

+ CA-3(3)[2] +
+ +

prohibits the direct connection of an organization-defined unclassified, non-national security system to an external network without the use of an organization-defined boundary protection device.

+ CA-3(3)[3] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for managing direct connections to external networks

+ INTERVIEW +
+ +

Automated mechanisms supporting the management of external network connections

+ TEST +
+ + organization-defined unclassified, non-national security system + organization-defined unclassified, non-national security system + + + Assignment; organization-defined boundary protection device + Assignment; organization-defined boundary protection device + +
+ + CONNECTIONS TO PUBLIC NETWORKS + CA-3 (4) + +

The organization prohibits the direct connection of an to a public network.

+
+ +

A public network is any network accessible to the general public including, for example, the Internet and organizational extranets with public access.

+
+ +

Determine if the organization:

+ +

defines an information system whose direct connection to a public network is to be prohibited; and

+ CA-3(4)[1] +
+ +

prohibits the direct connection of an organization-defined information system to a public network.

+ CA-3(4)[2] +
+
+ +

Access control policy

+ EXAMINE +
+ +

Network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting the management of public network connections

+ TEST +
+ + organization-defined information system + organization-defined information system + +
+ + RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS + CA-3 (5) + MODERATE + HIGH + +

The organization employs [Selection: allow-all, deny-by-exception; deny-all, permit-by-exception] policy for allowing to connect to external information systems.

+
+ +

Organizations can constrain information system connectivity to external domains (e.g., websites) by employing one of two policies with regard to such connectivity: (i) allow-all, deny by exception, also known as blacklisting (the weaker of the two policies); or (ii) deny-all, allow by exception, also known as whitelisting (the stronger of the two policies). For either policy, organizations determine what exceptions, if any, are acceptable.

+ +
+ +

Determine if the organization:

+ +

defines information systems to be allowed to connect to external information systems;

+ CA-3(5)[1] +
+ +

employs one of the following policies for allowing organization-defined information systems to connect to external information systems:

+ CA-3(5)[2] + +

allow-all policy;

+ CA-3(5)[2][a] +
+ +

deny-by-exception policy;

+ CA-3(5)[2][b] +
+ +

deny-all policy; or

+ CA-3(5)[2][c] +
+ +

permit-by-exception policy.

+ CA-3(5)[2][d] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for managing connections to external information systems

+ INTERVIEW +
+ +

Automated mechanisms implementing restrictions on external system connections

+ TEST +
+ + organization-defined information systems + organization-defined information systems + +
+ + + FIPS Publication 199 + + + NIST Special Publication 800-47 + + +
+ + SECURITY CERTIFICATION + CA-4 + +

Incorporated into CA-2.

+
+ +
+ + PLAN OF ACTION AND MILESTONES + + organization-defined frequency + organization-defined frequency + + CA-5 + P3 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops a plan of action and milestones for the information system to document the organization�s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and

+ CA-5a. +
+ +

Updates existing plan of action and milestones based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.

+ CA-5b. +
+
+ +

Plans of action and milestones are key documents in security authorization packages and are subject to federal reporting requirements established by OMB.

+ + + + +
+ +

Determine if the organization:

+ +

develops a plan of action and milestones for the information system to:

+ CA-5(a) + +

document the organization’s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls;

+ CA-5(a)[1] +
+ +

reduce or eliminate known vulnerabilities in the system;

+ CA-5(a)[2] +
+
+ + CA-5(b) + +

defines the frequency to update the existing plan of action and milestones;

+ CA-5(b)[1] +
+ +

updates the existing plan of action and milestones with the organization-defined frequency based on the findings from:

+ CA-5(b)[2] + +

security controls assessments;

+ CA-5(b)[2][a] +
+ +

security impact analyses; and

+ CA-5(b)[2][b] +
+ +

continuous monitoring activities.

+ CA-5(b)[2][c] +
+
+
+
+ +

Security assessment and authorization policy

+ EXAMINE +
+ +

Organizational personnel with plan of action and milestones development and implementation responsibilities

+ INTERVIEW +
+ +

Automated mechanisms for developing, implementing, and maintaining plan of action and milestones

+ TEST +
+ + AUTOMATION SUPPORT FOR ACCURACY / CURRENCY + CA-5 (1) + +

The organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available.

+
+ +

Determine if the organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is:

+ +

accurate;

+ CA-5(1)[1] +
+ +

up to date; and

+ CA-5(1)[2] +
+ +

readily available.

+ CA-5(1)[3] +
+
+ +

Security assessment and authorization policy

+ EXAMINE +
+ +

Organizational personnel with plan of action and milestones development and implementation responsibilities

+ INTERVIEW +
+ +

Automated mechanisms for developing, implementing and maintaining plan of action and milestones

+ TEST +
+
+ + + OMB Memorandum 02-01 + + + NIST Special Publication 800-37 + + +
+ + SECURITY AUTHORIZATION + + organization-defined frequency + organization-defined frequency + + CA-6 + P2 + LOW + MODERATE + HIGH + +

The organization:

+ +

Assigns a senior-level executive or manager as the authorizing official for the information system;

+ CA-6a. +
+ +

Ensures that the authorizing official authorizes the information system for processing before commencing operations; and

+ CA-6b. +
+ +

Updates the security authorization .

+ CA-6c. +
+
+ +

Security authorizations are official management decisions, conveyed through authorization decision documents, by senior organizational officials or executives (i.e., authorizing officials) to authorize operation of information systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security controls. Authorizing officials provide budgetary oversight for organizational information systems or assume responsibility for the mission/business operations supported by those systems. The security authorization process is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials assume responsibility and are accountable for security risks associated with the operation and use of organizational information systems. Accordingly, authorizing officials are in positions with levels of authority commensurate with understanding and accepting such information security-related risks. OMB policy requires that organizations conduct ongoing authorizations of information systems by implementing continuous monitoring programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so separate reauthorization processes are not necessary. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages (i.e., security plans, security assessment reports, and plans of action and milestones) is updated on an ongoing basis, providing authorizing officials and information system owners with an up-to-date status of the security state of organizational information systems and environments of operation. To reduce the administrative cost of security reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.

+ + + + +
+ +

Determine if the organization:

+ +

assigns a senior-level executive or manager as the authorizing official for the information system;

+ CA-6(a) +
+ +

ensures that the authorizing official authorizes the information system for processing before commencing operations;

+ CA-6(b) +
+ + CA-6(c) + +

defines the frequency to update the security authorization; and

+ CA-6(c)[1] +
+ +

updates the security authorization with the organization-defined frequency.

+ CA-6(c)[2] +
+
+
+ +

Security assessment and authorization policy

+ EXAMINE +
+ +

Organizational personnel with security authorization responsibilities

+ INTERVIEW +
+ +

Automated mechanisms that facilitate security authorizations and updates

+ TEST +
+ + + OMB Circular A-130 + + + OMB Memorandum 11-33 + + + NIST Special Publication 800-37 + + + NIST Special Publication 800-137 + + +
+ + CONTINUOUS MONITORING + + organization-defined metrics + organization-defined metrics + + + organization-defined frequencies + organization-defined frequencies + + + organization-defined frequencies + organization-defined frequencies + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + CA-7 + P2 + LOW + MODERATE + HIGH + +

The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes:

+ +

Establishment of to be monitored;

+ CA-7a. +
+ +

Establishment of for monitoring and for assessments supporting such monitoring;

+ CA-7b. +
+ +

Ongoing security control assessments in accordance with the organizational continuous monitoring strategy;

+ CA-7c. +
+ +

Ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;

+ CA-7d. +
+ +

Correlation and analysis of security-related information generated by assessments and monitoring;

+ CA-7e. +
+ +

Response actions to address results of the analysis of security-related information; and

+ CA-7f. +
+ +

Reporting the security status of organization and the information system to .

+ CA-7g. +
+
+ +

Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess/analyze security controls and information security-related risks at a frequency sufficient to support organizational risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Continuous monitoring programs also allow organizations to maintain the security authorizations of information systems and common controls over time in highly dynamic environments of operation with changing mission/business needs, threats, vulnerabilities, and technologies. Having access to security-related information on a continuing basis through reports/dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing security authorization decisions. Automation supports more frequent updates to security authorization packages, hardware/software/firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of information systems.

+ + + + + + + + + + + + +
+ +

Determine if the organization:

+ + CA-7(a) + +

develops a continuous monitoring strategy that defines metrics to be monitored;

+ CA-7(a)[1] +
+ +

develops a continuous monitoring strategy that includes monitoring of organization-defined metrics;

+ CA-7(a)[2] +
+ +

implements a continuous monitoring program that includes monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;

+ CA-7(a)[3] +
+
+ + CA-7(b) + +

develops a continuous monitoring strategy that defines frequencies for monitoring;

+ CA-7(b)[1] +
+ +

defines frequencies for assessments supporting monitoring;

+ CA-7(b)[2] +
+ +

develops a continuous monitoring strategy that includes establishment of the organization-defined frequencies for monitoring and for assessments supporting monitoring;

+ CA-7(b)[3] +
+ +

implements a continuous monitoring program that includes establishment of organization-defined frequencies for monitoring and for assessments supporting such monitoring in accordance with the organizational continuous monitoring strategy;

+ CA-7(b)[4] +
+
+ + CA-7(c) + +

develops a continuous monitoring strategy that includes ongoing security control assessments;

+ CA-7(c)[1] +
+ +

implements a continuous monitoring program that includes ongoing security control assessments in accordance with the organizational continuous monitoring strategy;

+ CA-7(c)[2] +
+
+ + CA-7(d) + +

develops a continuous monitoring strategy that includes ongoing security status monitoring of organization-defined metrics;

+ CA-7(d)[1] +
+ +

implements a continuous monitoring program that includes ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;

+ CA-7(d)[2] +
+
+ + CA-7(e) + +

develops a continuous monitoring strategy that includes correlation and analysis of security-related information generated by assessments and monitoring;

+ CA-7(e)[1] +
+ +

implements a continuous monitoring program that includes correlation and analysis of security-related information generated by assessments and monitoring in accordance with the organizational continuous monitoring strategy;

+ CA-7(e)[2] +
+
+ + CA-7(f) + +

develops a continuous monitoring strategy that includes response actions to address results of the analysis of security-related information;

+ CA-7(f)[1] +
+ +

implements a continuous monitoring program that includes response actions to address results of the analysis of security-related information in accordance with the organizational continuous monitoring strategy;

+ CA-7(f)[2] +
+
+ + CA-7(g) + +

develops a continuous monitoring strategy that defines the personnel or roles to whom the security status of the organization and information system are to be reported;

+ CA-7(g)[1] +
+ +

develops a continuous monitoring strategy that defines the frequency to report the security status of the organization and information system to organization-defined personnel or roles;

+ CA-7(g)[2] +
+ +

develops a continuous monitoring strategy that includes reporting the security status of the organization or information system to organizational-defined personnel or roles with the organization-defined frequency; and

+ CA-7(g)[3] +
+ +

implements a continuous monitoring program that includes reporting the security status of the organization and information system to organization-defined personnel or roles with the organization-defined frequency in accordance with the organizational continuous monitoring strategy.

+ CA-7(g)[4] +
+
+
+ +

Security assessment and authorization policy

+ EXAMINE +
+ +

Organizational personnel with continuous monitoring responsibilities

+ INTERVIEW +
+ +

Mechanisms implementing continuous monitoring

+ TEST +
+ + INDEPENDENT ASSESSMENT + CA-7 (1) + MODERATE + HIGH + +

The organization employs assessors or assessment teams with to monitor the security controls in the information system on an ongoing basis.

+
+ +

Organizations can maximize the value of assessments of security controls during the continuous monitoring process by requiring that such assessments be conducted by assessors or assessment teams with appropriate levels of independence based on continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in advocacy positions for the organizations acquiring their services.

+
+ +

Determine if the organization:

+ +

defines a level of independence to be employed to monitor the security controls in the information system on an ongoing basis; and

+ CA-7(1)[1] +
+ +

employs assessors or assessment teams with the organization-defined level of independence to monitor the security controls in the information system on an ongoing basis.

+ CA-7(1)[2] +
+
+ +

Security assessment and authorization policy

+ EXAMINE +
+ +

Organizational personnel with continuous monitoring responsibilities

+ INTERVIEW +
+ + organization-defined level of independence + organization-defined level of independence + +
+ + TYPES OF ASSESSMENTS + CA-7 (2) + +

Incorporated into CA-2.

+
+ +
+ + TREND ANALYSES + CA-7 (3) + +

The organization employs trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/or the types of activities used in the continuous monitoring process need to be modified based on empirical data.

+
+ +

Trend analyses can include, for example, examining recent threat information regarding the types of threat events that have occurred within the organization or across the federal government, success rates of certain types of cyber attacks, emerging vulnerabilities in information technologies, evolving social engineering techniques, results from multiple security control assessments, the effectiveness of configuration settings, and findings from Inspectors General or auditors.

+
+ +

Determine if the organization employs trend analyses to determine if the following items need to be modified based on empirical data:

+ +

security control implementations;

+ CA-7(3)[1] +
+ +

the frequency of continuous monitoring activities; and/or

+ CA-7(3)[2] +
+ +

the types of activities used in the continuous monitoring process.

+ CA-7(3)[3] +
+
+ +

Continuous monitoring strategy

+ EXAMINE +
+ +

Organizational personnel with continuous monitoring responsibilities

+ INTERVIEW +
+
+ + + OMB Memorandum 11-33 + + + NIST Special Publication 800-37 + + + NIST Special Publication 800-39 + + + NIST Special Publication 800-53A + + + NIST Special Publication 800-115 + + + NIST Special Publication 800-137 + + + US-CERT Technical Cyber Security Alerts + + + DoD Information Assurance Vulnerability Alerts + + +
+ + PENETRATION TESTING + + organization-defined frequency + organization-defined frequency + + + organization-defined information systems or system components + organization-defined information systems or system components + + CA-8 + P2 + HIGH + +

The organization conducts penetration testing on .

+
+ +

Penetration testing is a specialized type of assessment conducted on information systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Such testing can be used to either validate vulnerabilities or determine the degree of resistance organizational information systems have to adversaries within a set of specified constraints (e.g., time, resources, and/or skills). Penetration testing attempts to duplicate the actions of adversaries in carrying out hostile cyber attacks against organizations and provides a more in-depth analysis of security-related weaknesses/deficiencies. Organizations can also use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of an information system and can exercise both physical and technical security controls. A standard method for penetration testing includes, for example: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before the commencement of penetration testing scenarios. Organizations correlate the penetration testing rules of engagement with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Organizational risk assessments guide decisions on the level of independence required for personnel conducting penetration testing.

+ +
+ +

Determine if the organization:

+ +

defines information systems or system components on which penetration testing is to be conducted;

+ CA-8[1] +
+ +

defines the frequency to conduct penetration testing on organization-defined information systems or system components; and

+ CA-8[2] +
+ +

conducts penetration testing on organization-defined information systems or system components with the organization-defined frequency.

+ CA-8[3] +
+
+ +

Security assessment and authorization policy

+ EXAMINE +
+ +

Organizational personnel with security assessment responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting penetration testing

+ TEST +
+ + INDEPENDENT PENETRATION AGENT OR TEAM + CA-8 (1) + +

The organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.

+
+ +

Independent penetration agents or teams are individuals or groups who conduct impartial penetration testing of organizational information systems. Impartiality implies that penetration agents or teams are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the information systems that are the targets of the penetration testing. Supplemental guidance for CA-2 (1) provides additional information regarding independent assessments that can be applied to penetration testing.

+ +
+ +

Determine if the organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.

+
+ +

Security assessment and authorization policy

+ EXAMINE +
+ +

Organizational personnel with security assessment responsibilities

+ INTERVIEW +
+
+ + RED TEAM EXERCISES + CA-8 (2) + +

The organization employs to simulate attempts by adversaries to compromise organizational information systems in accordance with .

+
+ +

Red team exercises extend the objectives of penetration testing by examining the security posture of organizations and their ability to implement effective cyber defenses. As such, red team exercises reflect simulated adversarial attempts to compromise organizational mission/business functions and provide a comprehensive assessment of the security state of information systems and organizations. Simulated adversarial attempts to compromise organizational missions/business functions and the information systems that support those missions/functions may include technology-focused attacks (e.g., interactions with hardware, software, or firmware components and/or mission/business processes) and social engineering-based attacks (e.g., interactions via email, telephone, shoulder surfing, or personal conversations). While penetration testing may be largely laboratory-based testing, organizations use red team exercises to provide more comprehensive assessments that reflect real-world conditions. Red team exercises can be used to improve security awareness and training and to assess levels of security control effectiveness.

+
+ +

Determine if the organization:

+ +

defines red team exercises to be employed to simulate attempts by adversaries to compromise organizational information systems;

+ CA-8(2)[1] +
+ +

defines rules of engagement for employing organization-defined red team exercises; and

+ CA-8(2)[2] +
+ +

employs organization-defined red team exercises to simulate attempts by adversaries to compromise organizational information systems in accordance with organization-defined rules of engagement.

+ CA-8(2)[3] +
+
+ +

Security assessment and authorization policy

+ EXAMINE +
+ +

Organizational personnel with security assessment responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting employment of red team exercises

+ TEST +
+ + organization-defined red team exercises + organization-defined red team exercises + + + organization-defined rules of engagement + organization-defined rules of engagement + +
+
+ + INTERNAL SYSTEM CONNECTIONS + + organization-defined information system components or classes of components + organization-defined information system components or classes of components + + CA-9 + P2 + LOW + MODERATE + HIGH + +

The organization:

+ +

Authorizes internal connections of to the information system; and

+ CA-9a. +
+ +

Documents, for each internal connection, the interface characteristics, security requirements, and the nature of the information communicated.

+ CA-9b. +
+
+ +

This control applies to connections between organizational information systems and (separate) constituent system components (i.e., intra-system connections) including, for example, system connections with mobile devices, notebook/desktop computers, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal connection, organizations can authorize internal connections for a class of components with common characteristics and/or configurations, for example, all digital printers, scanners, and copiers with a specified processing, storage, and transmission capability or all smart phones with a specific baseline configuration.

+ + + + + + + + + + + +
+ +

Determine if the organization:

+ + CA-9(a) + +

defines information system components or classes of components to be authorized as internal connections to the information system;

+ CA-9(a)[1] +
+ +

authorizes internal connections of organization-defined information system components or classes of components to the information system;

+ CA-9(a)[2] +
+
+ +

documents, for each internal connection:

+ CA-9(b) + +

the interface characteristics;

+ CA-9(b)[1] +
+ +

the security requirements; and

+ CA-9(b)[2] +
+ +

the nature of the information communicated.

+ CA-9(b)[3] +
+
+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for developing, implementing, or authorizing internal system connections

+ INTERVIEW +
+ + SECURITY COMPLIANCE CHECKS + CA-9 (1) + +

The information system performs security compliance checks on constituent system components prior to the establishment of the internal connection.

+
+ +

Security compliance checks may include, for example, verification of the relevant baseline configuration.

+ +
+ +

Determine if the information system performs security compliance checks on constituent system components prior to the establishment of the internal connection.

+
+ +

Access control policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for developing, implementing, or authorizing internal system connections

+ INTERVIEW +
+ +

Automated mechanisms supporting compliance checks

+ TEST +
+
+
+
+ + CONFIGURATION MANAGEMENT + + CONFIGURATION MANAGEMENT POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + CM-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ CM-1a. + +

A configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ CM-1a.1. +
+ +

Procedures to facilitate the implementation of the configuration management policy and associated configuration management controls; and

+ CM-1a.2. +
+
+ +

Reviews and updates the current:

+ CM-1b. + +

Configuration management policy ; and

+ CM-1b.1. +
+ +

Configuration management procedures .

+ CM-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + CM-1(a)(1) + +

develops and documents a configuration management policy that addresses:

+ CM-1(a)(1)[1] + +

purpose;

+ CM-1(a)(1)[1][a] +
+ +

scope;

+ CM-1(a)(1)[1][b] +
+ +

roles;

+ CM-1(a)(1)[1][c] +
+ +

responsibilities;

+ CM-1(a)(1)[1][d] +
+ +

management commitment;

+ CM-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ CM-1(a)(1)[1][f] +
+ +

compliance;

+ CM-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the configuration management policy is to be disseminated;

+ CM-1(a)(1)[2] +
+ +

disseminates the configuration management policy to organization-defined personnel or roles;

+ CM-1(a)(1)[3] +
+
+ + CM-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the configuration management policy and associated configuration management controls;

+ CM-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ CM-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ CM-1(a)(2)[3] +
+
+ + CM-1(b)(1) + +

defines the frequency to review and update the current configuration management policy;

+ CM-1(b)(1)[1] +
+ +

reviews and updates the current configuration management policy with the organization-defined frequency;

+ CM-1(b)(1)[2] +
+
+ + CM-1(b)(2) + +

defines the frequency to review and update the current configuration management procedures; and

+ CM-1(b)(2)[1] +
+ +

reviews and updates the current configuration management procedures with the organization-defined frequency.

+ CM-1(b)(2)[2] +
+
+
+ +

Configuration management policy and procedures

+ EXAMINE +
+ +

Organizational personnel with configuration management responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-100 + + +
+ + BASELINE CONFIGURATION + CM-2 + P1 + LOW + MODERATE + HIGH + +

The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.

+
+ +

This control establishes baseline configurations for information systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture.

+ + + + + + + +
+ +

Determine if the organization:

+ +

develops and documents a current baseline configuration of the information system; and

+ CM-2[1] +
+ +

maintains, under configuration control, a current baseline configuration of the information system.

+ CM-2[2] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with configuration management responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing baseline configurations

+ TEST +
+ + REVIEWS AND UPDATES + CM-2 (1) + MODERATE + HIGH + +

The organization reviews and updates the baseline configuration of the information system:

+ +

;

+ CM-2 (1)(a) +
+ +

When required due to ; and

+ CM-2 (1)(b) +
+ +

As an integral part of information system component installations and upgrades.

+ CM-2 (1)(c) +
+
+ + + + +

Determine if the organization:

+ + CM-2(1)(a) + +

defines the frequency to review and update the baseline configuration of the information system;

+ CM-2(1)(a)[1] +
+ +

reviews and updates the baseline configuration of the information system with the organization-defined frequency;

+ CM-2(1)(a)[2] +
+
+ + CM-2(1)(b) + +

defines circumstances that require the baseline configuration of the information system to be reviewed and updated;

+ CM-2(1)(b)[1] +
+ +

reviews and updates the baseline configuration of the information system when required due to organization-defined circumstances; and

+ CM-2(1)(b)[2] +
+
+ +

reviews and updates the baseline configuration of the information system as an integral part of information system component installations and upgrades.

+ CM-2(1)(c) +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with configuration management responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing baseline configurations

+ TEST +
+ + organization-defined frequency + organization-defined frequency + + + Assignment organization-defined circumstances + Assignment organization-defined circumstances + +
+ + AUTOMATION SUPPORT FOR ACCURACY / CURRENCY + CM-2 (2) + HIGH + +

The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system.

+
+ +

Automated mechanisms that help organizations maintain consistent baseline configurations for information systems include, for example, hardware and software inventory tools, configuration management tools, and network management tools. Such tools can be deployed and/or allocated as common controls, at the information system level, or at the operating system or component level (e.g., on workstations, servers, notebook computers, network components, or mobile devices). Tools can be used, for example, to track version numbers on operating system applications, types of software installed, and current patch levels. This control enhancement can be satisfied by the implementation of CM-8 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.

+ + +
+ +

Determine if the organization employs automated mechanisms to maintain:

+ +

an up-to-date baseline configuration of the information system;

+ CM-2(2)[1] +
+ +

a complete baseline configuration of the information system;

+ CM-2(2)[2] +
+ +

an accurate baseline configuration of the information system; and

+ CM-2(2)[3] +
+ +

a readily available baseline configuration of the information system.

+ CM-2(2)[4] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with configuration management responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing baseline configurations

+ TEST +
+
+ + RETENTION OF PREVIOUS CONFIGURATIONS + CM-2 (3) + MODERATE + HIGH + +

The organization retains to support rollback.

+
+ +

Retaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.

+
+ +

Determine if the organization:

+ +

defines previous versions of baseline configurations of the information system to be retained to support rollback; and

+ CM-2(3)[1] +
+ +

retains organization-defined previous versions of baseline configurations of the information system to support rollback.

+ CM-2(3)[2] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with configuration management responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing baseline configurations

+ TEST +
+ + organization-defined previous versions of baseline configurations of the information system + organization-defined previous versions of baseline configurations of the information system + +
+ + UNAUTHORIZED SOFTWARE + CM-2 (4) + +

Incorporated into CM-7.

+
+ +
+ + AUTHORIZED SOFTWARE + CM-2 (5) + +

Incorporated into CM-7.

+
+ +
+ + DEVELOPMENT AND TEST ENVIRONMENTS + CM-2 (6) + +

The organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.

+
+ +

Establishing separate baseline configurations for development, testing, and operational environments helps protect information systems from unplanned/unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, management of operational configurations typically emphasizes the need for stability, while management of development/test configurations requires greater flexibility. Configurations in the test environment mirror the configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. This control enhancement requires separate configurations but not necessarily separate physical environments.

+ + + +
+ +

Determine if the organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.

+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with configuration management responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing baseline configurations

+ TEST +
+
+ + CONFIGURE SYSTEMS, COMPONENTS, OR DEVICES FOR HIGH-RISK AREAS + CM-2 (7) + MODERATE + HIGH + +

The organization:

+ +

Issues with to individuals traveling to locations that the organization deems to be of significant risk; and

+ CM-2 (7)(a) +
+ +

Applies to the devices when the individuals return.

+ CM-2 (7)(b) +
+
+ +

When it is known that information systems, system components, or devices (e.g., notebook computers, mobile devices) will be located in high-risk areas, additional security controls may be implemented to counter the greater threat in such areas coupled with the lack of physical security relative to organizational-controlled areas. For example, organizational policies and procedures for notebook computers used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific safeguards to the device after travel is completed. Specially configured notebook computers include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified safeguards applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family.

+
+ +

Determine if the organization:

+ + CM-2(7)(a) + +

defines information systems, system components, or devices to be issued to individuals traveling to locations that the organization deems to be of significant risk;

+ CM-2(7)(a)[1] +
+ +

defines configurations to be employed on organization-defined information systems, system components, or devices issued to individuals traveling to such locations;

+ CM-2(7)(a)[2] +
+ +

issues organization-defined information systems, system components, or devices with organization-defined configurations to individuals traveling to locations that the organization deems to be of significant risk;

+ CM-2(7)(a)[3] +
+
+ + CM-2(7)(b) + +

defines security safeguards to be applied to the devices when the individuals return; and

+ CM-2(7)(b)[1] +
+ +

applies organization-defined safeguards to the devices when the individuals return.

+ CM-2(7)(b)[2] +
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with configuration management responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing baseline configurations

+ TEST +
+ + organization-defined information systems, system components, or devices + organization-defined information systems, system components, or devices + + + organization-defined configurations + organization-defined configurations + + + organization-defined security safeguards + organization-defined security safeguards + +
+ + + NIST Special Publication 800-128 + + +
+ + CONFIGURATION CHANGE CONTROL + + organization-defined time period + organization-defined time period + + + organization-defined configuration change control element (e.g., committee, board) + organization-defined configuration change control element (e.g., committee, board) + + + organization-defined frequency + organization-defined frequency + + + organization-defined configuration change conditions + organization-defined configuration change conditions + + CM-3 + P1 + MODERATE + HIGH + +

The organization:

+ +

Determines the types of changes to the information system that are configuration-controlled;

+ CM-3a. +
+ +

Reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;

+ CM-3b. +
+ +

Documents configuration change decisions associated with the information system;

+ CM-3c. +
+ +

Implements approved configuration-controlled changes to the information system;

+ CM-3d. +
+ +

Retains records of configuration-controlled changes to the information system for ;

+ CM-3e. +
+ +

Audits and reviews activities associated with configuration-controlled changes to the information system; and

+ CM-3f. +
+ +

Coordinates and provides oversight for configuration change control activities through that convenes [Selection (one or more): ; ].

+ CM-3g. +
+
+ +

Configuration change controls for organizational information systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of information systems, changes to configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical processes for managing configuration changes to information systems include, for example, Configuration Control Boards that approve proposed changes to systems. For new development information systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards. Auditing of changes includes activities before and after changes are made to organizational information systems and the auditing activities required to implement such changes.

+ + + + + + + + + +
+ +

Determine if the organization:

+ +

determines the type of changes to the information system that must be configuration-controlled;

+ CM-3(a) +
+ +

reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;

+ CM-3(b) +
+ +

documents configuration change decisions associated with the information system;

+ CM-3(c) +
+ +

implements approved configuration-controlled changes to the information system;

+ CM-3(d) +
+ + CM-3(e) + +

defines a time period to retain records of configuration-controlled changes to the information system;

+ CM-3(e)[1] +
+ +

retains records of configuration-controlled changes to the information system for the organization-defined time period;

+ CM-3(e)[2] +
+
+ +

audits and reviews activities associated with configuration-controlled changes to the information system;

+ CM-3(f) +
+ + CM-3(g) + +

defines a configuration change control element (e.g., committee, board) responsible for coordinating and providing oversight for configuration change control activities;

+ CM-3(g)[1] +
+ +

defines the frequency with which the configuration change control element must convene; and/or

+ CM-3(g)[2] +
+ +

defines configuration change conditions that prompt the configuration change control element to convene; and

+ CM-3(g)[3] +
+ +

coordinates and provides oversight for configuration change control activities through organization-defined configuration change control element that convenes at organization-defined frequency and/or for any organization-defined configuration change conditions.

+ CM-3(g)[4] +
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with configuration change control responsibilities

+ INTERVIEW +
+ +

Organizational processes for configuration change control

+ TEST +
+ + AUTOMATED DOCUMENT / NOTIFICATION / PROHIBITION OF CHANGES + CM-3 (1) + HIGH + +

The organization employs automated mechanisms to:

+ +

Document proposed changes to the information system;

+ CM-3 (1)(a) +
+ +

Notify of proposed changes to the information system and request change approval;

+ CM-3 (1)(b) +
+ +

Highlight proposed changes to the information system that have not been approved or disapproved by ;

+ CM-3 (1)(c) +
+ +

Prohibit changes to the information system until designated approvals are received;

+ CM-3 (1)(d) +
+ +

Document all changes to the information system; and

+ CM-3 (1)(e) +
+ +

Notify when approved changes to the information system are completed.

+ CM-3 (1)(f) +
+
+ +

Determine if the organization:

+ +

employs automated mechanisms to document proposed changes to the information system;

+ CM-3(1)(a) +
+ + CM-3(1)(b) + +

defines approval authorities to be notified of proposed changes to the information system and request change approval;

+ CM-3(1)(b)[1] +
+ +

employs automated mechanisms to notify organization-defined approval authorities of proposed changes to the information system and request change approval;

+ CM-3(1)(b)[2] +
+
+ + CM-3(1)(c) + +

defines the time period within which proposed changes to the information system that have not been approved or disapproved must be highlighted;

+ CM-3(1)(c)[1] +
+ +

employs automated mechanisms to highlight proposed changes to the information system that have not been approved or disapproved by organization-defined time period;

+ CM-3(1)(c)[2] +
+
+ +

employs automated mechanisms to prohibit changes to the information system until designated approvals are received;

+ CM-3(1)(d) +
+ +

employs automated mechanisms to document all changes to the information system;

+ CM-3(1)(e) +
+ + CM-3(1)(f) + +

defines personnel to be notified when approved changes to the information system are completed; and

+ CM-3(1)(f)[1] +
+ +

employs automated mechanisms to notify organization-defined personnel when approved changes to the information system are completed.

+ CM-3(1)(f)[2] +
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with configuration change control responsibilities

+ INTERVIEW +
+ +

Organizational processes for configuration change control

+ TEST +
+ + organized-defined approval authorities + organized-defined approval authorities + + + organization-defined time period + organization-defined time period + + + organization-defined personnel + organization-defined personnel + +
+ + TEST / VALIDATE / DOCUMENT CHANGES + CM-3 (2) + MODERATE + HIGH + +

The organization tests, validates, and documents changes to the information system before implementing the changes on the operational system.

+
+ +

Changes to information systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with information system operations. Individuals/groups conducting tests understand organizational security policies and procedures, information system security policies and procedures, and the specific health, safety, and environmental risks associated with particular facilities/processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If information systems must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. If testing cannot be conducted on operational systems, organizations employ compensating controls (e.g., testing on replicated systems).

+
+ +

Determine if the organization, before implementing changes on the operational system:

+ +

tests changes to the information system;

+ CM-3(2)[1] +
+ +

validates changes to the information system; and

+ CM-3(2)[2] +
+ +

documents changes to the information system.

+ CM-3(2)[3] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with configuration change control responsibilities

+ INTERVIEW +
+ +

Organizational processes for configuration change control

+ TEST +
+
+ + AUTOMATED CHANGE IMPLEMENTATION + CM-3 (3) + +

The organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base.

+
+ +

Determine if the organization:

+ +

employs automated mechanisms to implement changes to the current information system baseline; and

+ CM-3(3)[1] +
+ +

deploys the updated baseline across the installed base.

+ CM-3(3)[2] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with configuration change control responsibilities

+ INTERVIEW +
+ +

Organizational processes for configuration change control

+ TEST +
+
+ + SECURITY REPRESENTATIVE + CM-3 (4) + +

The organization requires an information security representative to be a member of the .

+
+ +

Information security representatives can include, for example, senior agency information security officers, information system security officers, or information system security managers. Representation by personnel with information security expertise is important because changes to information system configurations can have unintended side effects, some of which may be security-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security state of organizational information systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3.

+
+ +

Determine if the organization:

+ +

specifies the configuration change control elements (as defined in CM-3g) of which an information security representative is to be a member; and

+ CM-3(4)[1] +
+ +

requires an information security representative to be a member of the specified configuration control element.

+ CM-3(4)[2] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with configuration change control responsibilities

+ INTERVIEW +
+ +

Organizational processes for configuration change control

+ TEST +
+ + organization-defined configuration change control element + organization-defined configuration change control element + +
+ + AUTOMATED SECURITY RESPONSE + CM-3 (5) + +

The information system implements automatically if baseline configurations are changed in an unauthorized manner.

+
+ +

Security responses include, for example, halting information system processing, halting selected system functions, or issuing alerts/notifications to organizational personnel when there is an unauthorized modification of a configuration item.

+
+ +

Determine if:

+ +

the organization defines security responses to be implemented automatically if baseline configurations are changed in an unauthorized manner; and

+ CM-3(5)[1] +
+ +

the information system implements organization-defined security responses automatically if baseline configurations are changed in an unauthorized manner.

+ CM-3(5)[2] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with configuration change control responsibilities

+ INTERVIEW +
+ +

Organizational processes for configuration change control

+ TEST +
+ + organization-defined security responses + organization-defined security responses + +
+ + CRYPTOGRAPHY MANAGEMENT + CM-3 (6) + +

The organization ensures that cryptographic mechanisms used to provide are under configuration management.

+
+ +

Regardless of the cryptographic means employed (e.g., public key, private key, shared secrets), organizations ensure that there are processes and procedures in place to effectively manage those means. For example, if devices use certificates as a basis for identification and authentication, there needs to be a process in place to address the expiration of those certificates.

+ +
+ +

Determine if the organization:

+ +

defines security safeguards provided by cryptographic mechanisms that are to be under configuration management; and

+ CM-3(6)[1] +
+ +

ensures that cryptographic mechanisms used to provide organization-defined security safeguards are under configuration management.

+ CM-3(6)[2] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with configuration change control responsibilities

+ INTERVIEW +
+ +

Organizational processes for configuration change control

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + +
+ + + NIST Special Publication 800-128 + + +
+ + SECURITY IMPACT ANALYSIS + CM-4 + P2 + LOW + MODERATE + HIGH + +

The organization analyzes changes to the information system to determine potential security impacts prior to change implementation.

+
+ +

Organizational personnel with information security responsibilities (e.g., Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers) conduct security impact analyses. Individuals conducting security impact analyses possess the necessary skills/technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing security plans to understand security control requirements and reviewing system design documentation to understand control implementation and how specific changes might affect the controls. Security impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security controls are required. Security impact analyses are scaled in accordance with the security categories of the information systems.

+ + + + + + + + +
+ +

Determine if the organization analyzes changes to the information system to determine potential security impacts prior to change implementation.

+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for conducting security impact analysis

+ INTERVIEW +
+ +

Organizational processes for security impact analysis

+ TEST +
+ + SEPARATE TEST ENVIRONMENTS + CM-4 (1) + HIGH + +

The organization analyzes changes to the information system in a separate test environment before implementation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.

+
+ +

Separate test environment in this context means an environment that is physically or logically isolated and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not used, organizations determine the strength of mechanism required when implementing logical separation (e.g., separation achieved through virtual machines).

+ + + +
+ +

Determine if the organization:

+ +

analyzes changes to the information system in a separate test environment before implementation in an operational environment;

+ CM-4(1)[1] +
+ +

when analyzing changes to the information system in a separate test environment, looks for security impacts due to:

+ CM-4(1)[2] + +

flaws;

+ CM-4(1)[2][a] +
+ +

weaknesses;

+ CM-4(1)[2][b] +
+ +

incompatibility; and

+ CM-4(1)[2][c] +
+ +

intentional malice.

+ CM-4(1)[2][d] +
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for conducting security impact analysis

+ INTERVIEW +
+ +

Organizational processes for security impact analysis

+ TEST +
+
+ + VERIFICATION OF SECURITY FUNCTIONS + CM-4 (2) + +

The organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system.

+
+ +

Implementation is this context refers to installing changed code in the operational information system.

+ +
+ +

Determine if the organization, after the information system is changed, checks the security functions to verify that the functions are:

+ +

implemented correctly;

+ CM-4(2)[1] +
+ +

operating as intended; and

+ CM-4(2)[2] +
+ +

producing the desired outcome with regard to meeting the security requirements for the system.

+ CM-4(2)[3] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for conducting security impact analysis

+ INTERVIEW +
+ +

Organizational processes for security impact analysis

+ TEST +
+
+ + + NIST Special Publication 800-128 + + +
+ + ACCESS RESTRICTIONS FOR CHANGE + CM-5 + P1 + MODERATE + HIGH + +

The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.

+
+ +

Any changes to the hardware, software, and/or firmware components of information systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access information systems for purposes of initiating changes, including upgrades and modifications. Organizations maintain records of access to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).

+ + + +
+ +

Determine if the organization:

+ +

defines physical access restrictions associated with changes to the information system;

+ CM-5[1] +
+ +

documents physical access restrictions associated with changes to the information system;

+ CM-5[2] +
+ +

approves physical access restrictions associated with changes to the information system;

+ CM-5[3] +
+ +

enforces physical access restrictions associated with changes to the information system;

+ CM-5[4] +
+ +

defines logical access restrictions associated with changes to the information system;

+ CM-5[5] +
+ +

documents logical access restrictions associated with changes to the information system;

+ CM-5[6] +
+ +

approves logical access restrictions associated with changes to the information system; and

+ CM-5[7] +
+ +

enforces logical access restrictions associated with changes to the information system.

+ CM-5[8] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with logical access control responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing access restrictions to change

+ TEST +
+ + AUTOMATED ACCESS ENFORCEMENT / AUDITING + CM-5 (1) + HIGH + +

The information system enforces access restrictions and supports auditing of the enforcement actions.

+
+ + + + + + + + +

Determine if the information system:

+ +

enforces access restrictions for change; and

+ CM-5(1)[1] +
+ +

supports auditing of the enforcement actions.

+ CM-5(1)[2] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing access restrictions to change

+ TEST +
+
+ + REVIEW SYSTEM CHANGES + CM-5 (2) + HIGH + +

The organization reviews information system changes and to determine whether unauthorized changes have occurred.

+
+ +

Indications that warrant review of information system changes and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process.

+ + + + + + +
+ +

Determine if the organization, in an effort to ascertain whether unauthorized changes have occurred:

+ +

defines the frequency to review information system changes;

+ CM-5(2)[1] +
+ +

defines circumstances that warrant review of information system changes;

+ CM-5(2)[2] +
+ +

reviews information system changes with the organization-defined frequency; and

+ CM-5(2)[3] +
+ +

reviews information system changes with the organization-defined circumstances.

+ CM-5(2)[4] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing access restrictions to change

+ TEST +
+ + organization-defined frequency + organization-defined frequency + + + organization-defined circumstances + organization-defined circumstances + +
+ + SIGNED COMPONENTS + CM-5 (3) + HIGH + +

The information system prevents the installation of without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.

+
+ +

Software and firmware components prevented from installation unless signed with recognized and approved certificates include, for example, software and firmware version updates, patches, service packs, device drivers, and basic input output system (BIOS) updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures, is a method of code authentication.

+ + + +
+ +

Determine if:

+ +

the organization defines software and firmware components that the information system will prevent from being installed without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization; and

+ CM-5(3)[1] +
+ +

the information system prevents the installation of organization-defined software and firmware components without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization.

+ CM-5(3)[2] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing access restrictions to change

+ TEST +
+ + organization-defined software and firmware components + organization-defined software and firmware components + +
+ + DUAL AUTHORIZATION + CM-5 (4) + +

The organization enforces dual authorization for implementing changes to .

+
+ +

Organizations employ dual authorization to ensure that any changes to selected information system components and information cannot occur unless two qualified individuals implement such changes. The two individuals possess sufficient skills/expertise to determine if the proposed changes are correct implementations of approved changes. Dual authorization may also be known as two-person control.

+ + +
+ +

Determine if the organization:

+ +

defines information system components and system-level information requiring dual authorization to be enforced when implementing changes; and

+ CM-5(4)[1] +
+ +

enforces dual authorization for implementing changes to organization-defined information system components and system-level information.

+ CM-5(4)[2] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with dual authorization enforcement responsibilities for implementing information system changes

+ INTERVIEW +
+ +

Organizational processes for managing access restrictions to change

+ TEST +
+ + organization-defined information system components and system-level information + organization-defined information system components and system-level information + +
+ + LIMIT PRODUCTION / OPERATIONAL PRIVILEGES + CM-5 (5) + +

The organization:

+ +

Limits privileges to change information system components and system-related information within a production or operational environment; and

+ CM-5 (5)(a) +
+ +

Reviews and reevaluates privileges .

+ CM-5 (5)(b) +
+
+ +

In many organizations, information systems support multiple core missions/business functions. Limiting privileges to change information system components with respect to operational systems is necessary because changes to a particular information system component may have far-reaching effects on mission/business processes supported by the system where the component resides. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers.

+ +
+ +

Determine if the organization:

+ +

limits privileges to change information system components and system-related information within a production or operational environment;

+ CM-5(5)(a) +
+ + CM-5(5)(b) + +

defines the frequency to review and reevaluate privileges; and

+ CM-5(5)(b)[1] +
+ +

reviews and reevaluates privileges with the organization-defined frequency.

+ CM-5(5)(b)[2] +
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing access restrictions to change

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+ + LIMIT LIBRARY PRIVILEGES + CM-5 (6) + +

The organization limits privileges to change software resident within software libraries.

+
+ +

Software libraries include privileged programs.

+ +
+ +

Determine if the organization limits privileges to change software resident within software libraries.

+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing access restrictions to change

+ TEST +
+
+ + AUTOMATIC IMPLEMENTATION OF SECURITY SAFEGUARDS + CM-5 (7) + +

Incorporated into SI-7.

+
+ +
+
+ + CONFIGURATION SETTINGS + + organization-defined security configuration checklists + organization-defined security configuration checklists + + + organization-defined information system components + organization-defined information system components + + + organization-defined operational requirements + organization-defined operational requirements + + CM-6 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Establishes and documents configuration settings for information technology products employed within the information system using that reflect the most restrictive mode consistent with operational requirements;

+ CM-6a. +
+ +

Implements the configuration settings;

+ CM-6b. +
+ +

Identifies, documents, and approves any deviations from established configuration settings for based on ; and

+ CM-6c. +
+ +

Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures.

+ CM-6d. +
+
+ +

Configuration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of the systems configuration baseline. Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the United States Government Configuration Baseline (USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems.

+ + + + + +
+ +

Determine if the organization:

+ + CM-6(a) + +

defines security configuration checklists to be used to establish and document configuration settings for the information technology products employed;

+ CM-6(a)[1] +
+ +

ensures the defined security configuration checklists reflect the most restrictive mode consistent with operational requirements;

+ CM-6(a)[2] +
+ +

establishes and documents configuration settings for information technology products employed within the information system using organization-defined security configuration checklists;

+ CM-6(a)[3] +
+
+ +

implements the configuration settings established/documented in CM-6(a);;

+ CM-6(b) +
+ + CM-6(c) + +

defines information system components for which any deviations from established configuration settings must be:

+ CM-6(c)[1] + +

identified;

+ CM-6(c)[1][a] +
+ +

documented;

+ CM-6(c)[1][b] +
+ +

approved;

+ CM-6(c)[1][c] +
+
+ +

defines operational requirements to support:

+ CM-6(c)[2] + +

the identification of any deviations from established configuration settings;

+ CM-6(c)[2][a] +
+ +

the documentation of any deviations from established configuration settings;

+ CM-6(c)[2][b] +
+ +

the approval of any deviations from established configuration settings;

+ CM-6(c)[2][c] +
+
+ +

identifies any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;

+ CM-6(c)[3] +
+ +

documents any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;

+ CM-6(c)[4] +
+ +

approves any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;

+ CM-6(c)[5] +
+
+ + CM-6(d) + +

monitors changes to the configuration settings in accordance with organizational policies and procedures; and

+ CM-6(d)[1] +
+ +

controls changes to the configuration settings in accordance with organizational policies and procedures.

+ CM-6(d)[2] +
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with security configuration management responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing configuration settings

+ TEST +
+ + AUTOMATED CENTRAL MANAGEMENT / APPLICATION / VERIFICATION + CM-6 (1) + HIGH + +

The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings for .

+
+ + + + + +

Determine if the organization:

+ +

defines information system components for which automated mechanisms are to be employed to:

+ CM-6(1)[1] + +

centrally manage configuration settings of such components;

+ CM-6(1)[1][a] +
+ +

apply configuration settings of such components;

+ CM-6(1)[1][b] +
+ +

verify configuration settings of such components;

+ CM-6(1)[1][c] +
+
+ +

employs automated mechanisms to:

+ CM-6(1)[2] + +

centrally manage configuration settings for organization-defined information system components;

+ CM-6(1)[2][a] +
+ +

apply configuration settings for organization-defined information system components; and

+ CM-6(1)[2][b] +
+ +

verify configuration settings for organization-defined information system components.

+ CM-6(1)[2][c] +
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with security configuration management responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing configuration settings

+ TEST +
+ + organization-defined information system components + organization-defined information system components + +
+ + RESPOND TO UNAUTHORIZED CHANGES + CM-6 (2) + HIGH + +

The organization employs to respond to unauthorized changes to .

+
+ +

Responses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected information system processing.

+ + +
+ +

Determine if the organization:

+ +

defines configuration settings that, if modified by unauthorized changes, result in organizational security safeguards being employed to respond to such changes;

+ CM-6(2)[1] +
+ +

defines security safeguards to be employed to respond to unauthorized changes to organization-defined configuration settings; and

+ CM-6(2)[2] +
+ +

employs organization-defined security safeguards to respond to unauthorized changes to organization-defined configuration settings.

+ CM-6(2)[3] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with security configuration management responsibilities

+ INTERVIEW +
+ +

Organizational process for responding to unauthorized changes to information system configuration settings

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined configuration settings + organization-defined configuration settings + +
+ + UNAUTHORIZED CHANGE DETECTION + CM-6 (3) + +

Incorporated into SI-7.

+
+ +
+ + CONFORMANCE DEMONSTRATION + CM-6 (4) + +

Incorporated into CM-4.

+
+ +
+ + + OMB Memorandum 07-11 + + + OMB Memorandum 07-18 + + + OMB Memorandum 08-22 + + + NIST Special Publication 800-70 + + + NIST Special Publication 800-128 + + + http://nvd.nist.gov + + + http://checklists.nist.gov + + + http://www.nsa.gov + + +
+ + LEAST FUNCTIONALITY + + organization-defined prohibited or restricted functions, ports, protocols, and/or services + organization-defined prohibited or restricted functions, ports, protocols, and/or services + + CM-7 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Configures the information system to provide only essential capabilities; and

+ CM-7a. +
+ +

Prohibits or restricts the use of the following functions, ports, protocols, and/or services: .

+ CM-7b. +
+
+ +

Information systems can provide a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from single information system components, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email servers or web servers, but not both). Organizations review functions and services provided by information systems or individual components of information systems, to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing). Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services.

+ + + + + +
+ +

Determine if the organization:

+ +

configures the information system to provide only essential capabilities;

+ CM-7(a) +
+ + CM-7(b) + +

defines prohibited or restricted:

+ CM-7(b)[1] + +

functions;

+ CM-7(b)[1][a] +
+ +

ports;

+ CM-7(b)[1][b] +
+ +

protocols; and/or

+ CM-7(b)[1][c] +
+ +

services;

+ CM-7(b)[1][d] +
+
+ +

prohibits or restricts the use of organization-defined:

+ CM-7(b)[2] + +

functions;

+ CM-7(b)[2][a] +
+ +

ports;

+ CM-7(b)[2][b] +
+ +

protocols; and/or

+ CM-7(b)[2][c] +
+ +

services.

+ CM-7(b)[2][d] +
+
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with security configuration management responsibilities

+ INTERVIEW +
+ +

Organizational processes prohibiting or restricting functions, ports, protocols, and/or services

+ TEST +
+ + PERIODIC REVIEW + CM-7 (1) + MODERATE + HIGH + +

The organization:

+ +

Reviews the information system to identify unnecessary and/or nonsecure functions, ports, protocols, and services; and

+ CM-7 (1)(a) +
+ +

Disables .

+ CM-7 (1)(b) +
+
+ +

The organization can either make a determination of the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are examples of less than secure protocols.

+ + + +
+ +

Determine if the organization:

+ + CM-7(1)(a) + +

defines the frequency to review the information system to identify unnecessary and/or nonsecure:

+ CM-7(1)(a)[1] + +

functions;

+ CM-7(1)(a)[1][a] +
+ +

ports;

+ CM-7(1)(a)[1][b] +
+ +

protocols; and/or

+ CM-7(1)(a)[1][c] +
+ +

services;

+ CM-7(1)(a)[1][d] +
+
+ +

reviews the information system with the organization-defined frequency to identify unnecessary and/or nonsecure:

+ CM-7(1)(a)[2] + +

functions;

+ CM-7(1)(a)[2][a] +
+ +

ports;

+ CM-7(1)(a)[2][b] +
+ +

protocols; and/or

+ CM-7(1)(a)[2][c] +
+ +

services;

+ CM-7(1)(a)[2][d] +
+
+
+ + CM-7(1)(b) + +

defines, within the information system, unnecessary and/or nonsecure:

+ CM-7(1)(b)[1] + +

functions;

+ CM-7(1)(b)[1][a] +
+ +

ports;

+ CM-7(1)(b)[1][b] +
+ +

protocols; and/or

+ CM-7(1)(b)[1][c] +
+ +

services;

+ CM-7(1)(b)[1][d] +
+
+ +

disables organization-defined unnecessary and/or nonsecure:

+ CM-7(1)(b)[2] + +

functions;

+ CM-7(1)(b)[2][a] +
+ +

ports;

+ CM-7(1)(b)[2][b] +
+ +

protocols; and/or

+ CM-7(1)(b)[2][c] +
+ +

services.

+ CM-7(1)(b)[2][d] +
+
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the information system

+ INTERVIEW +
+ +

Organizational processes for reviewing/disabling nonsecure functions, ports, protocols, and/or services

+ TEST +
+ + organization-defined frequency + organization-defined frequency + + + organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure + organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure + +
+ + PREVENT PROGRAM EXECUTION + CM-7 (2) + MODERATE + HIGH + +

The information system prevents program execution in accordance with [Selection (one or more): ; rules authorizing the terms and conditions of software program usage].

+
+ + + + + +

Determine if:

+ +

the organization defines policies regarding software program usage and restrictions;

+ CM-7(2)[1] +
+ +

the information system prevents program execution in accordance with one or more of the following:

+ CM-7(2)[2] + +

organization-defined policies regarding program usage and restrictions; and/or

+ CM-7(2)[2][a] +
+ +

rules authorizing the terms and conditions of software program usage.

+ CM-7(2)[2][b] +
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Organizational processes preventing program execution on the information system

+ TEST +
+ + organization-defined policies regarding software program usage and restrictions + organization-defined policies regarding software program usage and restrictions + +
+ + REGISTRATION COMPLIANCE + CM-7 (3) + +

The organization ensures compliance with .

+
+ +

Organizations use the registration process to manage, track, and provide oversight for information systems and implemented functions, ports, protocols, and services.

+
+ +

Determine if the organization:

+ +

defines registration requirements for:

+ CM-7(3)[1] + +

functions;

+ CM-7(3)[1][a] +
+ +

ports;

+ CM-7(3)[1][b] +
+ +

protocols; and/or

+ CM-7(3)[1][c] +
+ +

services;

+ CM-7(3)[1][d] +
+
+ +

ensures compliance with organization-defined registration requirements for:

+ CM-7(3)[2] + +

functions;

+ CM-7(3)[2][a] +
+ +

ports;

+ CM-7(3)[2][b] +
+ +

protocols; and/or

+ CM-7(3)[2][c] +
+ +

services.

+ CM-7(3)[2][d] +
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Organizational processes ensuring compliance with registration requirements for functions, ports, protocols, and/or services

+ TEST +
+ + organization-defined registration requirements for functions, ports, protocols, and services + organization-defined registration requirements for functions, ports, protocols, and services + +
+ + UNAUTHORIZED SOFTWARE / BLACKLISTING + CM-7 (4) + MODERATE + +

The organization:

+ +

Identifies ;

+ CM-7 (4)(a) +
+ +

Employs an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system; and

+ CM-7 (4)(b) +
+ +

Reviews and updates the list of unauthorized software programs .

+ CM-7 (4)(c) +
+
+ +

The process used to identify software programs that are not authorized to execute on organizational information systems is commonly referred to as blacklisting. Organizations can implement CM-7 (5) instead of this control enhancement if whitelisting (the stronger of the two policies) is the preferred approach for restricting software program execution.

+ + + +
+ +

Determine if the organization:

+ +

Identifies/defines software programs not authorized to execute on the information system;

+ CM-7(4)(a) +
+ +

employs an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system;

+ CM-7(4)(b) +
+ + CM-7(4)(c) + +

defines the frequency to review and update the list of unauthorized software programs on the information system; and

+ CM-7(4)(c)[1] +
+ +

reviews and updates the list of unauthorized software programs with the organization-defined frequency.

+ CM-7(4)(c)[2] +
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for identifying software not authorized to execute on the information system

+ INTERVIEW +
+ +

Organizational process for identifying, reviewing, and updating programs not authorized to execute on the information system

+ TEST +
+ + organization-defined software programs not authorized to execute on the information system + organization-defined software programs not authorized to execute on the information system + + + organization-defined frequency + organization-defined frequency + +
+ + AUTHORIZED SOFTWARE / WHITELISTING + CM-7 (5) + HIGH + +

The organization:

+ +

Identifies ;

+ CM-7 (5)(a) +
+ +

Employs a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system; and

+ CM-7 (5)(b) +
+ +

Reviews and updates the list of authorized software programs .

+ CM-7 (5)(c) +
+
+ +

The process used to identify software programs that are authorized to execute on organizational information systems is commonly referred to as whitelisting. In addition to whitelisting, organizations consider verifying the integrity of white-listed software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup.

+ + + + + + + +
+ +

Determine if the organization:

+ +

Identifies/defines software programs authorized to execute on the information system;

+ CM-7(5)(a) +
+ +

employs a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system;

+ CM-7(5)(b) +
+ + CM-7(5)(c) + +

defines the frequency to review and update the list of authorized software programs on the information system; and

+ CM-7(5)(c)[1] +
+ +

reviews and updates the list of authorized software programs with the organization-defined frequency.

+ CM-7(5)(c)[2] +
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for identifying software authorized to execute on the information system

+ INTERVIEW +
+ +

Organizational process for identifying, reviewing, and updating programs authorized to execute on the information system

+ TEST +
+ + organization-defined software programs authorized to execute on the information system + organization-defined software programs authorized to execute on the information system + + + organization-defined frequency + organization-defined frequency + +
+ + + DoD Instruction 8551.01 + + +
+ + INFORMATION SYSTEM COMPONENT INVENTORY + + organization-defined information deemed necessary to achieve effective information system component accountability + organization-defined information deemed necessary to achieve effective information system component accountability + + + organization-defined frequency + organization-defined frequency + + CM-8 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops and documents an inventory of information system components that:

+ CM-8a. + +

Accurately reflects the current information system;

+ CM-8a.1. +
+ +

Includes all components within the authorization boundary of the information system;

+ CM-8a.2. +
+ +

Is at the level of granularity deemed necessary for tracking and reporting; and

+ CM-8a.3. +
+ +

Includes ; and

+ CM-8a.4. +
+
+ +

Reviews and updates the information system component inventory .

+ CM-8b. +
+
+ +

Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include, for example, manufacturer, device type, model, serial number, and physical location.

+ + + +
+ +

Determine if the organization:

+ + CM-8(a) + +

develops and documents an inventory of information system components that accurately reflects the current information system;

+ CM-8(a)(1) +
+ +

develops and documents an inventory of information system components that includes all components within the authorization boundary of the information system;

+ CM-8(a)(2) +
+ +

develops and documents an inventory of information system components that is at the level of granularity deemed necessary for tracking and reporting;

+ CM-8(a)(3) +
+ + CM-8(a)(4) + +

defines the information deemed necessary to achieve effective information system component accountability;

+ CM-8(a)(4)[1] +
+ +

develops and documents an inventory of information system components that includes organization-defined information deemed necessary to achieve effective information system component accountability;

+ CM-8(a)(4)[2] +
+
+
+ + CM-8(b) + +

defines the frequency to review and update the information system component inventory; and

+ CM-8(b)[1] +
+ +

reviews and updates the information system component inventory with the organization-defined frequency.

+ CM-8(b)[2] +
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for information system component inventory

+ INTERVIEW +
+ +

Organizational processes for developing and documenting an inventory of information system components

+ TEST +
+ + UPDATES DURING INSTALLATIONS / REMOVALS + CM-8 (1) + MODERATE + HIGH + +

The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.

+
+ +

Determine if the organization updates the inventory of information system components as an integral part of:

+ +

component installations;

+ CM-8(1)[1] +
+ +

component removals; and

+ CM-8(1)[2] +
+ +

information system updates.

+ CM-8(1)[3] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for updating the information system component inventory

+ INTERVIEW +
+ +

Organizational processes for updating inventory of information system components

+ TEST +
+
+ + AUTOMATED MAINTENANCE + CM-8 (2) + HIGH + +

The organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.

+
+ +

Organizations maintain information system inventories to the extent feasible. Virtual machines, for example, can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. This control enhancement can be satisfied by the implementation of CM-2 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.

+ +
+ +

Determine if the organization employs automated mechanisms to maintain an inventory of information system components that is:

+ +

up-to-date;

+ CM-8(2)[1] +
+ +

complete;

+ CM-8(2)[2] +
+ +

accurate; and

+ CM-8(2)[3] +
+ +

readily available.

+ CM-8(2)[4] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for managing the automated mechanisms implementing the information system component inventory

+ INTERVIEW +
+ +

Organizational processes for maintaining the inventory of information system components

+ TEST +
+
+ + AUTOMATED UNAUTHORIZED COMPONENT DETECTION + CM-8 (3) + MODERATE + HIGH + +

The organization:

+ +

Employs automated mechanisms to detect the presence of unauthorized hardware, software, and firmware components within the information system; and

+ CM-8 (3)(a) +
+ +

Takes the following actions when unauthorized components are detected: [Selection (one or more): disables network access by such components; isolates the components; notifies ].

+ CM-8 (3)(b) +
+
+ +

This control enhancement is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented within information systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized information system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing.

+ + + + + + + + +
+ +

Determine if the organization:

+ + CM-8(3)(a) + +

defines the frequency to employ automated mechanisms to detect the presence of unauthorized:

+ CM-8(3)(a)[1] + +

hardware components within the information system;

+ CM-8(3)(a)[1][a] +
+ +

software components within the information system;

+ CM-8(3)(a)[1][b] +
+ +

firmware components within the information system;

+ CM-8(3)(a)[1][c] +
+
+ +

employs automated mechanisms with the organization-defined frequency to detect the presence of unauthorized:

+ CM-8(3)(a)[2] + +

hardware components within the information system;

+ CM-8(3)(a)[2][a] +
+ +

software components within the information system;

+ CM-8(3)(a)[2][b] +
+ +

firmware components within the information system;

+ CM-8(3)(a)[2][c] +
+
+
+ + CM-8(3)(b) + +

defines personnel or roles to be notified when unauthorized components are detected;

+ CM-8(3)(b)[1] +
+ +

takes one or more of the following actions when unauthorized components are detected:

+ CM-8(3)(b)[2] + +

disables network access by such components;

+ CM-8(3)(b)[2][a] +
+ +

isolates the components; and/or

+ CM-8(3)(b)[2][b] +
+ +

notifies organization-defined personnel or roles.

+ CM-8(3)(b)[2][c] +
+
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized information system component detection

+ INTERVIEW +
+ +

Organizational processes for detection of unauthorized information system components

+ TEST +
+ + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + ACCOUNTABILITY INFORMATION + CM-8 (4) + HIGH + +

The organization includes in the information system component inventory information, a means for identifying by [Selection (one or more): name; position; role], individuals responsible/accountable for administering those components.

+
+ +

Identifying individuals who are both responsible and accountable for administering information system components helps to ensure that the assigned components are properly administered and organizations can contact those individuals if some action is required (e.g., component is determined to be the source of a breach/compromise, component needs to be recalled/replaced, or component needs to be relocated).

+
+ +

Determine if the organization includes in the information system component inventory for information system components, a means for identifying the individuals responsible and accountable for administering those components by one or more of the following:

+ +

name;

+ CM-8(4)[1] +
+ +

position; and/or

+ CM-8(4)[2] +
+ +

role.

+ CM-8(4)[3] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for managing the information system component inventory

+ INTERVIEW +
+ +

Organizational processes for maintaining the inventory of information system components

+ TEST +
+
+ + NO DUPLICATE ACCOUNTING OF COMPONENTS + CM-8 (5) + MODERATE + HIGH + +

The organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system component inventories.

+
+ +

This control enhancement addresses the potential problem of duplicate accounting of information system components in large or complex interconnected systems.

+
+ +

Determine if the organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system inventories.

+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with information system inventory responsibilities

+ INTERVIEW +
+ +

Organizational processes for maintaining the inventory of information system components

+ TEST +
+
+ + ASSESSED CONFIGURATIONS / APPROVED DEVIATIONS + CM-8 (6) + +

The organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory.

+
+ +

This control enhancement focuses on configuration settings established by organizations for information system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings.

+ + +
+ +

Determine if the organization includes in the information system component inventory:

+ +

assessed component configurations; and

+ CM-8(6)[1] +
+ +

any approved deviations to current deployed configurations.

+ CM-8(6)[2] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with inventory management and assessment responsibilities for information system components

+ INTERVIEW +
+ +

Organizational processes for maintaining the inventory of information system components

+ TEST +
+
+ + CENTRALIZED REPOSITORY + CM-8 (7) + +

The organization provides a centralized repository for the inventory of information system components.

+
+ +

Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. Centralized repositories of information system component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner).

+
+ +

Determine if the organization provides a centralized repository for the inventory of information system components.

+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with inventory management responsibilities for information system components

+ INTERVIEW +
+ +

Automated mechanisms implementing the information system component inventory in a centralized repository

+ TEST +
+
+ + AUTOMATED LOCATION TRACKING + CM-8 (8) + +

The organization employs automated mechanisms to support tracking of information system components by geographic location.

+
+ +

The use of automated mechanisms to track the location of information system components can increase the accuracy of component inventories. Such capability may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions.

+
+ +

Determine if the organization employs automated mechanisms to support tracking of information system components by geographic location.

+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with inventory management responsibilities for information system components

+ INTERVIEW +
+ +

Automated mechanisms implementing the information system component inventory

+ TEST +
+
+ + ASSIGNMENT OF COMPONENTS TO SYSTEMS + CM-8 (9) + +

The organization:

+ +

Assigns to an information system; and

+ CM-8 (9)(a) +
+ +

Receives an acknowledgement from the information system owner of this assignment.

+ CM-8 (9)(b) +
+
+ +

Organizations determine the criteria for or types of information system components (e.g., microprocessors, motherboards, software, programmable logic controllers, and network devices) that are subject to this control enhancement.

+ +
+ +

Determine if the organization:

+ + CM-8(9)(a) + +

defines acquired information system components to be assigned to an information system; and

+ CM-8(9)(a)[1] +
+ +

assigns organization-defined acquired information system components to an information system; and

+ CM-8(9)(a)[2] +
+
+ +

receives an acknowledgement from the information system owner of the assignment.

+ CM-8(9)(b) +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with inventory management responsibilities for information system components

+ INTERVIEW +
+ +

Organizational processes for assigning components to systems

+ TEST +
+ + organization-defined acquired information system components + organization-defined acquired information system components + +
+ + + NIST Special Publication 800-128 + + +
+ + CONFIGURATION MANAGEMENT PLAN + CM-9 + P1 + MODERATE + HIGH + +

The organization develops, documents, and implements a configuration management plan for the information system that:

+ +

Addresses roles, responsibilities, and configuration management processes and procedures;

+ CM-9a. +
+ +

Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;

+ CM-9b. +
+ +

Defines the configuration items for the information system and places the configuration items under configuration management; and

+ CM-9c. +
+ +

Protects the configuration management plan from unauthorized disclosure and modification.

+ CM-9d. +
+
+ +

Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual information systems. Such plans define detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. Configuration management plans are typically developed during the development/acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baselines, how to maintain information system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization at large with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to information systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration-managed. As information systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control.

+ + + + + + +
+ +

Determine if the organization develops, documents, and implements a configuration management plan for the information system that:

+ + CM-9(a) + +

addresses roles;

+ CM-9(a)[1] +
+ +

addresses responsibilities;

+ CM-9(a)[2] +
+ +

addresses configuration management processes and procedures;

+ CM-9(a)[3] +
+
+ +

establishes a process for:

+ CM-9(b) + +

identifying configuration items throughout the SDLC;

+ CM-9(b)[1] +
+ +

managing the configuration of the configuration items;

+ CM-9(b)[2] +
+
+ + CM-9(c) + +

defines the configuration items for the information system;

+ CM-9(c)[1] +
+ +

places the configuration items under configuration management;

+ CM-9(c)[2] +
+
+ +

protects the configuration management plan from unauthorized:

+ CM-9(d) + +

disclosure; and

+ CM-9(d)[1] +
+ +

modification.

+ CM-9(d)[2] +
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for developing the configuration management plan

+ INTERVIEW +
+ +

Organizational processes for developing and documenting the configuration management plan

+ TEST +
+ + ASSIGNMENT OF RESPONSIBILITY + CM-9 (1) + +

The organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development.

+
+ +

In the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked to develop configuration management processes using personnel who are not directly involved in system development or integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the information system development and integration processes and configuration management processes to facilitate quality control and more effective oversight.

+
+ +

Determine if the organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development.

+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for configuration management process development

+ INTERVIEW +
+
+ + + NIST Special Publication 800-128 + + +
+ + SOFTWARE USAGE RESTRICTIONS + CM-10 + P2 + LOW + MODERATE + HIGH + +

The organization:

+ +

Uses software and associated documentation in accordance with contract agreements and copyright laws;

+ CM-10a. +
+ +

Tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and

+ CM-10b. +
+ +

Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.

+ CM-10c. +
+
+ +

Software license tracking can be accomplished by manual methods (e.g., simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on organizational needs.

+ + + +
+ +

Determine if the organization:

+ +

uses software and associated documentation in accordance with contract agreements and copyright laws;

+ CM-10(a) +
+ +

tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and

+ CM-10(b) +
+ +

controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.

+ CM-10(c) +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Organizational process for tracking the use of software protected by quantity licenses

+ TEST +
+ + OPEN SOURCE SOFTWARE + CM-10 (1) + +

The organization establishes the following restrictions on the use of open source software: .

+
+ +

Open source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, there are also various licensing issues associated with open source software including, for example, the constraints on derivative use of such software.

+
+ +

Determine if the organization:

+ +

defines restrictions on the use of open source software; and

+ CM-10(1)[1] +
+ +

establishes organization-defined restrictions on the use of open source software.

+ CM-10(1)[2] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for establishing and enforcing restrictions on use of open source software

+ INTERVIEW +
+ +

Organizational process for restricting the use of open source software

+ TEST +
+ + organization-defined restrictions + organization-defined restrictions + +
+
+ + USER-INSTALLED SOFTWARE + + organization-defined policies + organization-defined policies + + + organization-defined methods + organization-defined methods + + + organization-defined frequency + organization-defined frequency + + CM-11 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Establishes governing the installation of software by users;

+ CM-11a. +
+ +

Enforces software installation policies through ; and

+ CM-11b. +
+ +

Monitors policy compliance at .

+ CM-11c. +
+
+ +

If provided the necessary privileges, users have the ability to install software in organizational information systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved �app stores.� Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user accounts), automated methods (e.g., configuration settings implemented on organizational information systems), or both.

+ + + + + + + +
+ +

Determine if the organization:

+ + CM-11(a) + +

defines policies to govern the installation of software by users;

+ CM-11(a)[1] +
+ +

establishes organization-defined policies governing the installation of software by users;

+ CM-11(a)[2] +
+
+ + CM-11(b) + +

defines methods to enforce software installation policies;

+ CM-11(b)[1] +
+ +

enforces software installation policies through organization-defined methods;

+ CM-11(b)[2] +
+
+ + CM-11(c) + +

defines frequency to monitor policy compliance; and

+ CM-11(c)[1] +
+ +

monitors policy compliance at organization-defined frequency.

+ CM-11(c)[2] +
+
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for governing user-installed software

+ INTERVIEW +
+ +

Organizational processes governing user-installed software on the information system

+ TEST +
+ + ALERTS FOR UNAUTHORIZED INSTALLATIONS + CM-11 (1) + +

The information system alerts when the unauthorized installation of software is detected.

+
+ + + + + +

Determine if:

+ +

the organization defines personnel or roles to be alerted when the unauthorized installation of software is detected; and

+ CM-11(1)[1] +
+ +

the information system alerts organization-defined personnel or roles when the unauthorized installation of software is detected.

+ CM-11(1)[2] +
+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for governing user-installed software

+ INTERVIEW +
+ +

Organizational processes governing user-installed software on the information system

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + PROHIBIT INSTALLATION WITHOUT PRIVILEGED STATUS + CM-11 (2) + +

The information system prohibits user installation of software without explicit privileged status.

+
+ +

Privileged status can be obtained, for example, by serving in the role of system administrator.

+ +
+ +

Determine if the information system prohibits user installation of software without explicit privileged status.

+
+ +

Configuration management policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for governing user-installed software

+ INTERVIEW +
+ +

Organizational processes governing user-installed software on the information system

+ TEST +
+
+
+
+ + CONTINGENCY PLANNING + + CONTINGENCY PLANNING POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + CP-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ CP-1a. + +

A contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ CP-1a.1. +
+ +

Procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls; and

+ CP-1a.2. +
+
+ +

Reviews and updates the current:

+ CP-1b. + +

Contingency planning policy ; and

+ CP-1b.1. +
+ +

Contingency planning procedures .

+ CP-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if:

+ + CP-1(a)(1) + +

the organization develops and documents a contingency planning policy that addresses:

+ CP-1(a)(1)[1] + +

purpose;

+ CP-1(a)(1)[1][a] +
+ +

scope;

+ CP-1(a)(1)[1][b] +
+ +

roles;

+ CP-1(a)(1)[1][c] +
+ +

responsibilities;

+ CP-1(a)(1)[1][d] +
+ +

management commitment;

+ CP-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ CP-1(a)(1)[1][f] +
+ +

compliance;

+ CP-1(a)(1)[1][g] +
+
+ +

the organization defines personnel or roles to whom the contingency planning policy is to be disseminated;

+ CP-1(a)(1)[2] +
+ +

the organization disseminates the contingency planning policy to organization-defined personnel or roles;

+ CP-1(a)(1)[3] +
+
+ + CP-1(a)(2) + +

the organization develops and documents procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls;

+ CP-1(a)(2)[1] +
+ +

the organization defines personnel or roles to whom the procedures are to be disseminated;

+ CP-1(a)(2)[2] +
+ +

the organization disseminates the procedures to organization-defined personnel or roles;

+ CP-1(a)(2)[3] +
+
+ + CP-1(b)(1) + +

the organization defines the frequency to review and update the current contingency planning policy;

+ CP-1(b)(1)[1] +
+ +

the organization reviews and updates the current contingency planning with the organization-defined frequency;

+ CP-1(b)(1)[2] +
+
+ + CP-1(b)(2) + +

the organization defines the frequency to review and update the current contingency planning procedures; and

+ CP-1(b)(2)[1] +
+ +

the organization reviews and updates the current contingency planning procedures with the organization-defined frequency.

+ CP-1(b)(2)[2] +
+
+
+ +

Contingency planning policy and procedures

+ EXAMINE +
+ +

Organizational personnel with contingency planning responsibilities

+ INTERVIEW +
+ + + Federal Continuity Directive 1 + + + NIST Special Publication 800-12 + + + NIST Special Publication 800-34 + + + NIST Special Publication 800-100 + + +
+ + CONTINGENCY PLAN + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + + + organization-defined frequency + organization-defined frequency + + + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + organization-defined key contingency personnel (identified by name and/or by role) and organizational elements + + CP-2 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops a contingency plan for the information system that:

+ CP-2a. + +

Identifies essential missions and business functions and associated contingency requirements;

+ CP-2a.1. +
+ +

Provides recovery objectives, restoration priorities, and metrics;

+ CP-2a.2. +
+ +

Addresses contingency roles, responsibilities, assigned individuals with contact information;

+ CP-2a.3. +
+ +

Addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;

+ CP-2a.4. +
+ +

Addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented; and

+ CP-2a.5. +
+ +

Is reviewed and approved by ;

+ CP-2a.6. +
+
+ +

Distributes copies of the contingency plan to ;

+ CP-2b. +
+ +

Coordinates contingency planning activities with incident handling activities;

+ CP-2c. +
+ +

Reviews the contingency plan for the information system ;

+ CP-2d. +
+ +

Updates the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;

+ CP-2e. +
+ +

Communicates contingency plan changes to ; and

+ CP-2f. +
+ +

Protects the contingency plan from unauthorized disclosure and modification.

+ CP-2g. +
+
+ +

Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. The effectiveness of contingency planning is maximized by considering such planning throughout the phases of the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving information system resiliency. Contingency plans reflect the degree of restoration required for organizational information systems since not all systems may need to fully recover to achieve the level of continuity of operations desired. Information system recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission and/or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of information systems. Actions addressed in contingency plans include, for example, orderly/graceful degradation, information system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By closely coordinating contingency planning with incident handling activities, organizations can ensure that the necessary contingency planning activities are in place and activated in the event of a security incident.

+ + + + + + + + + + + + + +
+ +

Determine if the organization:

+ +

develops and documents a contingency plan for the information system that:

+ CP-2(a) + +

identifies essential missions and business functions and associated contingency requirements;

+ CP-2(a)(1) +
+ + CP-2(a)(2) + +

provides recovery objectives;

+ CP-2(a)(2)[1] +
+ +

provides restoration priorities;

+ CP-2(a)(2)[2] +
+ +

provides metrics;

+ CP-2(a)(2)[3] +
+
+ + CP-2(a)(3) + +

addresses contingency roles;

+ CP-2(a)(3)[1] +
+ +

addresses contingency responsibilities;

+ CP-2(a)(3)[2] +
+ +

addresses assigned individuals with contact information;

+ CP-2(a)(3)[3] +
+
+ +

addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;

+ CP-2(a)(4) +
+ +

addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented;

+ CP-2(a)(5) +
+ + CP-2(a)(6) + +

defines personnel or roles to review and approve the contingency plan for the information system;

+ CP-2(a)(6)[1] +
+ +

is reviewed and approved by organization-defined personnel or roles;

+ CP-2(a)(6)[2] +
+
+
+ + CP-2(b) + +

defines key contingency personnel (identified by name and/or by role) and organizational elements to whom copies of the contingency plan are to be distributed;

+ CP-2(b)[1] +
+ +

distributes copies of the contingency plan to organization-defined key contingency personnel and organizational elements;

+ CP-2(b)[2] +
+
+ +

coordinates contingency planning activities with incident handling activities;

+ CP-2(c) +
+ + CP-2(d) + +

defines a frequency to review the contingency plan for the information system;

+ CP-2(d)[1] +
+ +

reviews the contingency plan with the organization-defined frequency;

+ CP-2(d)[2] +
+
+ +

updates the contingency plan to address:

+ CP-2(e) + +

changes to the organization, information system, or environment of operation;

+ CP-2(e)[1] +
+ +

problems encountered during plan implementation, execution, and testing;

+ CP-2(e)[2] +
+
+ + CP-2(f) + +

defines key contingency personnel (identified by name and/or by role) and organizational elements to whom contingency plan changes are to be communicated;

+ CP-2(f)[1] +
+ +

communicates contingency plan changes to organization-defined key contingency personnel and organizational elements; and

+ CP-2(f)[2] +
+
+ +

protects the contingency plan from unauthorized disclosure and modification.

+ CP-2(g) +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for contingency plan development, review, update, and protection

+ TEST +
+ + COORDINATE WITH RELATED PLANS + CP-2 (1) + MODERATE + HIGH + +

The organization coordinates contingency plan development with organizational elements responsible for related plans.

+
+ +

Plans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant Emergency Plans.

+
+ +

Determine if the organization coordinates contingency plan development with organizational elements responsible for related plans.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning and plan implementation responsibilities

+ INTERVIEW +
+
+ + CAPACITY PLANNING + CP-2 (2) + HIGH + +

The organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.

+
+ +

Capacity planning is needed because different types of threats (e.g., natural disasters, targeted cyber attacks) can result in a reduction of the available processing, telecommunications, and support services originally intended to support the organizational missions/business functions. Organizations may need to anticipate degraded operations during contingency operations and factor such degradation into capacity planning.

+
+ +

Determine if the organization conducts capacity planning so that necessary capacity exists during contingency operations for:

+ +

information processing;

+ CP-2(2)[1] +
+ +

telecommunications; and

+ CP-2(2)[2] +
+ +

environmental support.

+ CP-2(2)[3] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning and plan implementation responsibilities

+ INTERVIEW +
+
+ + RESUME ESSENTIAL MISSIONS / BUSINESS FUNCTIONS + CP-2 (3) + MODERATE + HIGH + +

The organization plans for the resumption of essential missions and business functions within of contingency plan activation.

+
+ +

Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of essential missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.

+ +
+ +

Determine if the organization:

+ +

defines the time period to plan for the resumption of essential missions and business functions as a result of contingency plan activation; and

+ CP-2(3)[1] +
+ +

plans for the resumption of essential missions and business functions within organization-defined time period of contingency plan activation.

+ CP-2(3)[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for resumption of missions and business functions

+ TEST +
+ + organization-defined time period + organization-defined time period + +
+ + RESUME ALL MISSIONS / BUSINESS FUNCTIONS + CP-2 (4) + HIGH + +

The organization plans for the resumption of all missions and business functions within of contingency plan activation.

+
+ +

Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of all missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.

+ +
+ +

Determine if the organization:

+ +

defines the time period to plan for the resumption of all missions and business functions as a result of contingency plan activation; and

+ CP-2(4)[1] +
+ +

plans for the resumption of all missions and business functions within organization-defined time period of contingency plan activation.

+ CP-2(4)[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for resumption of missions and business functions

+ TEST +
+ + organization-defined time period + organization-defined time period + +
+ + CONTINUE ESSENTIAL MISSIONS / BUSINESS FUNCTIONS + CP-2 (5) + HIGH + +

The organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites.

+
+ +

Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).

+ +
+ +

Determine if the organization:

+ +

plans for the continuance of essential missions and business functions with little or no loss of operational continuity; and

+ CP-2(5)[1] +
+ +

sustains that operational continuity until full information system restoration at primary processing and/or storage sites.

+ CP-2(5)[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for continuing missions and business functions

+ TEST +
+
+ + ALTERNATE PROCESSING / STORAGE SITE + CP-2 (6) + +

The organization plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through information system restoration to primary processing and/or storage sites.

+
+ +

Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).

+ +
+ +

Determine if the organization:

+ +

plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity; and

+ CP-2(6)[1] +
+ +

sustains that operational continuity through information system restoration to primary processing and/or storage sites.

+ CP-2(6)[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for transfer of essential missions and business functions to alternate processing/storage sites

+ TEST +
+
+ + COORDINATE WITH EXTERNAL SERVICE PROVIDERS + CP-2 (7) + +

The organization coordinates its contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.

+
+ +

When the capability of an organization to successfully carry out its core missions/business functions is dependent on external service providers, developing a timely and comprehensive contingency plan may become more challenging. In this situation, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization.

+ +
+ +

Determine if the organization coordinates its contingency plan with the contingency plans of external service provides to ensure contingency requirements can be satisfied.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning and plan implementation responsibilities

+ INTERVIEW +
+
+ + IDENTIFY CRITICAL ASSETS + CP-2 (8) + MODERATE + HIGH + +

The organization identifies critical information system assets supporting essential missions and business functions.

+
+ +

Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Organizations identify critical information system assets so that additional safeguards and countermeasures can be employed (above and beyond those safeguards and countermeasures routinely implemented) to help ensure that organizational missions/business functions can continue to be conducted during contingency operations. In addition, the identification of critical information assets facilitates the prioritization of organizational resources. Critical information system assets include technical and operational aspects. Technical aspects include, for example, information technology services, information system components, information technology products, and mechanisms. Operational aspects include, for example, procedures (manually executed operations) and personnel (individuals operating technical safeguards and/or executing manual procedures). Organizational program protection plans can provide assistance in identifying critical assets.

+ + +
+ +

Determine if the organization identifies critical information system assets supporting essential missions and business functions.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning and plan implementation responsibilities

+ INTERVIEW +
+
+ + + Federal Continuity Directive 1 + + + NIST Special Publication 800-34 + + +
+ + CONTINGENCY TRAINING + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + CP-3 + P2 + LOW + MODERATE + HIGH + +

The organization provides contingency training to information system users consistent with assigned roles and responsibilities:

+ +

Within of assuming a contingency role or responsibility;

+ CP-3a. +
+ +

When required by information system changes; and

+ CP-3b. +
+ +

thereafter.

+ CP-3c. +
+
+ +

Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, regular users may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to set up information systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan.

+ + + + +
+ +

Determine if the organization:

+ + CP-3(a) + +

defines a time period within which contingency training is to be provided to information system users assuming a contingency role or responsibility;

+ CP-3(a)[1] +
+ +

provides contingency training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming a contingency role or responsibility;

+ CP-3(a)[2] +
+
+ +

provides contingency training to information system users consistent with assigned roles and responsibilities when required by information system changes;

+ CP-3(b) +
+ + CP-3(c) + +

defines the frequency for contingency training thereafter; and

+ CP-3(c)[1] +
+ +

provides contingency training to information system users consistent with assigned roles and responsibilities with the organization-defined frequency thereafter.

+ CP-3(c)[2] +
+
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning, plan implementation, and training responsibilities

+ INTERVIEW +
+ +

Organizational processes for contingency training

+ TEST +
+ + SIMULATED EVENTS + CP-3 (1) + HIGH + +

The organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.

+
+ +

Determine if the organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning, plan implementation, and training responsibilities

+ INTERVIEW +
+ +

Organizational processes for contingency training

+ TEST +
+
+ + AUTOMATED TRAINING ENVIRONMENTS + CP-3 (2) + +

The organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.

+
+ +

Determine if the organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning, plan implementation, and training responsibilities

+ INTERVIEW +
+ +

Organizational processes for contingency training

+ TEST +
+
+ + + Federal Continuity Directive 1 + + + NIST Special Publication 800-16 + + + NIST Special Publication 800-50 + + +
+ + CONTINGENCY PLAN TESTING + + organization-defined frequency + organization-defined frequency + + + organization-defined tests + organization-defined tests + + CP-4 + P2 + LOW + MODERATE + HIGH + +

The organization:

+ +

Tests the contingency plan for the information system using to determine the effectiveness of the plan and the organizational readiness to execute the plan;

+ CP-4a. +
+ +

Reviews the contingency plan test results; and

+ CP-4b. +
+ +

Initiates corrective actions, if needed.

+ CP-4c. +
+
+ +

Methods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include, for example, walk-through and tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive exercises. Organizations conduct testing based on the continuity requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals arising due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.

+ + + +
+ +

Determine if the organization:

+ + CP-4(a) + +

defines tests to determine the effectiveness of the contingency plan and the organizational readiness to execute the plan;

+ CP-4(a)[1] +
+ +

defines a frequency to test the contingency plan for the information system;

+ CP-4(a)[2] +
+ +

tests the contingency plan for the information system with the organization-defined frequency, using organization-defined tests to determine the effectiveness of the plan and the organizational readiness to execute the plan;

+ CP-4(a)[3] +
+
+ +

reviews the contingency plan test results; and

+ CP-4(b) +
+ +

initiates corrective actions, if needed.

+ CP-4(c) +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for contingency plan testing, reviewing or responding to contingency plan tests

+ INTERVIEW +
+ +

Organizational processes for contingency plan testing

+ TEST +
+ + COORDINATE WITH RELATED PLANS + CP-4 (1) + MODERATE + HIGH + +

The organization coordinates contingency plan testing with organizational elements responsible for related plans.

+
+ +

Plans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. This control enhancement does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations should coordinate with those elements.

+ + +
+ +

Determine if the organization coordinates contingency plan testing with organizational elements responsible for related plans.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan testing responsibilities

+ INTERVIEW +
+
+ + ALTERNATE PROCESSING SITE + CP-4 (2) + HIGH + +

The organization tests the contingency plan at the alternate processing site:

+ +

To familiarize contingency personnel with the facility and available resources; and

+ CP-4 (2)(a) +
+ +

To evaluate the capabilities of the alternate processing site to support contingency operations.

+ CP-4 (2)(b) +
+
+ + + + +

Determine if the organization tests the contingency plan at the alternate processing site to:

+ +

familiarize contingency personnel with the facility and available resources; and

+ CP-4(2)(a) +
+ +

evaluate the capabilities of the alternate processing site to support contingency operations.

+ CP-4(2)(b) +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for contingency plan testing

+ TEST +
+
+ + AUTOMATED TESTING + CP-4 (3) + +

The organization employs automated mechanisms to more thoroughly and effectively test the contingency plan.

+
+ +

Automated mechanisms provide more thorough and effective testing of contingency plans, for example: (i) by providing more complete coverage of contingency issues; (ii) by selecting more realistic test scenarios and environments; and (iii) by effectively stressing the information system and supported missions.

+
+ +

Determine if the organization employs automated mechanisms to more thoroughly and effectively test the contingency plan.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan testing responsibilities

+ INTERVIEW +
+ +

Organizational processes for contingency plan testing

+ TEST +
+
+ + FULL RECOVERY / RECONSTITUTION + CP-4 (4) + +

The organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing.

+
+ + + + + +

Determine if the organization:

+ +

includes a full recovery of the information system to a known state as part of contingency plan testing; and

+ CP-4(4)[1] +
+ +

includes a full reconstitution of the information system to a known state as part of contingency plan testing.

+ CP-4(4)[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan testing responsibilities

+ INTERVIEW +
+ +

Organizational processes for contingency plan testing

+ TEST +
+
+ + + Federal Continuity Directive 1 + + + FIPS Publication 199 + + + NIST Special Publication 800-34 + + + NIST Special Publication 800-84 + + +
+ + CONTINGENCY PLAN UPDATE + CP-5 + +

Incorporated into CP-2.

+
+ +
+ + ALTERNATE STORAGE SITE + CP-6 + P1 + MODERATE + HIGH + +

The organization:

+ +

Establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and

+ CP-6a. +
+ +

Ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.

+ CP-6b. +
+
+ +

Alternate storage sites are sites that are geographically distinct from primary storage sites. An alternate storage site maintains duplicate copies of information and data in the event that the primary storage site is not available. Items covered by alternate storage site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination of delivery/retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.

+ + + + + +
+ +

Determine if the organization:

+ +

establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and

+ CP-6[1] +
+ +

ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.

+ CP-6[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan alternate storage site responsibilities

+ INTERVIEW +
+ +

Organizational processes for storing and retrieving information system backup information at the alternate storage site

+ TEST +
+ + SEPARATION FROM PRIMARY SITE + CP-6 (1) + MODERATE + HIGH + +

The organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.

+
+ +

Threats that affect alternate storage sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.

+ +
+ +

Determine if the organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan alternate storage site responsibilities

+ INTERVIEW +
+
+ + RECOVERY TIME / POINT OBJECTIVES + CP-6 (2) + HIGH + +

The organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.

+
+ +

Determine if the organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time objectives and recovery point objectives (as specified in the information system contingency plan).

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan testing responsibilities

+ INTERVIEW +
+ +

Organizational processes for contingency plan testing

+ TEST +
+
+ + ACCESSIBILITY + CP-6 (3) + MODERATE + HIGH + +

The organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.

+
+ +

Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include, for example: (i) duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites; or (ii) planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.

+ +
+ +

Determine if the organization:

+ +

identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster; and

+ CP-6(3)[1] +
+ +

outlines explicit mitigation actions for such potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.

+ CP-6(3)[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan alternate storage site responsibilities

+ INTERVIEW +
+
+ + + NIST Special Publication 800-34 + + +
+ + ALTERNATE PROCESSING SITE + + organization-defined information system operations + organization-defined information system operations + + + organization-defined time period consistent with recovery time and recovery point objectives + organization-defined time period consistent with recovery time and recovery point objectives + + CP-7 + P1 + MODERATE + HIGH + +

The organization:

+ +

Establishes an alternate processing site including necessary agreements to permit the transfer and resumption of for essential missions/business functions within when the primary processing capabilities are unavailable;

+ CP-7a. +
+ +

Ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site or contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and

+ CP-7b. +
+ +

Ensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.

+ CP-7c. +
+
+ +

Alternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability in the event that the primary processing site is not available. Items covered by alternate processing site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination for the transfer/assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.

+ + + + + + +
+ +

Determine if the organization:

+ + CP-7(a) + +

defines information system operations requiring an alternate processing site to be established to permit the transfer and resumption of such operations;

+ CP-7(a)[1] +
+ +

defines the time period consistent with recovery time objectives and recovery point objectives (as specified in the information system contingency plan) for transfer/resumption of organization-defined information system operations for essential missions/business functions;

+ CP-7(a)[2] +
+ +

establishes an alternate processing site including necessary agreements to permit the transfer and resumption of organization-defined information system operations for essential missions/business functions, within the organization-defined time period, when the primary processing capabilities are unavailable;

+ CP-7(a)[3] +
+
+ + CP-7(b) + +

ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site; or

+ CP-7(b)[1] +
+ +

ensures that contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and

+ CP-7(b)[2] +
+
+ +

ensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.

+ CP-7(c) +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements

+ INTERVIEW +
+ +

Organizational processes for recovery at the alternate site

+ TEST +
+ + SEPARATION FROM PRIMARY SITE + CP-7 (1) + MODERATE + HIGH + +

The organization identifies an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats.

+
+ +

Threats that affect alternate processing sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.

+ +
+ +

Determine if the organization identifies an alternate processing site that is separated from the primary storage site to reduce susceptibility to the same threats.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan alternate processing site responsibilities

+ INTERVIEW +
+
+ + ACCESSIBILITY + CP-7 (2) + MODERATE + HIGH + +

The organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.

+
+ +

Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk.

+ +
+ +

Determine if the organization:

+ +

identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster; and

+ CP-7(2)[1] +
+ +

outlines explicit mitigation actions for such potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster.

+ CP-7(2)[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan alternate processing site responsibilities

+ INTERVIEW +
+
+ + PRIORITY OF SERVICE + CP-7 (3) + MODERATE + HIGH + +

The organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives).

+
+ +

Priority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources at the alternate processing site.

+
+ +

Determine if the organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan).

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan alternate processing site responsibilities

+ INTERVIEW +
+
+ + PREPARATION FOR USE + CP-7 (4) + HIGH + +

The organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.

+
+ +

Site preparation includes, for example, establishing configuration settings for information system components at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and other logistical considerations are in place.

+ + +
+ +

Determine if the organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan alternate processing site responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing recovery at the alternate processing site

+ TEST +
+
+ + EQUIVALENT INFORMATION SECURITY SAFEGUARDS + CP-7 (5) + +

Incorporated into CP-7.

+
+ +
+ + INABILITY TO RETURN TO PRIMARY SITE + CP-7 (6) + +

The organization plans and prepares for circumstances that preclude returning to the primary processing site.

+
+ +

Determine if the organization plans and prepares for circumstances that preclude returning to the primary processing site.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with information system reconstitution responsibilities

+ INTERVIEW +
+
+ + + NIST Special Publication 800-34 + + +
+ + TELECOMMUNICATIONS SERVICES + + organization-defined information system operations + organization-defined information system operations + + + organization-defined time period + organization-defined time period + + CP-8 + P1 + MODERATE + HIGH + +

The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of for essential missions and business functions within when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.

+
+ +

This control applies to telecommunications services (data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions/business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary/alternate sites. Alternate telecommunications services include, for example, additional organizational or commercial ground-based circuits/lines or satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.

+ + + +
+ +

Determine if the organization:

+ +

defines information system operations requiring alternate telecommunications services to be established to permit the resumption of such operations;

+ CP-8[1] +
+ +

defines the time period to permit resumption of organization-defined information system operations for essential missions and business functions; and

+ CP-8[2] +
+ +

establishes alternate telecommunications services including necessary agreements to permit the resumption of organization-defined information system operations for essential missions and business functions, within the organization-defined time period, when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.

+ CP-8[3] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan telecommunications responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting telecommunications

+ TEST +
+ + PRIORITY OF SERVICE PROVISIONS + CP-8 (1) + MODERATE + HIGH + +

The organization:

+ +

Develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives); and

+ CP-8 (1)(a) +
+ +

Requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.

+ CP-8 (1)(b) +
+
+ +

Organizations consider the potential mission/business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions.

+
+ +

Determine if the organization:

+ +

develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan); and

+ CP-8(1)[1] +
+ +

requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.

+ CP-8(1)[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan telecommunications responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting telecommunications

+ TEST +
+
+ + SINGLE POINTS OF FAILURE + CP-8 (2) + MODERATE + HIGH + +

The organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.

+
+ +

Determine if the organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan telecommunications responsibilities

+ INTERVIEW +
+
+ + SEPARATION OF PRIMARY / ALTERNATE PROVIDERS + CP-8 (3) + HIGH + +

The organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.

+
+ +

Threats that affect telecommunications services are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber/physical attacks, and errors of omission/commission. Organizations seek to reduce common susceptibilities by, for example, minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services meeting the separation needs addressed in the risk assessment.

+
+ +

Determine if the organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency plan telecommunications responsibilities

+ INTERVIEW +
+
+ + PROVIDER CONTINGENCY PLAN + CP-8 (4) + HIGH + +

The organization:

+ +

Requires primary and alternate telecommunications service providers to have contingency plans;

+ CP-8 (4)(a) +
+ +

Reviews provider contingency plans to ensure that the plans meet organizational contingency requirements; and

+ CP-8 (4)(b) +
+ +

Obtains evidence of contingency testing/training by providers .

+ CP-8 (4)(c) +
+
+ +

Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security, state, and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training.

+
+ +

Determine if the organization:

+ + CP-8(4)(a) + +

requires primary telecommunications service provider to have contingency plans;

+ CP-8(4)(a)[1] +
+ +

requires alternate telecommunications service provider(s) to have contingency plans;

+ CP-8(4)(a)[2] +
+
+ +

reviews provider contingency plans to ensure that the plans meet organizational contingency requirements;

+ CP-8(4)(b) +
+ + CP-8(4)(c) + +

defines the frequency to obtain evidence of contingency testing/training by providers; and

+ CP-8(4)(c)[1] +
+ +

obtains evidence of contingency testing/training by providers with the organization-defined frequency.

+ CP-8(4)(c)[2] +
+
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning, plan implementation, and testing responsibilities

+ INTERVIEW +
+ + organization-defined frequency + organization-defined frequency + +
+ + ALTERNATE TELECOMMUNICATION SERVICE TESTING + CP-8 (5) + +

The organization tests alternate telecommunication services .

+
+ +

Determine if the organization:

+ +

defines the frequency to test alternate telecommunication services; and

+ CP-8(5)[1] +
+ +

tests alternate telecommunication services with the organization-defined frequency.

+ CP-8(5)[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning, plan implementation, and testing responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting testing alternate telecommunications services

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+ + + NIST Special Publication 800-34 + + + National Communications Systems Directive 3-10 + + + http://www.dhs.gov/telecommunications-service-priority-tsp + + +
+ + INFORMATION SYSTEM BACKUP + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + + organization-defined frequency consistent with recovery time and recovery point objectives + organization-defined frequency consistent with recovery time and recovery point objectives + + CP-9 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Conducts backups of user-level information contained in the information system ;

+ CP-9a. +
+ +

Conducts backups of system-level information contained in the information system ;

+ CP-9b. +
+ +

Conducts backups of information system documentation including security-related documentation ; and

+ CP-9c. +
+ +

Protects the confidentiality, integrity, and availability of backup information at storage locations.

+ CP-9d. +
+
+ +

System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.

+ + + + + +
+ +

Determine if the organization:

+ + CP-9(a) + +

defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of user-level information contained in the information system;

+ CP-9(a)[1] +
+ +

conducts backups of user-level information contained in the information system with the organization-defined frequency;

+ CP-9(a)[2] +
+
+ + CP-9(b) + +

defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of system-level information contained in the information system;

+ CP-9(b)[1] +
+ +

conducts backups of system-level information contained in the information system with the organization-defined frequency;

+ CP-9(b)[2] +
+
+ + CP-9(c) + +

defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of information system documentation including security-related documentation;

+ CP-9(c)[1] +
+ +

conducts backups of information system documentation, including security-related documentation, with the organization-defined frequency; and

+ CP-9(c)[2] +
+
+ +

protects the confidentiality, integrity, and availability of backup information at storage locations.

+ CP-9(d) +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with information system backup responsibilities

+ INTERVIEW +
+ +

Organizational processes for conducting information system backups

+ TEST +
+ + TESTING FOR RELIABILITY / INTEGRITY + CP-9 (1) + MODERATE + HIGH + +

The organization tests backup information to verify media reliability and information integrity.

+
+ + + + +

Determine if the organization:

+ +

defines the frequency to test backup information to verify media reliability and information integrity; and

+ CP-9(1)[1] +
+ +

tests backup information with the organization-defined frequency to verify media reliability and information integrity.

+ CP-9(1)[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with information system backup responsibilities

+ INTERVIEW +
+ +

Organizational processes for conducting information system backups

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+ + TEST RESTORATION USING SAMPLING + CP-9 (2) + HIGH + +

The organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.

+
+ + + + +

Determine if the organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with information system backup responsibilities

+ INTERVIEW +
+ +

Organizational processes for conducting information system backups

+ TEST +
+
+ + SEPARATE STORAGE FOR CRITICAL INFORMATION + CP-9 (3) + HIGH + +

The organization stores backup copies of in a separate facility or in a fire-rated container that is not collocated with the operational system.

+
+ +

Critical information system software includes, for example, operating systems, cryptographic key management systems, and intrusion detection/prevention systems. Security-related information includes, for example, organizational inventories of hardware, software, and firmware components. Alternate storage sites typically serve as separate storage facilities for organizations.

+ + +
+ +

Determine if the organization:

+ + CP-9(3)[1] + +

defines critical information system software and other security-related information requiring backup copies to be stored in a separate facility; or

+ CP-9(3)[1][a] +
+ +

defines critical information system software and other security-related information requiring backup copies to be stored in a fire-rated container that is not collocated with the operational system; and

+ CP-9(3)[1][b] +
+
+ +

stores backup copies of organization-defined critical information system software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the operational system.

+ CP-9(3)[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning and plan implementation responsibilities

+ INTERVIEW +
+ + organization-defined critical information system software and other security-related information + organization-defined critical information system software and other security-related information + +
+ + PROTECTION FROM UNAUTHORIZED MODIFICATION + CP-9 (4) + +

Incorporated into CP-9.

+
+ +
+ + TRANSFER TO ALTERNATE STORAGE SITE + CP-9 (5) + HIGH + +

The organization transfers information system backup information to the alternate storage site .

+
+ +

Information system backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media.

+
+ +

Determine if the organization:

+ +

defines a time period, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site;

+ CP-9(5)[1] +
+ +

defines a transfer rate, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site; and

+ CP-9(5)[2] +
+ +

transfers information system backup information to the alternate storage site with the organization-defined time period and transfer rate.

+ CP-9(5)[3] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with information system backup responsibilities

+ INTERVIEW +
+ +

Organizational processes for transferring information system backups to the alternate storage site

+ TEST +
+ + organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives + organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives + +
+ + REDUNDANT SECONDARY SYSTEM + CP-9 (6) + +

The organization accomplishes information system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations.

+
+ + + + + +

Determine if the organization accomplishes information system backup by maintaining a redundant secondary system that:

+ +

is not collocated with the primary system; and

+ CP-9(6)[1] +
+ +

can be activated without loss of information or disruption to operations.

+ CP-9(6)[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with information system backup responsibilities

+ INTERVIEW +
+ +

Organizational processes for maintaining redundant secondary systems

+ TEST +
+
+ + DUAL AUTHORIZATION + CP-9 (7) + +

The organization enforces dual authorization for the deletion or destruction of .

+
+ +

Dual authorization ensures that the deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting/destroying backup information possess sufficient skills/expertise to determine if the proposed deletion/destruction of backup information reflects organizational policies and procedures. Dual authorization may also be known as two-person control.

+ + +
+ +

Determine if the organization:

+ +

defines backup information that requires dual authorization to be enforced for the deletion or destruction of such information; and

+ CP-9(7)[1] +
+ +

enforces dual authorization for the deletion or destruction of organization-defined backup information.

+ CP-9(7)[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with information system backup responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing dual authorization

+ TEST +
+ + organization-defined backup information + organization-defined backup information + +
+ + + NIST Special Publication 800-34 + + +
+ + INFORMATION SYSTEM RECOVERY AND RECONSTITUTION + CP-10 + P1 + LOW + MODERATE + HIGH + +

The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.

+
+ +

Recovery is executing information system contingency plan activities to restore organizational missions/business functions. Reconstitution takes place following recovery and includes activities for returning organizational information systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point/time and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim information system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored information system capabilities, reestablishment of continuous monitoring activities, potential information system reauthorizations, and activities to prepare the systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.

+ + + + + + + + +
+ +

Determine if the organization provides for:

+ +

the recovery of the information system to a known state after:

+ CP-10[1] + +

a disruption;

+ CP-10[1][a] +
+ +

a compromise; or

+ CP-10[1][b] +
+ +

a failure;

+ CP-10[1][c] +
+
+ +

the reconstitution of the information system to a known state after:

+ CP-10[2] + +

a disruption;

+ CP-10[2][a] +
+ +

a compromise; or

+ CP-10[2][b] +
+ +

a failure.

+ CP-10[2][c] +
+
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning, recovery, and/or reconstitution responsibilities

+ INTERVIEW +
+ +

Organizational processes implementing information system recovery and reconstitution operations

+ TEST +
+ + CONTINGENCY PLAN TESTING + CP-10 (1) + +

Incorporated into CP-4.

+
+ +
+ + TRANSACTION RECOVERY + CP-10 (2) + MODERATE + HIGH + +

The information system implements transaction recovery for systems that are transaction-based.

+
+ +

Transaction-based information systems include, for example, database management systems and transaction processing systems. Mechanisms supporting transaction recovery include, for example, transaction rollback and transaction journaling.

+
+ +

Determine if the information system implements transaction recovery for systems that are transaction-based.

+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for transaction recovery

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing transaction recovery capability

+ TEST +
+
+ + COMPENSATING SECURITY CONTROLS + CP-10 (3) + +

Addressed through tailoring procedures.

+
+ Chapter 3 +
+ + RESTORE WITHIN TIME PERIOD + CP-10 (4) + HIGH + +

The organization provides the capability to restore information system components within from configuration-controlled and integrity-protected information representing a known, operational state for the components.

+
+ +

Restoration of information system components includes, for example, reimaging which restores components to known, operational states.

+ +
+ +

Determine if the organization:

+ +

defines a time period to restore information system components from configuration-controlled and integrity-protected information representing a known, operational state for the components; and

+ CP-10(4)[1] +
+ +

provides the capability to restore information system components within the organization-defined time period from configuration-controlled and integrity-protected information representing a known, operational state for the components.

+ CP-10(4)[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with information system recovery and reconstitution responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing recovery/reconstitution of information system information

+ TEST +
+ + organization-defined restoration time-periods + organization-defined restoration time-periods + +
+ + FAILOVER CAPABILITY + CP-10 (5) + +

Incorporated into SI-13.

+
+ +
+ + COMPONENT PROTECTION + CP-10 (6) + +

The organization protects backup and restoration hardware, firmware, and software.

+
+ +

Protection of backup and restoration hardware, firmware, and software components includes both physical and technical safeguards. Backup and restoration software includes, for example, router tables, compilers, and other security-relevant system software.

+ + + +
+ +

Determine if the organization protects backup and restoration:

+ +

hardware;

+ CP-10(6)[1] +
+ +

firmware; and

+ CP-10(6)[2] +
+ +

software.

+ CP-10(6)[3] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with information system recovery and reconstitution responsibilities

+ INTERVIEW +
+ +

Organizational processes for protecting backup and restoration hardware, firmware, and software

+ TEST +
+
+ + + Federal Continuity Directive 1 + + + NIST Special Publication 800-34 + + +
+ + ALTERNATE COMMUNICATIONS PROTOCOLS + + organization-defined alternative communications protocols + organization-defined alternative communications protocols + + CP-11 + P0 + +

The information system provides the capability to employ in support of maintaining continuity of operations.

+
+ +

Contingency plans and the associated training and testing for those plans, incorporate an alternate communications protocol capability as part of increasing the resilience of organizational information systems. Alternate communications protocols include, for example, switching from Transmission Control Protocol/Internet Protocol (TCP/IP) Version 4 to TCP/IP Version 6. Switching communications protocols may affect software applications and therefore, the potential side effects of introducing alternate communications protocols are analyzed prior to implementation.

+
+ +

Determine if:

+ +

the organization defines alternative communications protocols to be employed in support of maintaining continuity of operations; and

+ CP-11[1] +
+ +

the information system provides the capability to employ organization-defined alternative communications protocols in support of maintaining continuity of operations.

+ CP-11[2] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with contingency planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Automated mechanisms employing alternative communications protocols

+ TEST +
+
+ + SAFE MODE + + organization-defined conditions + organization-defined conditions + + + organization-defined restrictions of safe mode of operation + organization-defined restrictions of safe mode of operation + + CP-12 + P0 + +

The information system, when are detected, enters a safe mode of operation with .

+
+ +

For information systems supporting critical missions/business functions including, for example, military operations and weapons systems, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments), organizations may choose to identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated automatically or manually, restricts the types of activities or operations information systems could execute when those conditions are encountered. Restriction includes, for example, allowing only certain functions that could be carried out under limited power or with reduced communications bandwidth.

+
+ +

Determine if:

+ +

the organization defines conditions that, when detected, requires the information system to enter a safe mode of operation;

+ CP-12[1] +
+ +

the organization defines restrictions of safe mode of operation; and

+ CP-12[2] +
+ +

the information system, when organization-defined conditions are detected, enters a safe mode of operation with organization-defined restrictions of safe mode of operation.

+ CP-12[3] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with information system operation responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing safe mode of operation

+ TEST +
+
+ + ALTERNATIVE SECURITY MECHANISMS + + organization-defined alternative or supplemental security mechanisms + organization-defined alternative or supplemental security mechanisms + + + organization-defined security functions + organization-defined security functions + + CP-13 + P0 + +

The organization employs for satisfying when the primary means of implementing the security function is unavailable or compromised.

+
+ +

This control supports information system resiliency and contingency planning/continuity of operations. To ensure mission/business continuity, organizations can implement alternative or supplemental security mechanisms. These mechanisms may be less effective than the primary mechanisms (e.g., not as easy to use, not as scalable, or not as secure). However, having the capability to readily employ these alternative/supplemental mechanisms enhances overall mission/business continuity that might otherwise be adversely impacted if organizational operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, this control would typically be applied only to critical security capabilities provided by information systems, system components, or information system services. For example, an organization may issue to senior executives and system administrators one-time pads in case multifactor tokens, the organization�s standard means for secure remote authentication, is compromised.

+ +
+ +

Determine if the organization:

+ +

defines alternative or supplemental security mechanisms to be employed when the primary means of implementing the security function is unavailable or compromised;

+ CP-13[1] +
+ +

defines security functions to be satisfied using organization-defined alternative or supplemental security mechanisms when the primary means of implementing the security function is unavailable or compromised; and

+ CP-13[2] +
+ +

employs organization-defined alternative or supplemental security mechanisms satisfying organization-defined security functions when the primary means of implementing the security function is unavailable or compromised.

+ CP-13[3] +
+
+ +

Contingency planning policy

+ EXAMINE +
+ +

Organizational personnel with information system operation responsibilities

+ INTERVIEW +
+ +

Information system capability implementing alternative security mechanisms

+ TEST +
+
+
+ + IDENTIFICATION AND AUTHENTICATION + + IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + IA-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ IA-1a. + +

An identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ IA-1a.1. +
+ +

Procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls; and

+ IA-1a.2. +
+
+ +

Reviews and updates the current:

+ IA-1b. + +

Identification and authentication policy ; and

+ IA-1b.1. +
+ +

Identification and authentication procedures .

+ IA-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + IA-1(a)(1) + +

develops and documents an identification and authentication policy that addresses:

+ IA-1(a)(1)[1] + +

purpose;

+ IA-1(a)(1)[1][a] +
+ +

scope;

+ IA-1(a)(1)[1][b] +
+ +

roles;

+ IA-1(a)(1)[1][c] +
+ +

responsibilities;

+ IA-1(a)(1)[1][d] +
+ +

management commitment;

+ IA-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ IA-1(a)(1)[1][f] +
+ +

compliance;

+ IA-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the identification and authentication policy is to be disseminated; and

+ IA-1(a)(1)[2] +
+ +

disseminates the identification and authentication policy to organization-defined personnel or roles;

+ IA-1(a)(1)[3] +
+
+ + IA-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls;

+ IA-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ IA-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ IA-1(a)(2)[3] +
+
+ + IA-1(b)(1) + +

defines the frequency to review and update the current identification and authentication policy;

+ IA-1(b)(1)[1] +
+ +

reviews and updates the current identification and authentication policy with the organization-defined frequency; and

+ IA-1(b)(1)[2] +
+
+ + IA-1(b)(2) + +

defines the frequency to review and update the current identification and authentication procedures; and

+ IA-1(b)(2)[1] +
+ +

reviews and updates the current identification and authentication procedures with the organization-defined frequency.

+ IA-1(b)(2)[2] +
+
+
+ +

Identification and authentication policy and procedures

+ EXAMINE +
+ +

Organizational personnel with identification and authentication responsibilities

+ INTERVIEW +
+ + + FIPS Publication 201 + + + NIST Special Publication 800-12 + + + NIST Special Publication 800-63 + + + NIST Special Publication 800-73 + + + NIST Special Publication 800-76 + + + NIST Special Publication 800-78 + + + NIST Special Publication 800-100 + + +
+ + IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) + IA-2 + P1 + LOW + MODERATE + HIGH + +

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

+
+ +

Organizational users include employees or individuals that organizations deem to have equivalent status of employees (e.g., contractors, guest researchers). This control applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC-14; and (ii) accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations employ passwords, tokens, or biometrics to authenticate user identities, or in the case multifactor authentication, or some combination thereof. Access to organizational information systems is defined as either local access or network access. Local access is any access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained by direct connections without the use of networks. Network access is access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks (e.g., the Internet). Internal networks include local area networks and wide area networks. In addition, the use of encrypted virtual private networks (VPNs) for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks from the perspective of protecting the confidentiality and integrity of information traversing the network. Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12 consistent with the specific organizational implementation plans. Multifactor authentication requires the use of two or more different factors to achieve authentication. The factors are defined as: (i) something you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g., cryptographic identification device, token); or (iii) something you are (e.g., biometric). Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card. In addition to identifying and authenticating users at the information system level (i.e., at logon), organizations also employ identification and authentication mechanisms at the application level, when necessary, to provide increased information security. Identification and authentication requirements for other than organizational users are described in IA-8.

+ + + + + + + + +
+ +

Determine if the information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Organizational processes for uniquely identifying and authenticating users

+ TEST +
+ + NETWORK ACCESS TO PRIVILEGED ACCOUNTS + IA-2 (1) + LOW + MODERATE + HIGH + +

The information system implements multifactor authentication for network access to privileged accounts.

+
+ + + + +

Determine if the information system implements multifactor authentication for network access to privileged accounts.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing multifactor authentication capability

+ TEST +
+
+ + NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS + IA-2 (2) + MODERATE + HIGH + +

The information system implements multifactor authentication for network access to non-privileged accounts.

+
+ +

Determine if the information system implements multifactor authentication for network access to non-privileged accounts.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing multifactor authentication capability

+ TEST +
+
+ + LOCAL ACCESS TO PRIVILEGED ACCOUNTS + IA-2 (3) + MODERATE + HIGH + +

The information system implements multifactor authentication for local access to privileged accounts.

+
+ + + + +

Determine if the information system implements multifactor authentication for local access to privileged accounts.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing multifactor authentication capability

+ TEST +
+
+ + LOCAL ACCESS TO NON-PRIVILEGED ACCOUNTS + IA-2 (4) + HIGH + +

The information system implements multifactor authentication for local access to non-privileged accounts.

+
+ +

Determine if the information system implements multifactor authentication for local access to non-privileged accounts.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing multifactor authentication capability

+ TEST +
+
+ + GROUP AUTHENTICATION + IA-2 (5) + +

The organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.

+
+ +

Requiring individuals to use individual authenticators as a second level of authentication helps organizations to mitigate the risk of using group authenticators.

+
+ +

Determine if the organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing authentication capability for group accounts

+ TEST +
+
+ + NETWORK ACCESS TO PRIVILEGED ACCOUNTS - SEPARATE DEVICE + IA-2 (6) + +

The information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets .

+
+ + + + +

Determine if:

+ +

the information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;

+ IA-2(6)[1] +
+ +

the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining network access to privileged accounts; and

+ IA-2(6)[2] +
+ +

the information system implements multifactor authentication for network access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.

+ IA-2(6)[3] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing multifactor authentication capability

+ TEST +
+ + organization-defined strength of mechanism requirements + organization-defined strength of mechanism requirements + +
+ + NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - SEPARATE DEVICE + IA-2 (7) + +

The information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets .

+
+ +

Determine if:

+ +

the information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;

+ IA-2(7)[1] +
+ +

the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining network access to non-privileged accounts; and

+ IA-2(7)[2] +
+ +

the information system implements multifactor authentication for network access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.

+ IA-2(7)[3] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing multifactor authentication capability

+ TEST +
+ + organization-defined strength of mechanism requirements + organization-defined strength of mechanism requirements + +
+ + NETWORK ACCESS TO PRIVILEGED ACCOUNTS - REPLAY RESISTANT + IA-2 (8) + MODERATE + HIGH + +

The information system implements replay-resistant authentication mechanisms for network access to privileged accounts.

+
+ +

Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.

+
+ +

Determine if the information system implements replay-resistant authentication mechanisms for network access to privileged accounts.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identification and authentication capability

+ TEST +
+
+ + NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - REPLAY RESISTANT + IA-2 (9) + HIGH + +

The information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.

+
+ +

Authentication processes resist replay attacks if it is impractical to achieve successful authentications by recording/replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.

+
+ +

Determine if the information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identification and authentication capability

+ TEST +
+
+ + SINGLE SIGN-ON + IA-2 (10) + +

The information system provides a single sign-on capability for .

+
+ +

Single sign-on enables users to log in once and gain access to multiple information system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the increased risk from disclosures of single authenticators providing access to multiple system resources.

+
+ +

Determine if:

+ +

the organization defines a list of information system accounts and services for which a single sign-on capability must be provided; and

+ IA-2(10)[1] +
+ +

the information system provides a single sign-on capability for organization-defined information system accounts and services.

+ IA-2(10)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identification and authentication capability

+ TEST +
+ + organization-defined information system accounts and services + organization-defined information system accounts and services + +
+ + REMOTE ACCESS - SEPARATE DEVICE + IA-2 (11) + MODERATE + HIGH + +

The information system implements multifactor authentication for remote access to privileged and non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets .

+
+ +

For remote access to privileged/non-privileged accounts, the purpose of requiring a device that is separate from the information system gaining access for one of the factors during multifactor authentication is to reduce the likelihood of compromising authentication credentials stored on the system. For example, adversaries deploying malicious code on organizational information systems can potentially compromise such credentials resident on the system and subsequently impersonate authorized users.

+ +
+ +

Determine if:

+ +

the information system implements multifactor authentication for remote access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;

+ IA-2(11)[1] +
+ +

the information system implements multifactor authentication for remote access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;

+ IA-2(11)[2] +
+ +

the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to privileged accounts;

+ IA-2(11)[3] +
+ +

the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to non-privileged accounts;

+ IA-2(11)[4] +
+ +

the information system implements multifactor authentication for remote access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements; and

+ IA-2(11)[5] +
+ +

the information system implements multifactor authentication for remote access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.

+ IA-2(11)[6] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identification and authentication capability

+ TEST +
+ + organization-defined strength of mechanism requirements + organization-defined strength of mechanism requirements + +
+ + ACCEPTANCE OF PIV CREDENTIALS + IA-2 (12) + LOW + MODERATE + HIGH + +

The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials.

+
+ +

This control enhancement applies to organizations implementing logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.

+ + + +
+ +

Determine if the information system:

+ +

accepts Personal Identity Verification (PIV) credentials; and

+ IA-2(12)[1] +
+ +

electronically verifies Personal Identity Verification (PIV) credentials.

+ IA-2(12)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing acceptance and verification of PIV credentials

+ TEST +
+
+ + OUT-OF-BAND AUTHENTICATION + IA-2 (13) + +

The information system implements under .

+
+ +

Out-of-band authentication (OOBA) refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path), is used to identify and authenticate users or devices, and generally is the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access, and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user�s cell phone to verify that the requested action originated from the user. The user may either confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. This type of authentication can be employed by organizations to mitigate actual or suspected man-in the-middle attacks. The conditions for activation can include, for example, suspicious activities, new threat indicators or elevated threat levels, or the impact level or classification level of information in requested transactions.

+ + + +
+ +

Determine if:

+ +

the organization defines out-of-band authentication to be implemented by the information system;

+ IA-2(13)[1] +
+ +

the organization defines conditions under which the information system implements organization-defined out-of-band authentication; and

+ IA-2(13)[2] +
+ +

the information system implements organization-defined out-of-band authentication under organization-defined conditions.

+ IA-2(13)[3] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing out-of-band authentication capability

+ TEST +
+ + organization-defined out-of-band authentication + organization-defined out-of-band authentication + + + organization-defined conditions + organization-defined conditions + +
+ + + HSPD-12 + + + OMB Memorandum 04-04 + + + OMB Memorandum 06-16 + + + OMB Memorandum 11-11 + + + FIPS Publication 201 + + + NIST Special Publication 800-63 + + + NIST Special Publication 800-73 + + + NIST Special Publication 800-76 + + + NIST Special Publication 800-78 + + + FICAM Roadmap and Implementation Guidance + + + http://idmanagement.gov + + +
+ + DEVICE IDENTIFICATION AND AUTHENTICATION + + organization-defined specific and/or types of devices + organization-defined specific and/or types of devices + + IA-3 + P1 + MODERATE + HIGH + +

The information system uniquely identifies and authenticates before establishing a [Selection (one or more): local; remote; network] connection.

+
+ +

Organizational devices requiring unique device-to-device identification and authentication may be defined by type, by device, or by a combination of type/device. Information systems typically use either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on local and/or wide area networks. Organizations determine the required strength of authentication mechanisms by the security categories of information systems. Because of the challenges of applying this control on large scale, organizations are encouraged to only apply the control to those limited number (and type) of devices that truly need to support this capability.

+ + + + + + +
+ +

Determine if:

+ +

the organization defines specific and/or types of devices that the information system uniquely identifies and authenticates before establishing one or more of the following:

+ IA-3[1] + +

a local connection;

+ IA-3[1][a] +
+ +

a remote connection; and/or

+ IA-3[1][b] +
+ +

a network connection; and

+ IA-3[1][c] +
+
+ +

the information system uniquely identifies and authenticates organization-defined devices before establishing one or more of the following:

+ IA-3[2] + +

a local connection;

+ IA-3[2][a] +
+ +

a remote connection; and/or

+ IA-3[2][b] +
+ +

a network connection.

+ IA-3[2][c] +
+
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with operational responsibilities for device identification and authentication

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing device identification and authentication capability

+ TEST +
+ + CRYPTOGRAPHIC BIDIRECTIONAL AUTHENTICATION + IA-3 (1) + +

The information system authenticates before establishing [Selection (one or more): local; remote; network] connection using bidirectional authentication that is cryptographically based.

+
+ +

A local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network (e.g., local area or wide area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk (e.g., remote connections).

+ + + +
+ +

Determine if:

+ +

the organization defines specific and/or types of devices requiring use of cryptographically based, bidirectional authentication to authenticate before establishing one or more of the following:

+ IA-3(1)[1] + +

a local connection;

+ IA-3(1)[1][a] +
+ +

a remote connection; and/or

+ IA-3(1)[1][b] +
+ +

a network connection;

+ IA-3(1)[1][c] +
+
+ +

the information system uses cryptographically based bidirectional authentication to authenticate organization-defined devices before establishing one or more of the following:

+ IA-3(1)[2] + +

a local connection;

+ IA-3(1)[2][a] +
+ +

a remote connection; and/or

+ IA-3(1)[2][b] +
+ +

a network connection.

+ IA-3(1)[2][c] +
+
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with operational responsibilities for device identification and authentication

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing device authentication capability

+ TEST +
+ + organization-defined specific devices and/or types of devices + organization-defined specific devices and/or types of devices + +
+ + CRYPTOGRAPHIC BIDIRECTIONAL NETWORK AUTHENTICATION + IA-3 (2) + +

Incorporated into IA-3 (1).

+
+ +
+ + DYNAMIC ADDRESS ALLOCATION + IA-3 (3) + +

The organization:

+ +

Standardizes dynamic address allocation lease information and the lease duration assigned to devices in accordance with ; and

+ IA-3 (3)(a) +
+ +

Audits lease information when assigned to a device.

+ IA-3 (3)(b) +
+
+ +

DHCP-enabled clients obtaining leases for IP addresses from DHCP servers, is a typical example of dynamic address allocation for devices.

+ + + + +
+ +

Determine if the organization:

+ + IA-3(3)(a) + +

defines lease information to be employed to standardize dynamic address allocation for devices;

+ IA-3(3)(a)[1] +
+ +

defines lease duration to be employed to standardize dynamic address allocation for devices;

+ IA-3(3)(a)[2] +
+ +

standardizes dynamic address allocation of lease information assigned to devices in accordance with organization-defined lease information;

+ IA-3(3)(a)[3] +
+ +

standardizes dynamic address allocation of the lease duration assigned to devices in accordance with organization-defined lease duration; and

+ IA-3(3)(a)[4] +
+
+ +

audits lease information when assigned to a device.

+ IA-3(3)(b) +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with operational responsibilities for device identification and authentication

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing device identification and authentication capability

+ TEST +
+ + organization-defined lease information and lease duration + organization-defined lease information and lease duration + +
+ + DEVICE ATTESTATION + IA-3 (4) + +

The organization ensures that device identification and authentication based on attestation is handled by .

+
+ +

Device attestation refers to the identification and authentication of a device based on its configuration and known operating state. This might be determined via some cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the those patches/updates are done securely and at the same time do not disrupt the identification and authentication to other devices.

+
+ +

Determine if the organization:

+ +

defines configuration management process to be employed to handle device identification and authentication based on attestation; and

+ IA-3(4)[1] +
+ +

ensures that device identification and authentication based on attestation is handled by organization-defined configuration management process.

+ IA-3(4)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with operational responsibilities for device identification and authentication

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing device identification and authentication capability

+ TEST +
+ + organization-defined configuration management process + organization-defined configuration management process + +
+
+ + IDENTIFIER MANAGEMENT + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + + organization-defined time period of inactivity + organization-defined time period of inactivity + + IA-4 + P1 + LOW + MODERATE + HIGH + +

The organization manages information system identifiers by:

+ +

Receiving authorization from to assign an individual, group, role, or device identifier;

+ IA-4a. +
+ +

Selecting an identifier that identifies an individual, group, role, or device;

+ IA-4b. +
+ +

Assigning the identifier to the intended individual, group, role, or device;

+ IA-4c. +
+ +

Preventing reuse of identifiers for ; and

+ IA-4d. +
+ +

Disabling the identifier after .

+ IA-4e. +
+
+ +

Common device identifiers include, for example, media access control (MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). Typically, individual identifiers are the user names of the information system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. This control also addresses individual identifiers not necessarily associated with information system accounts (e.g., identifiers used in physical security control databases accessed by badge reader systems for access to information systems). Preventing reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.

+ + + + + + +
+ +

Determine if the organization manages information system identifiers by:

+ + IA-4(a) + +

defining personnel or roles from whom authorization must be received to assign:

+ IA-4(a)[1] + +

an individual identifier;

+ IA-4(a)[1][a] +
+ +

a group identifier;

+ IA-4(a)[1][b] +
+ +

a role identifier; and/or

+ IA-4(a)[1][c] +
+ +

a device identifier;

+ IA-4(a)[1][d] +
+
+ +

receiving authorization from organization-defined personnel or roles to assign:

+ IA-4(a)[2] + +

an individual identifier;

+ IA-4(a)[2][a] +
+ +

a group identifier;

+ IA-4(a)[2][b] +
+ +

a role identifier; and/or

+ IA-4(a)[2][c] +
+ +

a device identifier;

+ IA-4(a)[2][d] +
+
+
+ +

selecting an identifier that identifies:

+ IA-4(b) + +

an individual;

+ IA-4(b)[1] +
+ +

a group;

+ IA-4(b)[2] +
+ +

a role; and/or

+ IA-4(b)[3] +
+ +

a device;

+ IA-4(b)[4] +
+
+ +

assigning the identifier to the intended:

+ IA-4(c) + +

individual;

+ IA-4(c)[1] +
+ +

group;

+ IA-4(c)[2] +
+ +

role; and/or

+ IA-4(c)[3] +
+ +

device;

+ IA-4(c)[4] +
+
+ + IA-4(d) + +

defining a time period for preventing reuse of identifiers;

+ IA-4(d)[1] +
+ +

preventing reuse of identifiers for the organization-defined time period;

+ IA-4(d)[2] +
+
+ + IA-4(e) + +

defining a time period of inactivity to disable the identifier; and

+ IA-4(e)[1] +
+ +

disabling the identifier after the organization-defined time period of inactivity.

+ IA-4(e)[2] +
+
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with identifier management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identifier management

+ TEST +
+ + PROHIBIT ACCOUNT IDENTIFIERS AS PUBLIC IDENTIFIERS + IA-4 (1) + +

The organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts.

+
+ +

Prohibiting the use of information systems account identifiers that are the same as some public identifier such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers on organizational information systems.

+ +
+ +

Determine if the organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with identifier management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identifier management

+ TEST +
+
+ + SUPERVISOR AUTHORIZATION + IA-4 (2) + +

The organization requires that the registration process to receive an individual identifier includes supervisor authorization.

+
+ +

Determine if the organization requires that the registration process to receive an individual identifier includes supervisor authorization.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with identifier management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identifier management

+ TEST +
+
+ + MULTIPLE FORMS OF CERTIFICATION + IA-4 (3) + +

The organization requires multiple forms of certification of individual identification be presented to the registration authority.

+
+ +

Requiring multiple forms of identification, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity, or at least increases the work factor of potential adversaries.

+
+ +

Determine if the organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with identifier management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identifier management

+ TEST +
+
+ + IDENTIFY USER STATUS + IA-4 (4) + +

The organization manages individual identifiers by uniquely identifying each individual as .

+
+ +

Characteristics identifying the status of individuals include, for example, contractors and foreign nationals. Identifying the status of individuals by specific characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.

+ +
+ +

Determine if the organization:

+ +

defines a characteristic to be used to identify individual status; and

+ IA-4(4)[1] +
+ +

manages individual identifiers by uniquely identifying each individual as the organization-defined characteristic identifying individual status.

+ IA-4(4)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with identifier management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identifier management

+ TEST +
+ + organization-defined characteristic identifying individual status + organization-defined characteristic identifying individual status + +
+ + DYNAMIC MANAGEMENT + IA-4 (5) + +

The information system dynamically manages identifiers.

+
+ +

In contrast to conventional approaches to identification which presume static accounts for preregistered users, many distributed information systems including, for example, service-oriented architectures, rely on establishing identifiers at run time for entities that were previously unknown. In these situations, organizations anticipate and provision for the dynamic establishment of identifiers. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.

+ +
+ +

Determine if the information system dynamically manages identifiers.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with identifier management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing dynamic identifier management

+ TEST +
+
+ + CROSS-ORGANIZATION MANAGEMENT + IA-4 (6) + +

The organization coordinates with for cross-organization management of identifiers.

+
+ +

Cross-organization identifier management provides the capability for organizations to appropriately identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.

+
+ +

Determine if the organization:

+ +

defines external organizations with whom to coordinate cross-organization management of identifiers; and

+ IA-4(6)[1] +
+ +

coordinates with organization-defined external organizations for cross-organization management of identifiers.

+ IA-4(6)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with identifier management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identifier management

+ TEST +
+ + organization-defined external organizations + organization-defined external organizations + +
+ + IN-PERSON REGISTRATION + IA-4 (7) + +

The organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority.

+
+ +

In-person registration reduces the likelihood of fraudulent identifiers being issued because it requires the physical presence of individuals and actual face-to-face interactions with designated registration authorities.

+
+ +

Determine if the organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with identifier management responsibilities

+ INTERVIEW +
+
+ + + FIPS Publication 201 + + + NIST Special Publication 800-73 + + + NIST Special Publication 800-76 + + + NIST Special Publication 800-78 + + +
+ + AUTHENTICATOR MANAGEMENT + + organization-defined time period by authenticator type + organization-defined time period by authenticator type + + IA-5 + P1 + LOW + MODERATE + HIGH + +

The organization manages information system authenticators by:

+ +

Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator;

+ IA-5a. +
+ +

Establishing initial authenticator content for authenticators defined by the organization;

+ IA-5b. +
+ +

Ensuring that authenticators have sufficient strength of mechanism for their intended use;

+ IA-5c. +
+ +

Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;

+ IA-5d. +
+ +

Changing default content of authenticators prior to information system installation;

+ IA-5e. +
+ +

Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;

+ IA-5f. +
+ +

Changing/refreshing authenticators ;

+ IA-5g. +
+ +

Protecting authenticator content from unauthorized disclosure and modification;

+ IA-5h. +
+ +

Requiring individuals to take, and having devices implement, specific security safeguards to protect authenticators; and

+ IA-5i. +
+ +

Changing authenticators for group/role accounts when membership to those accounts changes.

+ IA-5j. +
+
+ +

Individual authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). In many cases, developers ship information system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored within organizational information systems (e.g., passwords stored in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with administrator privileges). Information systems support individual authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Specific actions that can be taken to safeguard authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing individual authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords.

+ + + + + + + + + + + + + + +
+ +

Determine if the organization manages information system authenticators by:

+ +

verifying, as part of the initial authenticator distribution, the identity of:

+ IA-5(a) + +

the individual receiving the authenticator;

+ IA-5(a)[1] +
+ +

the group receiving the authenticator;

+ IA-5(a)[2] +
+ +

the role receiving the authenticator; and/or

+ IA-5(a)[3] +
+ +

the device receiving the authenticator;

+ IA-5(a)[4] +
+
+ +

establishing initial authenticator content for authenticators defined by the organization;

+ IA-5(b) +
+ +

ensuring that authenticators have sufficient strength of mechanism for their intended use;

+ IA-5(c) +
+ + IA-5(d) + +

establishing and implementing administrative procedures for initial authenticator distribution;

+ IA-5(d)[1] +
+ +

establishing and implementing administrative procedures for lost/compromised or damaged authenticators;

+ IA-5(d)[2] +
+ +

establishing and implementing administrative procedures for revoking authenticators;

+ IA-5(d)[3] +
+
+ +

changing default content of authenticators prior to information system installation;

+ IA-5(e) +
+ + IA-5(f) + +

establishing minimum lifetime restrictions for authenticators;

+ IA-5(f)[1] +
+ +

establishing maximum lifetime restrictions for authenticators;

+ IA-5(f)[2] +
+ +

establishing reuse conditions for authenticators;

+ IA-5(f)[3] +
+
+ + IA-5(g) + +

defining a time period (by authenticator type) for changing/refreshing authenticators;

+ IA-5(g)[1] +
+ +

changing/refreshing authenticators with the organization-defined time period by authenticator type;

+ IA-5(g)[2] +
+
+ +

protecting authenticator content from unauthorized:

+ IA-5(h) + +

disclosure;

+ IA-5(h)[1] +
+ +

modification;

+ IA-5(h)[2] +
+
+ + IA-5(i) + +

requiring individuals to take specific security safeguards to protect authenticators;

+ IA-5(i)[1] +
+ +

having devices implement specific security safeguards to protect authenticators; and

+ IA-5(i)[2] +
+
+ +

changing authenticators for group/role accounts when membership to those accounts changes.

+ IA-5(j) +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with authenticator management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing authenticator management capability

+ TEST +
+ + PASSWORD-BASED AUTHENTICATION + IA-5 (1) + LOW + MODERATE + HIGH + +

The information system, for password-based authentication:

+ +

Enforces minimum password complexity of ;

+ IA-5 (1)(a) +
+ +

Enforces at least the following number of changed characters when new passwords are created: ;

+ IA-5 (1)(b) +
+ +

Stores and transmits only cryptographically-protected passwords;

+ IA-5 (1)(c) +
+ +

Enforces password minimum and maximum lifetime restrictions of ;

+ IA-5 (1)(d) +
+ +

Prohibits password reuse for generations; and

+ IA-5 (1)(e) +
+ +

Allows the use of a temporary password for system logons with an immediate change to a permanent password.

+ IA-5 (1)(f) +
+
+ +

This control enhancement applies to single-factor authentication of individuals using passwords as individual or group authenticators, and in a similar manner, when passwords are part of multifactor authenticators. This control enhancement does not apply when passwords are used to unlock hardware authenticators (e.g., Personal Identity Verification cards). The implementation of such password mechanisms may not meet all of the requirements in the enhancement. Cryptographically-protected passwords include, for example, encrypted versions of passwords and one-way cryptographic hashes of passwords. The number of changed characters refers to the number of changes required with respect to the total number of positions in the current password. Password lifetime restrictions do not apply to temporary passwords. To mitigate certain brute force attacks against passwords, organizations may also consider salting passwords.

+ +
+ +

Determine if, for password-based authentication:

+ + IA-5(1)(a) + +

the organization defines requirements for case sensitivity;

+ IA-5(1)(a)[1] +
+ +

the organization defines requirements for number of characters;

+ IA-5(1)(a)[2] +
+ +

the organization defines requirements for the mix of upper-case letters, lower-case letters, numbers and special characters;

+ IA-5(1)(a)[3] +
+ +

the organization defines minimum requirements for each type of character;

+ IA-5(1)(a)[4] +
+ +

the information system enforces minimum password complexity of organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type;

+ IA-5(1)(a)[5] +
+
+ + IA-5(1)(b) + +

the organization defines a minimum number of changed characters to be enforced when new passwords are created;

+ IA-5(1)(b)[1] +
+ +

the information system enforces at least the organization-defined minimum number of characters that must be changed when new passwords are created;

+ IA-5(1)(b)[2] +
+
+ +

the information system stores and transmits only encrypted representations of passwords;

+ IA-5(1)(c) +
+ + IA-5(1)(d) + +

the organization defines numbers for password minimum lifetime restrictions to be enforced for passwords;

+ IA-5(1)(d)[1] +
+ +

the organization defines numbers for password maximum lifetime restrictions to be enforced for passwords;

+ IA-5(1)(d)[2] +
+ +

the information system enforces password minimum lifetime restrictions of organization-defined numbers for lifetime minimum;

+ IA-5(1)(d)[3] +
+ +

the information system enforces password maximum lifetime restrictions of organization-defined numbers for lifetime maximum;

+ IA-5(1)(d)[4] +
+
+ + IA-5(1)(e) + +

the organization defines the number of password generations to be prohibited from password reuse;

+ IA-5(1)(e)[1] +
+ +

the information system prohibits password reuse for the organization-defined number of generations; and

+ IA-5(1)(e)[2] +
+
+ +

the information system allows the use of a temporary password for system logons with an immediate change to a permanent password.

+ IA-5(1)(f) +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with authenticator management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing password-based authenticator management capability

+ TEST +
+ + organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type + organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type + + + organization-defined number + organization-defined number + + + organization-defined numbers for lifetime minimum, lifetime maximum + organization-defined numbers for lifetime minimum, lifetime maximum + + + organization-defined number + organization-defined number + +
+ + PKI-BASED AUTHENTICATION + IA-5 (2) + MODERATE + HIGH + +

The information system, for PKI-based authentication:

+ +

Validates certifications by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information;

+ IA-5 (2)(a) +
+ +

Enforces authorized access to the corresponding private key;

+ IA-5 (2)(b) +
+ +

Maps the authenticated identity to the account of the individual or group; and

+ IA-5 (2)(c) +
+ +

Implements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.

+ IA-5 (2)(d) +
+
+ +

Status information for certification paths includes, for example, certificate revocation lists or certificate status protocol responses. For PIV cards, validation of certifications involves the construction and verification of a certification path to the Common Policy Root trust anchor including certificate policy processing.

+ +
+ +

Determine if the information system, for PKI-based authentication:

+ + IA-5(2)(a) + +

validates certifications by constructing a certification path to an accepted trust anchor;

+ IA-5(2)(a)[1] +
+ +

validates certifications by verifying a certification path to an accepted trust anchor;

+ IA-5(2)(a)[2] +
+ +

includes checking certificate status information when constructing and verifying the certification path;

+ IA-5(2)(a)[3] +
+
+ +

enforces authorized access to the corresponding private key;

+ IA-5(2)(b) +
+ +

maps the authenticated identity to the account of the individual or group; and

+ IA-5(2)(c) +
+ +

implements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.

+ IA-5(2)(d) +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with PKI-based, authenticator management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing PKI-based, authenticator management capability

+ TEST +
+
+ + IN-PERSON OR TRUSTED THIRD-PARTY REGISTRATION + IA-5 (3) + MODERATE + HIGH + +

The organization requires that the registration process to receive be conducted [Selection: in person; by a trusted third party] before with authorization by .

+
+ +

Determine if the organization:

+ +

defines types of and/or specific authenticators to be received in person or by a trusted third party;

+ IA-5(3)[1] +
+ +

defines the registration authority with oversight of the registration process for receipt of organization-defined types of and/or specific authenticators;

+ IA-5(3)[2] +
+ +

defines personnel or roles responsible for authorizing organization-defined registration authority;

+ IA-5(3)[3] +
+ +

defines if the registration process is to be conducted:

+ IA-5(3)[4] + +

in person; or

+ IA-5(3)[4][a] +
+ +

by a trusted third party; and

+ IA-5(3)[4][b] +
+
+ +

requires that the registration process to receive organization-defined types of and/or specific authenticators be conducted in person or by a trusted third party before organization-defined registration authority with authorization by organization-defined personnel or roles.

+ IA-5(3)[5] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with authenticator management responsibilities

+ INTERVIEW +
+ + organization-defined types of and/or specific authenticators + organization-defined types of and/or specific authenticators + + + organization-defined registration authority + organization-defined registration authority + + + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + AUTOMATED SUPPORT FOR PASSWORD STRENGTH DETERMINATION + IA-5 (4) + +

The organization employs automated tools to determine if password authenticators are sufficiently strong to satisfy .

+
+ +

This control enhancement focuses on the creation of strong passwords and the characteristics of such passwords (e.g., complexity) prior to use, the enforcement of which is carried out by organizational information systems in IA-5 (1).

+ + + +
+ +

Determine if the organization:

+ +

defines requirements to be satisfied by password authenticators; and

+ IA-5(4)[1] +
+ +

employs automated tools to determine if password authenticators are sufficiently strong to satisfy organization-defined requirements.

+ IA-5(4)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with authenticator management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing password-based authenticator management capability

+ TEST +
+ + organization-defined requirements + organization-defined requirements + +
+ + CHANGE AUTHENTICATORS PRIOR TO DELIVERY + IA-5 (5) + +

The organization requires developers/installers of information system components to provide unique authenticators or change default authenticators prior to delivery/installation.

+
+ +

This control enhancement extends the requirement for organizations to change default authenticators upon information system installation, by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to the developers of commercial off-the-shelve information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring information systems or system components.

+
+ +

Determine if the organization requires developers/installers of information system components to:

+ +

provide unique authenticators prior to delivery/installation; or

+ IA-5(5)[1] +
+ +

change default authenticators prior to delivery/installation.

+ IA-5(5)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with authenticator management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing authenticator management capability

+ TEST +
+
+ + PROTECTION OF AUTHENTICATORS + IA-5 (6) + +

The organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.

+
+ +

For information systems containing multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems.

+
+ +

Determine if the organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with authenticator management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing authenticator management capability

+ TEST +
+
+ + NO EMBEDDED UNENCRYPTED STATIC AUTHENTICATORS + IA-5 (7) + +

The organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.

+
+ +

Organizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password).

+
+ +

Determine if the organization ensures that unencrypted static authenticators are not:

+ +

embedded in applications;

+ IA-5(7)[1] +
+ +

embedded in access scripts; or

+ IA-5(7)[2] +
+ +

stored on function keys.

+ IA-5(7)[3] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with authenticator management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing authenticator management capability

+ TEST +
+
+ + MULTIPLE INFORMATION SYSTEM ACCOUNTS + IA-5 (8) + +

The organization implements to manage the risk of compromise due to individuals having accounts on multiple information systems.

+
+ +

When individuals have accounts on multiple information systems, there is the risk that the compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Possible alternatives include, for example: (i) having different authenticators on all systems; (ii) employing some form of single sign-on mechanism; or (iii) including some form of one-time passwords on all systems.

+
+ +

Determine if the organization:

+ +

defines security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems; and

+ IA-5(8)[1] +
+ +

implements organization-defined security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems.

+ IA-5(8)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with authenticator management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing safeguards for authenticator management

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + +
+ + CROSS-ORGANIZATION CREDENTIAL MANAGEMENT + IA-5 (9) + +

The organization coordinates with for cross-organization management of credentials.

+
+ +

Cross-organization management of credentials provides the capability for organizations to appropriately authenticate individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.

+
+ +

Determine if the organization:

+ +

defines external organizations with whom to coordinate cross-organizational management of credentials; and

+ IA-5(9)[1] +
+ +

coordinates with organization-defined external organizations for cross-organizational management of credentials.

+ IA-5(9)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with authenticator management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing safeguards for authenticator management

+ TEST +
+ + organization-defined external organizations + organization-defined external organizations + +
+ + DYNAMIC CREDENTIAL ASSOCIATION + IA-5 (10) + +

The information system dynamically provisions identities.

+
+ +

Authentication requires some form of binding between an identity and the authenticator used to confirm the identity. In conventional approaches, this binding is established by pre-provisioning both the identity and the authenticator to the information system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the information system. New authentication techniques allow the binding between the identity and the authenticator to be implemented outside an information system. For example, with smartcard credentials, the identity and the authenticator are bound together on the card. Using these credentials, information systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.

+
+ +

Determine if the information system dynamically provisions identifiers.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with identifier management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing identifier management capability

+ TEST +
+
+ + HARDWARE TOKEN-BASED AUTHENTICATION + IA-5 (11) + LOW + MODERATE + HIGH + +

The information system, for hardware token-based authentication, employs mechanisms that satisfy .

+
+ +

Hardware token-based authentication typically refers to the use of PKI-based tokens, such as the U.S. Government Personal Identity Verification (PIV) card. Organizations define specific requirements for tokens, such as working with a particular PKI.

+
+ +

Determine if, for hardware token-based authentication:

+ +

the organization defines token quality requirements to be satisfied; and

+ IA-5(11)[1] +
+ +

the information system employs mechanisms that satisfy organization-defined token quality requirements.

+ IA-5(11)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with authenticator management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing hardware token-based authenticator management capability

+ TEST +
+ + organization-defined token quality requirements + organization-defined token quality requirements + +
+ + BIOMETRIC-BASED AUTHENTICATION + IA-5 (12) + +

The information system, for biometric-based authentication, employs mechanisms that satisfy .

+
+ +

Unlike password-based authentication which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide such exact matches. Depending upon the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and stored biometric which serves as the basis of comparison. There will likely be both false positives and false negatives when making such comparisons. The rate at which the false accept and false reject rates are equal is known as the crossover rate. Biometric quality requirements include, for example, acceptable crossover rates, as that essentially reflects the accuracy of the biometric.

+
+ +

Determine if, for biometric-based authentication:

+ +

the organization defines biometric quality requirements to be satisfied; and

+ IA-5(12)[1] +
+ +

the information system employs mechanisms that satisfy organization-defined biometric quality requirements.

+ IA-5(12)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with authenticator management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing biometric-based authenticator management capability

+ TEST +
+ + organization-defined biometric quality requirements + organization-defined biometric quality requirements + +
+ + EXPIRATION OF CACHED AUTHENTICATORS + IA-5 (13) + +

The information system prohibits the use of cached authenticators after .

+
+ +

Determine if:

+ +

the organization defines the time period after which the information system is to prohibit the use of cached authenticators; and

+ IA-5(13)[1] +
+ +

the information system prohibits the use of cached authenticators after the organization-defined time period.

+ IA-5(13)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with authenticator management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing authenticator management capability

+ TEST +
+ + organization-defined time period + organization-defined time period + +
+ + MANAGING CONTENT OF PKI TRUST STORES + IA-5 (14) + +

The organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including networks, operating systems, browsers, and applications.

+
+ +

Determine if the organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including:

+ +

networks;

+ IA-5(14)[1] +
+ +

operating systems;

+ IA-5(14)[2] +
+ +

browsers; and

+ IA-5(14)[3] +
+ +

applications.

+ IA-5(14)[4] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with authenticator management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing PKI-based authenticator management capability

+ TEST +
+
+ + FICAM-APPROVED PRODUCTS AND SERVICES + IA-5 (15) + +

The organization uses only FICAM-approved path discovery and validation products and services.

+
+ +

Federal Identity, Credential, and Access Management (FICAM)-approved path discovery and validation products and services are those products and services that have been approved through the FICAM conformance program, where applicable.

+
+ +

Determine if the organization uses only FICAM-approved path discovery and validation products and services.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with identification and authentication management responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing account management capability

+ TEST +
+
+ + + OMB Memorandum 04-04 + + + OMB Memorandum 11-11 + + + FIPS Publication 201 + + + NIST Special Publication 800-73 + + + NIST Special Publication 800-63 + + + NIST Special Publication 800-76 + + + NIST Special Publication 800-78 + + + FICAM Roadmap and Implementation Guidance + + + http://idmanagement.gov + + +
+ + AUTHENTICATOR FEEDBACK + IA-6 + P2 + LOW + MODERATE + HIGH + +

The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.

+
+ +

The feedback from information systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of information systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (often referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be less significant, and may need to be balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is selected accordingly. Obscuring the feedback of authentication information includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.

+ +
+ +

Determine if the information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information security responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication

+ TEST +
+
+ + CRYPTOGRAPHIC MODULE AUTHENTICATION + IA-7 + P1 + LOW + MODERATE + HIGH + +

The information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.

+
+ +

Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.

+ + +
+ +

Determine if the information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for cryptographic module authentication

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing cryptographic module authentication

+ TEST +
+ + + FIPS Publication 140 + + + http://csrc.nist.gov/groups/STM/cmvp/index.html + + +
+ + IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) + IA-8 + P1 + LOW + MODERATE + HIGH + +

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

+
+ +

Non-organizational users include information system users other than organizational users explicitly covered by IA-2. These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations use risk assessments to determine authentication needs and consider scalability, practicality, and security in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk. IA-2 addresses identification and authentication requirements for access to information systems by organizational users.

+ + + + + + + + + + + +
+ +

Determine if the information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identification and authentication capability

+ TEST +
+ + ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES + IA-8 (1) + LOW + MODERATE + HIGH + +

The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials from other federal agencies.

+
+ +

This control enhancement applies to logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.

+ + + +
+ +

Determine if the information system:

+ +

accepts Personal Identity Verification (PIV) credentials from other agencies; and

+ IA-8(1)[1] +
+ +

electronically verifies Personal Identity Verification (PIV) credentials from other agencies.

+ IA-8(1)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identification and authentication capability

+ TEST +
+
+ + ACCEPTANCE OF THIRD-PARTY CREDENTIALS + IA-8 (2) + LOW + MODERATE + HIGH + +

The information system accepts only FICAM-approved third-party credentials.

+
+ +

This control enhancement typically applies to organizational information systems that are accessible to the general public, for example, public-facing websites. Third-party credentials are those credentials issued by nonfederal government entities approved by the Federal Identity, Credential, and Access Management (FICAM) Trust Framework Solutions initiative. Approved third-party credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. This allows federal government relying parties to trust such credentials at their approved assurance levels.

+ +
+ +

Determine if the information system accepts only FICAM-approved third-party credentials.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identification and authentication capability

+ TEST +
+
+ + USE OF FICAM-APPROVED PRODUCTS + IA-8 (3) + LOW + MODERATE + HIGH + +

The organization employs only FICAM-approved information system components in to accept third-party credentials.

+
+ +

This control enhancement typically applies to information systems that are accessible to the general public, for example, public-facing websites. FICAM-approved information system components include, for example, information technology products and software libraries that have been approved by the Federal Identity, Credential, and Access Management conformance program.

+ +
+ +

Determine if the organization:

+ +

defines information systems in which only FICAM-approved information system components are to be employed to accept third-party credentials; and

+ IA-8(3)[1] +
+ +

employs only FICAM-approved information system components in organization-defined information systems to accept third-party credentials.

+ IA-8(3)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identification and authentication capability

+ TEST +
+ + organization-defined information systems + organization-defined information systems + +
+ + USE OF FICAM-ISSUED PROFILES + IA-8 (4) + LOW + MODERATE + HIGH + +

The information system conforms to FICAM-issued profiles.

+
+ +

This control enhancement addresses open identity management standards. To ensure that these standards are viable, robust, reliable, sustainable (e.g., available in commercial information technology products), and interoperable as documented, the United States Government assesses and scopes identity management standards and technology implementations against applicable federal legislation, directives, policies, and requirements. The result is FICAM-issued implementation profiles of approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute Exchange).

+ +
+ +

Determine if the information system conforms to FICAM-issued profiles.

+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identification and authentication capability

+ TEST +
+
+ + ACCEPTANCE OF PIV-I CREDENTIALS + IA-8 (5) + +

The information system accepts and electronically verifies Personal Identity Verification-I (PIV-I) credentials.

+
+ +

This control enhancement: (i) applies to logical and physical access control systems; and (ii) addresses Non-Federal Issuers (NFIs) of identity cards that desire to interoperate with United States Government Personal Identity Verification (PIV) information systems and that can be trusted by federal government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is suitable for Assurance Level 4 as defined in OMB Memorandum 04-04 and NIST Special Publication 800-63, and multifactor authentication as defined in NIST Special Publication 800-116. PIV-I credentials are those credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified (directly or through another PKI bridge) with the FBCA with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy.

+ +
+ +

Determine if the information system:

+ +

accepts Personal Identity Verification-I (PIV-I) credentials; and

+ IA-8(5)[1] +
+ +

electronically verifies Personal Identity Verification-I (PIV-I) credentials.

+ IA-8(5)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identification and authentication capability

+ TEST +
+
+ + + OMB Memorandum 04-04 + + + OMB Memorandum 11-11 + + + OMB Memorandum 10-06-2011 + + + FICAM Roadmap and Implementation Guidance + + + FIPS Publication 201 + + + NIST Special Publication 800-63 + + + NIST Special Publication 800-116 + + + National Strategy for Trusted Identities in Cyberspace + + + http://idmanagement.gov + + +
+ + SERVICE IDENTIFICATION AND AUTHENTICATION + + organization-defined information system services + organization-defined information system services + + + organization-defined security safeguards + organization-defined security safeguards + + IA-9 + P0 + +

The organization identifies and authenticates using .

+
+ +

This control supports service-oriented architectures and other distributed architectural approaches requiring the identification and authentication of information system services. In such architectures, external services often appear dynamically. Therefore, information systems should be able to determine in a dynamic manner, if external providers and associated services are authentic. Safeguards implemented by organizational information systems to validate provider and service authenticity include, for example, information or code signing, provenance graphs, and/or electronic signatures indicating or including the sources of services.

+
+ +

Determine if the organization:

+ +

defines information system services to be identified and authenticated using security safeguards;

+ IA-9[1] +
+ +

defines security safeguards to be used to identify and authenticate organization-defined information system services; and

+ IA-9[2] +
+ +

identifies and authenticates organization-defined information system services using organization-defined security safeguards.

+ IA-9[3] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Security safeguards implementing service identification and authentication capability

+ TEST +
+ + INFORMATION EXCHANGE + IA-9 (1) + +

The organization ensures that service providers receive, validate, and transmit identification and authentication information.

+
+ +

Determine if the organization ensures that service providers:

+ +

receive identification and authentication information;

+ IA-9(1)[1] +
+ +

validate identification and authentication information; and

+ IA-9(1)[2] +
+ +

transmit identification and authentication information.

+ IA-9(1)[3] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with identification and authentication responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing service identification and authentication capabilities

+ TEST +
+
+ + TRANSMISSION OF DECISIONS + IA-9 (2) + +

The organization ensures that identification and authentication decisions are transmitted between consistent with organizational policies.

+
+ +

For distributed architectures (e.g., service-oriented architectures), the decisions regarding the validation of identification and authentication claims may be made by services separate from the services acting on those decisions. In such situations, it is necessary to provide the identification and authentication decisions (as opposed to the actual identifiers and authenticators) to the services that need to act on those decisions.

+ +
+ +

Determine if the organization:

+ +

defines services for which identification and authentication decisions transmitted between such services are to be consistent with organizational policies; and

+ IA-9(2)[1] +
+ +

ensures that identification and authentication decisions are transmitted between organization-defined services consistent with organizational policies.

+ IA-9(2)[2] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with identification and authentication responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing service identification and authentication capabilities

+ TEST +
+ + organization-defined services + organization-defined services + +
+
+ + ADAPTIVE IDENTIFICATION AND AUTHENTICATION + + organization-defined supplemental authentication techniques or mechanisms + organization-defined supplemental authentication techniques or mechanisms + + + organization-defined circumstances or situations + organization-defined circumstances or situations + + IA-10 + P0 + +

The organization requires that individuals accessing the information system employ under specific .

+
+ +

Adversaries may compromise individual authentication mechanisms and subsequently attempt to impersonate legitimate users. This situation can potentially occur with any authentication mechanisms employed by organizations. To address this threat, organizations may employ specific techniques/mechanisms and establish protocols to assess suspicious behavior (e.g., individuals accessing information that they do not typically access as part of their normal duties, roles, or responsibilities, accessing greater quantities of information than the individuals would routinely access, or attempting to access information from suspicious network addresses). In these situations when certain preestablished conditions or triggers occur, organizations can require selected individuals to provide additional authentication information. Another potential use for adaptive identification and authentication is to increase the strength of mechanism based on the number and/or types of records being accessed.

+ + +
+ +

Determine if the organization:

+ +

defines specific circumstances or situations that require individuals accessing the information system to employ supplemental authentication techniques or mechanisms;

+ IA-10[1] +
+ +

defines supplemental authentication techniques or mechanisms to be employed when accessing the information system under specific organization-defined circumstances or situations; and

+ IA-10[2] +
+ +

requires that individuals accessing the information system employ organization-defined supplemental authentication techniques or mechanisms under specific organization-defined circumstances or situations.

+ IA-10[3] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identification and authentication capability

+ TEST +
+
+ + RE-AUTHENTICATION + + organization-defined circumstances or situations requiring re-authentication + organization-defined circumstances or situations requiring re-authentication + + IA-11 + P0 + +

The organization requires users and devices to re-authenticate when .

+
+ +

In addition to the re-authentication requirements associated with session locks, organizations may require re-authentication of individuals and/or devices in other situations including, for example: (i) when authenticators change; (ii), when roles change; (iii) when security categories of information systems change; (iv), when the execution of privileged functions occurs; (v) after a fixed period of time; or (vi) periodically.

+ +
+ +

Determine if the organization:

+ +

defines circumstances or situations requiring re-authentication;

+ IA-11[1] +
+ +

requires users to re-authenticate when organization-defined circumstances or situations require re-authentication; and

+ IA-11[2] +
+ +

requires devices to re-authenticate when organization-defined circumstances or situations require re-authentication.

+ IA-11[3] +
+
+ +

Identification and authentication policy

+ EXAMINE +
+ +

Organizational personnel with information system operations responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing identification and authentication capability

+ TEST +
+
+
+ + INCIDENT RESPONSE + + INCIDENT RESPONSE POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + IR-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ IR-1a. + +

An incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ IR-1a.1. +
+ +

Procedures to facilitate the implementation of the incident response policy and associated incident response controls; and

+ IR-1a.2. +
+
+ +

Reviews and updates the current:

+ IR-1b. + +

Incident response policy ; and

+ IR-1b.1. +
+ +

Incident response procedures .

+ IR-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + IR-1(a)(1) + +

develops and documents an incident response policy that addresses:

+ IR-1(a)(1)[1] + +

purpose;

+ IR-1(a)(1)[1][a] +
+ +

scope;

+ IR-1(a)(1)[1][b] +
+ +

roles;

+ IR-1(a)(1)[1][c] +
+ +

responsibilities;

+ IR-1(a)(1)[1][d] +
+ +

management commitment;

+ IR-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ IR-1(a)(1)[1][f] +
+ +

compliance;

+ IR-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the incident response policy is to be disseminated;

+ IR-1(a)(1)[2] +
+ +

disseminates the incident response policy to organization-defined personnel or roles;

+ IR-1(a)(1)[3] +
+
+ + IR-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the incident response policy and associated incident response controls;

+ IR-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ IR-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ IR-1(a)(2)[3] +
+
+ + IR-1(b)(1) + +

defines the frequency to review and update the current incident response policy;

+ IR-1(b)(1)[1] +
+ +

reviews and updates the current incident response policy with the organization-defined frequency;

+ IR-1(b)(1)[2] +
+
+ + IR-1(b)(2) + +

defines the frequency to review and update the current incident response procedures; and

+ IR-1(b)(2)[1] +
+ +

reviews and updates the current incident response procedures with the organization-defined frequency.

+ IR-1(b)(2)[2] +
+
+
+ +

Incident response policy and procedures

+ EXAMINE +
+ +

Organizational personnel with incident response responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-61 + + + NIST Special Publication 800-83 + + + NIST Special Publication 800-100 + + +
+ + INCIDENT RESPONSE TRAINING + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + IR-2 + P2 + LOW + MODERATE + HIGH + +

The organization provides incident response training to information system users consistent with assigned roles and responsibilities:

+ +

Within of assuming an incident response role or responsibility;

+ IR-2a. +
+ +

When required by information system changes; and

+ IR-2b. +
+ +

thereafter.

+ IR-2c. +
+
+ +

Incident response training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, regular users may only need to know who to call or how to recognize an incident on the information system; system administrators may require additional training on how to handle/remediate incidents; and incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources.

+ + + +
+ +

Determine if the organization:

+ + IR-2(a) + +

defines a time period within which incident response training is to be provided to information system users assuming an incident response role or responsibility;

+ IR-2(a)[1] +
+ +

provides incident response training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming an incident response role or responsibility;

+ IR-2(a)[2] +
+
+ +

provides incident response training to information system users consistent with assigned roles and responsibilities when required by information system changes;

+ IR-2(b) +
+ + IR-2(c) + +

defines the frequency to provide refresher incident response training to information system users consistent with assigned roles or responsibilities; and

+ IR-2(c)[1] +
+ +

after the initial incident response training, provides refresher incident response training to information system users consistent with assigned roles and responsibilities in accordance with the organization-defined frequency to provide refresher training.

+ IR-2(c)[2] +
+
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response training and operational responsibilities

+ INTERVIEW +
+ + SIMULATED EVENTS + IR-2 (1) + HIGH + +

The organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.

+
+ +

Determine if the organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.

+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response training and operational responsibilities

+ INTERVIEW +
+ +

Automated mechanisms that support and/or implement simulated events for incident response training

+ TEST +
+
+ + AUTOMATED TRAINING ENVIRONMENTS + IR-2 (2) + HIGH + +

The organization employs automated mechanisms to provide a more thorough and realistic incident response training environment.

+
+ +

Determine if the organization employs automated mechanisms to provide a more thorough and realistic incident response training environment.

+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response training and operational responsibilities

+ INTERVIEW +
+ +

Automated mechanisms that provide a thorough and realistic incident response training environment

+ TEST +
+
+ + + NIST Special Publication 800-16 + + + NIST Special Publication 800-50 + + +
+ + INCIDENT RESPONSE TESTING + + organization-defined frequency + organization-defined frequency + + + organization-defined tests + organization-defined tests + + IR-3 + P2 + MODERATE + HIGH + +

The organization tests the incident response capability for the information system using to determine the incident response effectiveness and documents the results.

+
+ +

Organizations test incident response capabilities to determine the overall effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes, for example, the use of checklists, walk-through or tabletop exercises, simulations (parallel/full interrupt), and comprehensive exercises. Incident response testing can also include a determination of the effects on organizational operations (e.g., reduction in mission capabilities), organizational assets, and individuals due to incident response.

+ + +
+ +

Determine if the organization:

+ +

defines incident response tests to test the incident response capability for the information system;

+ IR-3[1] +
+ +

defines the frequency to test the incident response capability for the information system; and

+ IR-3[2] +
+ +

tests the incident response capability for the information system with the organization-defined frequency, using organization-defined tests to determine the incident response effectiveness and documents the results.

+ IR-3[3] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response testing responsibilities

+ INTERVIEW +
+ + AUTOMATED TESTING + IR-3 (1) + +

The organization employs automated mechanisms to more thoroughly and effectively test the incident response capability.

+
+ +

Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities, for example: (i) by providing more complete coverage of incident response issues; (ii) by selecting more realistic test scenarios and test environments; and (iii) by stressing the response capability.

+ +
+ +

Determine if the organization employs automated mechanisms to more thoroughly and effectively test the incident response capability.

+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response testing responsibilities

+ INTERVIEW +
+ +

Automated mechanisms that more thoroughly and effectively test the incident response capability

+ TEST +
+
+ + COORDINATION WITH RELATED PLANS + IR-3 (2) + MODERATE + HIGH + +

The organization coordinates incident response testing with organizational elements responsible for related plans.

+
+ +

Organizational plans related to incident response testing include, for example, Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, and Occupant Emergency Plans.

+
+ +

Determine if the organization coordinates incident response testing with organizational elements responsible for related plans.

+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response testing responsibilities

+ INTERVIEW +
+
+ + + NIST Special Publication 800-84 + + + NIST Special Publication 800-115 + + +
+ + INCIDENT HANDLING + IR-4 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;

+ IR-4a. +
+ +

Coordinates incident handling activities with contingency planning activities; and

+ IR-4b. +
+ +

Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implements the resulting changes accordingly.

+ IR-4c. +
+
+ +

Organizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).

+ + + + + + + + + + + + + +
+ +

Determine if the organization:

+ +

implements an incident handling capability for security incidents that includes:

+ IR-4(a) + +

preparation;

+ IR-4(a)[1] +
+ +

detection and analysis;

+ IR-4(a)[2] +
+ +

containment;

+ IR-4(a)[3] +
+ +

eradication;

+ IR-4(a)[4] +
+ +

recovery;

+ IR-4(a)[5] +
+
+ +

coordinates incident handling activities with contingency planning activities;

+ IR-4(b) +
+ + IR-4(c) + +

incorporates lessons learned from ongoing incident handling activities into:

+ IR-4(c)[1] + +

incident response procedures;

+ IR-4(c)[1][a] +
+ +

training;

+ IR-4(c)[1][b] +
+ +

testing/exercises;

+ IR-4(c)[1][c] +
+
+ +

implements the resulting changes accordingly to:

+ IR-4(c)[2] + +

incident response procedures;

+ IR-4(c)[2][a] +
+ +

training; and

+ IR-4(c)[2][b] +
+ +

testing/exercises.

+ IR-4(c)[2][c] +
+
+
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident handling responsibilities

+ INTERVIEW +
+ +

Incident handling capability for the organization

+ TEST +
+ + AUTOMATED INCIDENT HANDLING PROCESSES + IR-4 (1) + MODERATE + HIGH + +

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

+
+ +

Automated mechanisms supporting incident handling processes include, for example, online incident management systems.

+
+ +

Determine if the organization employs automated mechanisms to support the incident handling process.

+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident handling responsibilities

+ INTERVIEW +
+ +

Automated mechanisms that support and/or implement the incident handling process

+ TEST +
+
+ + DYNAMIC RECONFIGURATION + IR-4 (2) + +

The organization includes dynamic reconfiguration of as part of the incident response capability.

+
+ +

Dynamic reconfiguration includes, for example, changes to router rules, access control lists, intrusion detection/prevention system parameters, and filter rules for firewalls and gateways. Organizations perform dynamic reconfiguration of information systems, for example, to stop attacks, to misdirect attackers, and to isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include time frames for achieving the reconfiguration of information systems in the definition of the reconfiguration capability, considering the potential need for rapid response in order to effectively address sophisticated cyber threats.

+ + + + + + +
+ +

Determine if the organization:

+ +

defines information system components to be dynamically reconfigured as part of the incident response capability; and

+ IR-4(2)[1] +
+ +

includes dynamic reconfiguration of organization-defined information system components as part of the incident response capability.

+ IR-4(2)[2] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident handling responsibilities

+ INTERVIEW +
+ +

Automated mechanisms that support and/or implement dynamic reconfiguration of components as part of incident response

+ TEST +
+ + organization-defined information system components + organization-defined information system components + +
+ + CONTINUITY OF OPERATIONS + IR-4 (3) + +

The organization identifies and to ensure continuation of organizational missions and business functions.

+
+ +

Classes of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Appropriate incident response actions include, for example, graceful degradation, information system shutdown, fall back to manual mode/alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved solely for when systems are under attack.

+
+ +

Determine if the organization:

+ +

defines classes of incidents requiring an organization-defined action to be taken;

+ IR-4(3)[1] +
+ +

defines actions to be taken in response to organization-defined classes of incidents; and

+ IR-4(3)[2] +
+ +

identifies organization-defined classes of incidents and organization-defined actions to take in response to classes of incidents to ensure continuation of organizational missions and business functions.

+ IR-4(3)[3] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident handling responsibilities

+ INTERVIEW +
+ +

Automated mechanisms that support and/or implement continuity of operations

+ TEST +
+ + organization-defined classes of incidents + organization-defined classes of incidents + + + organization-defined actions to take in response to classes of incidents + organization-defined actions to take in response to classes of incidents + +
+ + INFORMATION CORRELATION + IR-4 (4) + HIGH + +

The organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.

+
+ +

Sometimes the nature of a threat event, for example, a hostile cyber attack, is such that it can only be observed by bringing together information from different sources including various reports and reporting procedures established by organizations.

+
+ +

Determine if the organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.

+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident handling responsibilities

+ INTERVIEW +
+ +

Organizational processes for correlating incident information and individual incident responses

+ TEST +
+
+ + AUTOMATIC DISABLING OF INFORMATION SYSTEM + IR-4 (5) + +

The organization implements a configurable capability to automatically disable the information system if are detected.

+
+ +

Determine if the organization:

+ +

defines security violations that, if detected, initiate a configurable capability to automatically disable the information system; and

+ IR-4(5)[1] +
+ +

implements a configurable capability to automatically disable the information system if any of the organization-defined security violations are detected.

+ IR-4(5)[2] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident handling responsibilities

+ INTERVIEW +
+ +

Incident handling capability for the organization

+ TEST +
+ + organization-defined security violations + organization-defined security violations + +
+ + INSIDER THREATS - SPECIFIC CAPABILITIES + IR-4 (6) + +

The organization implements incident handling capability for insider threats.

+
+ +

While many organizations address insider threat incidents as an inherent part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities (as defined within organizations) to provide appropriate and timely responses.

+
+ +

Determine if the organization implements incident handling capability for insider threats.

+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident handling responsibilities

+ INTERVIEW +
+ +

Incident handling capability for the organization

+ TEST +
+
+ + INSIDER THREATS - INTRA-ORGANIZATION COORDINATION + IR-4 (7) + +

The organization coordinates incident handling capability for insider threats across .

+
+ +

Incident handling for insider threat incidents (including preparation, detection and analysis, containment, eradication, and recovery) requires close coordination among a variety of organizational components or elements to be effective. These components or elements include, for example, mission/business owners, information system owners, human resources offices, procurement offices, personnel/physical security offices, operations personnel, and risk executive (function). In addition, organizations may require external support from federal, state, and local law enforcement agencies.

+
+ +

Determine if the organization:

+ +

defines components or elements of the organization with whom the incident handling capability for insider threats is to be coordinated; and

+ IR-4(7)[1] +
+ +

coordinates incident handling capability for insider threats across organization-defined components or elements of the organization.

+ IR-4(7)[2] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident handling responsibilities

+ INTERVIEW +
+ +

Organizational processes for coordinating incident handling

+ TEST +
+ + organization-defined components or elements of the organization + organization-defined components or elements of the organization + +
+ + CORRELATION WITH EXTERNAL ORGANIZATIONS + IR-4 (8) + +

The organization coordinates with to correlate and share to achieve a cross-organization perspective on incident awareness and more effective incident responses.

+
+ +

The coordination of incident information with external organizations including, for example, mission/business partners, military/coalition partners, customers, and multitiered developers, can provide significant benefits. Cross-organizational coordination with respect to incident handling can serve as an important risk management capability. This capability allows organizations to leverage critical information from a variety of sources to effectively respond to information security-related incidents potentially affecting the organization�s operations, assets, and individuals.

+
+ +

Determine if the organization:

+ +

defines external organizations with whom organizational incident information is to be coordinated;

+ IR-4(8)[1] +
+ +

defines incident information to be correlated and shared with organization-defined external organizations; and

+ IR-4(8)[2] +
+ +

the organization coordinates with organization-defined external organizations to correlate and share organization-defined information to achieve a cross-organization perspective on incident awareness and more effective incident responses.

+ IR-4(8)[3] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident handling responsibilities

+ INTERVIEW +
+ +

Organizational processes for coordinating incident handling information with external organizations

+ TEST +
+ + organization-defined external organizations + organization-defined external organizations + + + organization-defined incident information + organization-defined incident information + +
+ + DYNAMIC RESPONSE CAPABILITY + IR-4 (9) + +

The organization employs to effectively respond to security incidents.

+
+ +

This control enhancement addresses the deployment of replacement or new capabilities in a timely manner in response to security incidents (e.g., adversary actions during hostile cyber attacks). This includes capabilities implemented at the mission/business process level (e.g., activating alternative mission/business processes) and at the information system level.

+ +
+ +

Determine if the organization:

+ +

defines dynamic response capabilities to be employed to effectively respond to security incidents; and

+ IR-4(9)[1] +
+ +

employs organization-defined dynamic response capabilities to effectively respond to security incidents.

+ IR-4(9)[2] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident handling responsibilities

+ INTERVIEW +
+ +

Organizational processes for dynamic response capability

+ TEST +
+ + organization-defined dynamic response capabilities + organization-defined dynamic response capabilities + +
+ + SUPPLY CHAIN COORDINATION + IR-4 (10) + +

The organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.

+
+ +

Organizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities.

+
+ +

Determine if the organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.

+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident handling responsibilities

+ INTERVIEW +
+
+ + + Executive Order 13587 + + + NIST Special Publication 800-61 + + +
+ + INCIDENT MONITORING + IR-5 + P1 + LOW + MODERATE + HIGH + +

The organization tracks and documents information system security incidents.

+
+ +

Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.

+ + + + + + + + +
+ +

Determine if the organization:

+ +

tracks information system security incidents; and

+ IR-5[1] +
+ +

documents information system security incidents.

+ IR-5[2] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident monitoring responsibilities

+ INTERVIEW +
+ +

Incident monitoring capability for the organization

+ TEST +
+ + AUTOMATED TRACKING / DATA COLLECTION / ANALYSIS + IR-5 (1) + HIGH + +

The organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information.

+
+ +

Automated mechanisms for tracking security incidents and collecting/analyzing incident information include, for example, the Einstein network monitoring device and monitoring online Computer Incident Response Centers (CIRCs) or other electronic databases of incidents.

+ + +
+ +

Determine if the organization employs automated mechanisms to assist in:

+ +

the tracking of security incidents;

+ IR-5(1)[1] +
+ +

the collection of incident information; and

+ IR-5(1)[2] +
+ +

the analysis of incident information.

+ IR-5(1)[3] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident monitoring responsibilities

+ INTERVIEW +
+ +

Automated mechanisms assisting in tracking of security incidents and in the collection and analysis of incident information

+ TEST +
+
+ + + NIST Special Publication 800-61 + + +
+ + INCIDENT REPORTING + + organization-defined time period + organization-defined time period + + + organization-defined authorities + organization-defined authorities + + IR-6 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Requires personnel to report suspected security incidents to the organizational incident response capability within ; and

+ IR-6a. +
+ +

Reports security incident information to .

+ IR-6b. +
+
+ +

The intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. The types of security incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling.

+ + + +
+ +

Determine if the organization:

+ + IR-6(a) + +

defines the time period within which personnel report suspected security incidents to the organizational incident response capability;

+ IR-6(a)[1] +
+ +

requires personnel to report suspected security incidents to the organizational incident response capability within the organization-defined time period;

+ IR-6(a)[2] +
+
+ + IR-6(b) + +

defines authorities to whom security incident information is to be reported; and

+ IR-6(b)[1] +
+ +

reports security incident information to organization-defined authorities.

+ IR-6(b)[2] +
+
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident reporting responsibilities

+ INTERVIEW +
+ +

Organizational processes for incident reporting

+ TEST +
+ + AUTOMATED REPORTING + IR-6 (1) + MODERATE + HIGH + +

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

+
+ + + + +

Determine if the organization employs automated mechanisms to assist in the reporting of security incidents.

+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident reporting responsibilities

+ INTERVIEW +
+ +

Organizational processes for incident reporting

+ TEST +
+
+ + VULNERABILITIES RELATED TO INCIDENTS + IR-6 (2) + +

The organization reports information system vulnerabilities associated with reported security incidents to .

+
+ +

Determine if the organization:

+ +

defines personnel or roles to whom information system vulnerabilities associated with reported security incidents are to be reported; and

+ IR-6(2)[1] +
+ +

reports information system vulnerabilities associated with reported security incidents to organization-defined personnel or roles.

+ IR-6(2)[2] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident reporting responsibilities

+ INTERVIEW +
+ +

Organizational processes for incident reporting

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + COORDINATION WITH SUPPLY CHAIN + IR-6 (3) + +

The organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.

+
+ +

Organizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities. Organizations determine the appropriate information to share considering the value gained from support by external organizations with the potential for harm due to sensitive information being released to outside organizations of perhaps questionable trustworthiness.

+
+ +

Determine if the organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.

+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident reporting responsibilities

+ INTERVIEW +
+ +

Organizational processes for incident reporting

+ TEST +
+
+ + + NIST Special Publication 800-61 + + + http://www.us-cert.gov + + +
+ + INCIDENT RESPONSE ASSISTANCE + IR-7 + P2 + LOW + MODERATE + HIGH + +

The organization provides an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the information system for the handling and reporting of security incidents.

+
+ +

Incident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services, when required.

+ + + + + +
+ +

Determine if the organization provides an incident response support resource:

+ +

that is integral to the organizational incident response capability; and

+ IR-7[1] +
+ +

that offers advice and assistance to users of the information system for the handling and reporting of security incidents.

+ IR-7[2] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response assistance and support responsibilities

+ INTERVIEW +
+ +

Organizational processes for incident response assistance

+ TEST +
+ + AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION / SUPPORT + IR-7 (1) + MODERATE + HIGH + +

The organization employs automated mechanisms to increase the availability of incident response-related information and support.

+
+ +

Automated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.

+
+ +

Determine if the organization employs automated mechanisms to increase the availability of incident response-related information and support.

+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response support and assistance responsibilities

+ INTERVIEW +
+ +

Organizational processes for incident response assistance

+ TEST +
+
+ + COORDINATION WITH EXTERNAL PROVIDERS + IR-7 (2) + +

The organization:

+ +

Establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and

+ IR-7 (2)(a) +
+ +

Identifies organizational incident response team members to the external providers.

+ IR-7 (2)(b) +
+
+ +

External providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.

+
+ +

Determine if the organization:

+ +

establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and

+ IR-7(2)(a) +
+ +

identifies organizational incident response team members to the external providers.

+ IR-7(2)(b) +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response support and assistance responsibilities

+ INTERVIEW +
+
+
+ + INCIDENT RESPONSE PLAN + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + + + organization-defined frequency + organization-defined frequency + + + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + organization-defined incident response personnel (identified by name and/or by role) and organizational elements + + IR-8 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops an incident response plan that:

+ IR-8a. + +

Provides the organization with a roadmap for implementing its incident response capability;

+ IR-8a.1. +
+ +

Describes the structure and organization of the incident response capability;

+ IR-8a.2. +
+ +

Provides a high-level approach for how the incident response capability fits into the overall organization;

+ IR-8a.3. +
+ +

Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;

+ IR-8a.4. +
+ +

Defines reportable incidents;

+ IR-8a.5. +
+ +

Provides metrics for measuring the incident response capability within the organization;

+ IR-8a.6. +
+ +

Defines the resources and management support needed to effectively maintain and mature an incident response capability; and

+ IR-8a.7. +
+ +

Is reviewed and approved by ;

+ IR-8a.8. +
+
+ +

Distributes copies of the incident response plan to ;

+ IR-8b. +
+ +

Reviews the incident response plan ;

+ IR-8c. +
+ +

Updates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing;

+ IR-8d. +
+ +

Communicates incident response plan changes to ; and

+ IR-8e. +
+ +

Protects the incident response plan from unauthorized disclosure and modification.

+ IR-8f. +
+
+ +

It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems.

+ + + +
+ +

Determine if the organization:

+ +

develops an incident response plan that:

+ IR-8(a) + +

provides the organization with a roadmap for implementing its incident response capability;

+ IR-8(a)(1) +
+ +

describes the structure and organization of the incident response capability;

+ IR-8(a)(2) +
+ +

provides a high-level approach for how the incident response capability fits into the overall organization;

+ IR-8(a)(3) +
+ +

meets the unique requirements of the organization, which relate to:

+ IR-8(a)(4) + +

mission;

+ IR-8(a)(4)[1] +
+ +

size;

+ IR-8(a)(4)[2] +
+ +

structure;

+ IR-8(a)(4)[3] +
+ +

functions;

+ IR-8(a)(4)[4] +
+
+ +

defines reportable incidents;

+ IR-8(a)(5) +
+ +

provides metrics for measuring the incident response capability within the organization;

+ IR-8(a)(6) +
+ +

defines the resources and management support needed to effectively maintain and mature an incident response capability;

+ IR-8(a)(7) +
+ + IR-8(a)(8) + +

defines personnel or roles to review and approve the incident response plan;

+ IR-8(a)(8)[1] +
+ +

is reviewed and approved by organization-defined personnel or roles;

+ IR-8(a)(8)[2] +
+
+
+ + IR-8(b) + + IR-8(b)[1] + +

defines incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed;

+ IR-8(b)[1][a] +
+ +

defines organizational elements to whom copies of the incident response plan are to be distributed;

+ IR-8(b)[1][b] +
+
+ +

distributes copies of the incident response plan to organization-defined incident response personnel (identified by name and/or by role) and organizational elements;

+ IR-8(b)[2] +
+
+ + IR-8(c) + +

defines the frequency to review the incident response plan;

+ IR-8(c)[1] +
+ +

reviews the incident response plan with the organization-defined frequency;

+ IR-8(c)[2] +
+
+ +

updates the incident response plan to address system/organizational changes or problems encountered during plan:

+ IR-8(d) + +

implementation;

+ IR-8(d)[1] +
+ +

execution; or

+ IR-8(d)[2] +
+ +

testing;

+ IR-8(d)[3] +
+
+ + IR-8(e) + + IR-8(e)[1] + +

defines incident response personnel (identified by name and/or by role) to whom incident response plan changes are to be communicated;

+ IR-8(e)[1][a] +
+ +

defines organizational elements to whom incident response plan changes are to be communicated;

+ IR-8(e)[1][b] +
+
+ +

communicates incident response plan changes to organization-defined incident response personnel (identified by name and/or by role) and organizational elements; and

+ IR-8(e)[2] +
+
+ +

protects the incident response plan from unauthorized disclosure and modification.

+ IR-8(f) +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response planning responsibilities

+ INTERVIEW +
+ +

Organizational incident response plan and related organizational processes

+ TEST +
+ + + NIST Special Publication 800-61 + + +
+ + INFORMATION SPILLAGE RESPONSE + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined actions + organization-defined actions + + IR-9 + P0 + +

The organization responds to information spills by:

+ +

Identifying the specific information involved in the information system contamination;

+ IR-9a. +
+ +

Alerting of the information spill using a method of communication not associated with the spill;

+ IR-9b. +
+ +

Isolating the contaminated information system or system component;

+ IR-9c. +
+ +

Eradicating the information from the contaminated information system or component;

+ IR-9d. +
+ +

Identifying other information systems or system components that may have been subsequently contaminated; and

+ IR-9e. +
+ +

Performing other .

+ IR-9f. +
+
+ +

Information spillage refers to instances where either classified or sensitive information is inadvertently placed on information systems that are not authorized to process such information. Such information spills often occur when information that is initially thought to be of lower sensitivity is transmitted to an information system and then is subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information (e.g., security category or classification level), the security capabilities of the information system, the specific nature of contaminated storage media, and the access authorizations (e.g., security clearances) of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.

+
+ +

Determine if the organization:

+ +

responds to information spills by identifying the specific information causing the information system contamination;

+ IR-9(a) +
+ + IR-9(b) + +

defines personnel to be alerted of the information spillage;

+ IR-9(b)[1] +
+ +

identifies a method of communication not associated with the information spill to use to alert organization-defined personnel of the spill;

+ IR-9(b)[2] +
+ +

responds to information spills by alerting organization-defined personnel of the information spill using a method of communication not associated with the spill;

+ IR-9(b)[3] +
+
+ +

responds to information spills by isolating the contaminated information system;

+ IR-9(c) +
+ +

responds to information spills by eradicating the information from the contaminated information system;

+ IR-9(d) +
+ +

responds to information spills by identifying other information systems that may have been subsequently contaminated;

+ IR-9(e) +
+ + IR-9(f) + +

defines other actions to be performed in response to information spills; and

+ IR-9(f)[1] +
+ +

responds to information spills by performing other organization-defined actions.

+ IR-9(f)[2] +
+
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response responsibilities

+ INTERVIEW +
+ +

Organizational processes for information spillage response

+ TEST +
+ + RESPONSIBLE PERSONNEL + IR-9 (1) + +

The organization assigns with responsibility for responding to information spills.

+
+ +

Determine if the organization:

+ +

defines personnel with responsibility for responding to information spills; and

+ IR-9(1)[1] +
+ +

assigns organization-defined personnel with responsibility for responding to information spills.

+ IR-9(1)[2] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response responsibilities

+ INTERVIEW +
+ + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + TRAINING + IR-9 (2) + +

The organization provides information spillage response training .

+
+ +

Determine if the organization:

+ +

defines the frequency to provide information spillage response training; and

+ IR-9(2)[1] +
+ +

provides information spillage response training with the organization-defined frequency.

+ IR-9(2)[2] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response training responsibilities

+ INTERVIEW +
+ + organization-defined frequency + organization-defined frequency + +
+ + POST-SPILL OPERATIONS + IR-9 (3) + +

The organization implements to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.

+
+ +

Correction actions for information systems contaminated due to information spillages may be very time-consuming. During those periods, personnel may not have access to the contaminated systems, which may potentially affect their ability to conduct organizational business.

+
+ +

Determine if the organization:

+ +

defines procedures that ensure organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions; and

+ IR-9(3)[1] +
+ +

implements organization-defined procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.

+ IR-9(3)[2] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response responsibilities

+ INTERVIEW +
+ +

Organizational processes for post-spill operations

+ TEST +
+ + organization-defined procedures + organization-defined procedures + +
+ + EXPOSURE TO UNAUTHORIZED PERSONNEL + IR-9 (4) + +

The organization employs for personnel exposed to information not within assigned access authorizations.

+
+ +

Security safeguards include, for example, making personnel exposed to spilled information aware of the federal laws, directives, policies, and/or regulations regarding the information and the restrictions imposed based on exposure to such information.

+
+ +

Determine if the organization:

+ +

defines security safeguards to be employed for personnel exposed to information not within assigned access authorizations; and

+ IR-9(4)[1] +
+ +

employs organization-defined security safeguards for personnel exposed to information not within assigned access authorizations.

+ IR-9(4)[2] +
+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response responsibilities

+ INTERVIEW +
+ +

Organizational processes for dealing with information exposed to unauthorized personnel

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + +
+
+ + INTEGRATED INFORMATION SECURITY ANALYSIS TEAM + IR-10 + P0 + +

The organization establishes an integrated team of forensic/malicious code analysts, tool developers, and real-time operations personnel.

+
+ +

Having an integrated team for incident response facilitates information sharing. Such capability allows organizational personnel, including developers, implementers, and operators, to leverage the team knowledge of the threat in order to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, it promotes the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated security analysis team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing intelligence development. This enables the team to identify adversary TTPs that are linked to the operations tempo or to specific missions/business functions, and to define responsive actions in a way that does not disrupt the mission/business operations. Ideally, information security analysis teams are distributed within organizations to make the capability more resilient.

+
+ +

Determine if the organization establishes an integrated team of forensic/malicious code analyst, tool developers, and real-time operations personnel.

+
+ +

Incident response policy

+ EXAMINE +
+ +

Organizational personnel with incident response and information security analysis responsibilities

+ INTERVIEW +
+
+
+ + MAINTENANCE + + SYSTEM MAINTENANCE POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + MA-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ MA-1a. + +

A system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ MA-1a.1. +
+ +

Procedures to facilitate the implementation of the system maintenance policy and associated system maintenance controls; and

+ MA-1a.2. +
+
+ +

Reviews and updates the current:

+ MA-1b. + +

System maintenance policy ; and

+ MA-1b.1. +
+ +

System maintenance procedures .

+ MA-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + MA-1(a)(1) + +

develops and documents a system maintenance policy that addresses:

+ MA-1(a)(1)[1] + +

purpose;

+ MA-1(a)(1)[1][a] +
+ +

scope;

+ MA-1(a)(1)[1][b] +
+ +

roles;

+ MA-1(a)(1)[1][c] +
+ +

responsibilities;

+ MA-1(a)(1)[1][d] +
+ +

management commitment;

+ MA-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ MA-1(a)(1)[1][f] +
+ +

compliance;

+ MA-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the system maintenance policy is to be disseminated;

+ MA-1(a)(1)[2] +
+ +

disseminates the system maintenance policy to organization-defined personnel or roles;

+ MA-1(a)(1)[3] +
+
+ + MA-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the maintenance policy and associated system maintenance controls;

+ MA-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ MA-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ MA-1(a)(2)[3] +
+
+ + MA-1(b)(1) + +

defines the frequency to review and update the current system maintenance policy;

+ MA-1(b)(1)[1] +
+ +

reviews and updates the current system maintenance policy with the organization-defined frequency;

+ MA-1(b)(1)[2] +
+
+ + MA-1(b)(2) + +

defines the frequency to review and update the current system maintenance procedures; and

+ MA-1(b)(2)[1] +
+ +

reviews and updates the current system maintenance procedures with the organization-defined frequency.

+ MA-1(b)(2)[2] +
+
+
+ +

Maintenance policy and procedures

+ EXAMINE +
+ +

Organizational personnel with maintenance responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-100 + + +
+ + CONTROLLED MAINTENANCE + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined maintenance-related information + organization-defined maintenance-related information + + MA-2 + P2 + LOW + MODERATE + HIGH + +

The organization:

+ +

Schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements;

+ MA-2a. +
+ +

Approves and monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;

+ MA-2b. +
+ +

Requires that explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;

+ MA-2c. +
+ +

Sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;

+ MA-2d. +
+ +

Checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions; and

+ MA-2e. +
+ +

Includes in organizational maintenance records.

+ MA-2f. +
+
+ +

This control addresses the information security aspects of the information system maintenance program and applies to all types of maintenance to any system component (including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, in-house, software maintenance agreement). System maintenance also includes those components not directly associated with information processing and/or data/information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example: (i) date and time of maintenance; (ii) name of individuals or group performing the maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed; and (v) information system components/equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational information systems. Organizations consider supply chain issues associated with replacement components for information systems.

+ + + + + + + +
+ +

Determine if the organization:

+ + MA-2(a) + +

schedules maintenance and repairs on information system components in accordance with:

+ MA-2(a)[1] + +

manufacturer or vendor specifications; and/or

+ MA-2(a)[1][a] +
+ +

organizational requirements;

+ MA-2(a)[1][b] +
+
+ +

performs maintenance and repairs on information system components in accordance with:

+ MA-2(a)[2] + +

manufacturer or vendor specifications; and/or

+ MA-2(a)[2][a] +
+ +

organizational requirements;

+ MA-2(a)[2][b] +
+
+ +

documents maintenance and repairs on information system components in accordance with:

+ MA-2(a)[3] + +

manufacturer or vendor specifications; and/or

+ MA-2(a)[3][a] +
+ +

organizational requirements;

+ MA-2(a)[3][b] +
+
+ +

reviews records of maintenance and repairs on information system components in accordance with:

+ MA-2(a)[4] + +

manufacturer or vendor specifications; and/or

+ MA-2(a)[4][a] +
+ +

organizational requirements;

+ MA-2(a)[4][b] +
+
+
+ + MA-2(b) + +

approves all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;

+ MA-2(b)[1] +
+ +

monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;

+ MA-2(b)[2] +
+
+ + MA-2(c) + +

defines personnel or roles required to explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;

+ MA-2(c)[1] +
+ +

requires that organization-defined personnel or roles explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;

+ MA-2(c)[2] +
+
+ +

sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;

+ MA-2(d) +
+ +

checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions;

+ MA-2(e) +
+ + MA-2(f) + +

defines maintenance-related information to be included in organizational maintenance records; and

+ MA-2(f)[1] +
+ +

includes organization-defined maintenance-related information in organizational maintenance records.

+ MA-2(f)[2] +
+
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the information system

+ TEST +
+ + RECORD CONTENT + MA-2 (1) + +

Incorporated into MA-2.

+
+ +
+ + AUTOMATED MAINTENANCE ACTIVITIES + MA-2 (2) + HIGH + +

The organization:

+ +

Employs automated mechanisms to schedule, conduct, and document maintenance and repairs; and

+ MA-2 (2)(a) +
+ +

Produces up-to date, accurate, and complete records of all maintenance and repair actions requested, scheduled, in process, and completed.

+ MA-2 (2)(b) +
+
+ + + + + +

Determine if the organization:

+ +

employs automated mechanisms to:

+ MA-2(2)(a) + +

schedule maintenance and repairs;

+ MA-2(2)(a)[1] +
+ +

conduct maintenance and repairs;

+ MA-2(2)(a)[2] +
+ +

document maintenance and repairs;

+ MA-2(2)(a)[3] +
+
+ +

produces up-to-date, accurate, and complete records of all maintenance and repair actions:

+ MA-2(2)(b) + +

requested;

+ MA-2(2)(b)[1] +
+ +

scheduled;

+ MA-2(2)(b)[2] +
+ +

in process; and

+ MA-2(2)(b)[3] +
+ +

completed.

+ MA-2(2)(b)[4] +
+
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing controlled maintenance

+ TEST +
+
+
+ + MAINTENANCE TOOLS + MA-3 + P3 + MODERATE + HIGH + +

The organization approves, controls, and monitors information system maintenance tools.

+
+ +

This control addresses security-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into organizational information systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware/software packet sniffers. This control does not cover hardware/software components that may support information system maintenance, yet are a part of the system, for example, the software implementing �ping,� �ls,� �ipconfig,� or the hardware and software implementing the monitoring port of an Ethernet switch.

+ + + +
+ +

Determine if the organization:

+ +

approves information system maintenance tools;

+ MA-3[1] +
+ +

controls information system maintenance tools; and

+ MA-3[2] +
+ +

monitors information system maintenance tools.

+ MA-3[3] +
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational processes for approving, controlling, and monitoring maintenance tools

+ TEST +
+ + INSPECT TOOLS + MA-3 (1) + MODERATE + HIGH + +

The organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.

+
+ +

If, upon inspection of maintenance tools, organizations determine that the tools have been modified in an improper/unauthorized manner or contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.

+ +
+ +

Determine if the organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.

+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational processes for inspecting maintenance tools

+ TEST +
+
+ + INSPECT MEDIA + MA-3 (2) + MODERATE + HIGH + +

The organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system.

+
+ +

If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures.

+ +
+ +

Determine if the organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system.

+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational process for inspecting media for malicious code

+ TEST +
+
+ + PREVENT UNAUTHORIZED REMOVAL + MA-3 (3) + HIGH + +

The organization prevents the unauthorized removal of maintenance equipment containing organizational information by:

+ +

Verifying that there is no organizational information contained on the equipment;

+ MA-3 (3)(a) +
+ +

Sanitizing or destroying the equipment;

+ MA-3 (3)(b) +
+ +

Retaining the equipment within the facility; or

+ MA-3 (3)(c) +
+ +

Obtaining an exemption from explicitly authorizing removal of the equipment from the facility.

+ MA-3 (3)(d) +
+
+ +

Organizational information includes all information specifically owned by organizations and information provided to organizations in which organizations serve as information stewards.

+
+ +

Determine if the organization prevents the unauthorized removal of maintenance equipment containing organizational information by:

+ +

verifying that there is no organizational information contained on the equipment;

+ MA-3(3)(a) +
+ +

sanitizing or destroying the equipment;

+ MA-3(3)(b) +
+ +

retaining the equipment within the facility; or

+ MA-3(3)(c) +
+ + MA-3(3)(d) + +

defining personnel or roles that can grant an exemption from explicitly authorizing removal of the equipment from the facility; and

+ MA-3(3)(d)[1] +
+ +

obtaining an exemption from organization-defined personnel or roles explicitly authorizing removal of the equipment from the facility.

+ MA-3(3)(d)[2] +
+
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational process for preventing unauthorized removal of information

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + RESTRICTED TOOL USE + MA-3 (4) + +

The information system restricts the use of maintenance tools to authorized personnel only.

+
+ +

This control enhancement applies to information systems that are used to carry out maintenance functions.

+ + + + +
+ +

Determine if the organization restricts the use of maintenance tools to authorized personnel only.

+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational process for restricting use of maintenance tools

+ TEST +
+
+ + + NIST Special Publication 800-88 + + +
+ + NONLOCAL MAINTENANCE + MA-4 + P2 + LOW + MODERATE + HIGH + +

The organization:

+ +

Approves and monitors nonlocal maintenance and diagnostic activities;

+ MA-4a. +
+ +

Allows the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system;

+ MA-4b. +
+ +

Employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;

+ MA-4c. +
+ +

Maintains records for nonlocal maintenance and diagnostic activities; and

+ MA-4d. +
+ +

Terminates session and network connections when nonlocal maintenance is completed.

+ MA-4e. +
+
+ +

Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Typically, strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.

+ + + + + + + + + + + + + + + + + +
+ +

Determine if the organization:

+ + MA-4(a) + +

approves nonlocal maintenance and diagnostic activities;

+ MA-4(a)[1] +
+ +

monitors nonlocal maintenance and diagnostic activities;

+ MA-4(a)[2] +
+
+ +

allows the use of nonlocal maintenance and diagnostic tools only:

+ MA-4(b) + +

as consistent with organizational policy;

+ MA-4(b)[1] +
+ +

as documented in the security plan for the information system;

+ MA-4(b)[2] +
+
+ +

employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;

+ MA-4(c) +
+ +

maintains records for nonlocal maintenance and diagnostic activities;

+ MA-4(d) +
+ + MA-4(e) + +

terminates sessions when nonlocal maintenance or diagnostics is completed; and

+ MA-4(e)[1] +
+ +

terminates network connections when nonlocal maintenance or diagnostics is completed.

+ MA-4(e)[2] +
+
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing nonlocal maintenance

+ TEST +
+ + AUDITING AND REVIEW + MA-4 (1) + +

The organization:

+ +

Audits nonlocal maintenance and diagnostic sessions ; and

+ MA-4 (1)(a) +
+ +

Reviews the records of the maintenance and diagnostic sessions.

+ MA-4 (1)(b) +
+
+ + + + + + +

Determine if the organization:

+ + MA-4(1)(a) + +

defines audit events to audit nonlocal maintenance and diagnostic sessions;

+ MA-4(1)(a)[1] +
+ +

audits organization-defined audit events for non-local maintenance and diagnostic sessions; and

+ MA-4(1)(a)[2] +
+
+ +

reviews records of the maintenance and diagnostic sessions.

+ MA-4(1)(b) +
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational processes for audit and review of nonlocal maintenance

+ TEST +
+ + organization-defined audit events + organization-defined audit events + +
+ + DOCUMENT NONLOCAL MAINTENANCE + MA-4 (2) + MODERATE + HIGH + +

The organization documents in the security plan for the information system, the policies and procedures for the establishment and use of nonlocal maintenance and diagnostic connections.

+
+ +

Determine if the organization documents in the security plan for the information system:

+ +

the policies for the establishment and use of nonlocal maintenance and diagnostic connections; and

+ MA-4(2)[1] +
+ +

the procedures for the establishment and use of nonlocal maintenance and diagnostic connections.

+ MA-4(2)[2] +
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+
+ + COMPARABLE SECURITY / SANITIZATION + MA-4 (3) + HIGH + +

The organization:

+ +

Requires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or

+ MA-4 (3)(a) +
+ +

Removes the component to be serviced from the information system prior to nonlocal maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component (with regard to potentially malicious software) before reconnecting the component to the information system.

+ MA-4 (3)(b) +
+
+ +

Comparable security capability on information systems, diagnostic tools, and equipment providing maintenance services implies that the implemented security controls on those systems, tools, and equipment are at least as comprehensive as the controls on the information system being serviced.

+ + + + +
+ +

Determine if the organization:

+ +

requires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or

+ MA-4(3)(a) +
+ + MA-4(3)(b) + +

removes the component to be serviced from the information system;

+ MA-4(3)(b)[1] +
+ +

sanitizes the component (with regard to organizational information) prior to nonlocal maintenance or diagnostic services and/or before removal from organizational facilities; and

+ MA-4(3)(b)[2] +
+ +

inspects and sanitizes the component (with regard to potentially malicious software) after service is performed on the component and before reconnecting the component to the information system.

+ MA-4(3)(b)[3] +
+
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational processes for comparable security and sanitization for nonlocal maintenance

+ TEST +
+
+ + AUTHENTICATION / SEPARATION OF MAINTENANCE SESSIONS + MA-4 (4) + +

The organization protects nonlocal maintenance sessions by:

+ +

Employing ; and

+ MA-4 (4)(a) +
+ +

Separating the maintenance sessions from other network sessions with the information system by either:

+ MA-4 (4)(b) + +

Physically separated communications paths; or

+ MA-4 (4)(b)(1) +
+ +

Logically separated communications paths based upon encryption.

+ MA-4 (4)(b)(2) +
+
+
+ + + + +

Determine if the organization protects nonlocal maintenance sessions by:

+ + MA-4(4)(a) + +

defining replay resistant authenticators to be employed to protect nonlocal maintenance sessions;

+ MA-4(4)(a)[1] +
+ +

employing organization-defined authenticators that are replay resistant;

+ MA-4(4)(a)[2] +
+
+ +

separating the maintenance sessions from other network sessions with the information system by either:

+ MA-4(4)(b) + +

physically separated communications paths; or

+ MA-4(4)(b)(1) +
+ +

logically separated communications paths based upon encryption.

+ MA-4(4)(b)(2) +
+
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational processes for protecting nonlocal maintenance sessions

+ TEST +
+ + organization-defined authenticators that are replay resistant + organization-defined authenticators that are replay resistant + +
+ + APPROVALS AND NOTIFICATIONS + MA-4 (5) + +

The organization:

+ +

Requires the approval of each nonlocal maintenance session by ; and

+ MA-4 (5)(a) +
+ +

Notifies of the date and time of planned nonlocal maintenance.

+ MA-4 (5)(b) +
+
+ +

Notification may be performed by maintenance personnel. Approval of nonlocal maintenance sessions is accomplished by organizational personnel with sufficient information security and information system knowledge to determine the appropriateness of the proposed maintenance.

+
+ +

Determine if the organization:

+ + MA-4(5)(a) + +

defines personnel or roles required to approve each nonlocal maintenance session;

+ MA-4(5)(a)[1] +
+ +

requires the approval of each nonlocal maintenance session by organization-defined personnel or roles;

+ MA-4(5)(a)[2] +
+
+ + MA-4(5)(b) + +

defines personnel or roles to be notified of the date and time of planned nonlocal maintenance; and

+ MA-4(5)(b)[1] +
+ +

notifies organization-defined personnel roles of the date and time of planned nonlocal maintenance.

+ MA-4(5)(b)[2] +
+
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational processes for approving and notifying personnel regarding nonlocal maintenance

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + CRYPTOGRAPHIC PROTECTION + MA-4 (6) + +

The information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.

+
+ + + + + +

Determine if the information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.

+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Cryptographic mechanisms protecting nonlocal maintenance and diagnostic communications

+ TEST +
+
+ + REMOTE DISCONNECT VERIFICATION + MA-4 (7) + +

The information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.

+
+ +

Remote disconnect verification ensures that remote connections from nonlocal maintenance sessions have been terminated and are no longer available for use.

+ +
+ +

Determine if the information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.

+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing remote disconnect verifications of terminated nonlocal maintenance and diagnostic sessions

+ TEST +
+
+ + + FIPS Publication 140-2 + + + FIPS Publication 197 + + + FIPS Publication 201 + + + NIST Special Publication 800-63 + + + NIST Special Publication 800-88 + + + CNSS Policy 15 + + +
+ + MAINTENANCE PERSONNEL + MA-5 + P2 + LOW + MODERATE + HIGH + +

The organization:

+ +

Establishes a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel;

+ MA-5a. +
+ +

Ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and

+ MA-5b. +
+ +

Designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.

+ MA-5c. +
+
+ +

This control applies to individuals performing hardware or software maintenance on organizational information systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of supervising individuals relates to the maintenance performed on the information systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational information systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.

+ + + + + + + +
+ +

Determine if the organization:

+ + MA-5(a) + +

establishes a process for maintenance personnel authorization;

+ MA-5(a)[1] +
+ +

maintains a list of authorized maintenance organizations or personnel;

+ MA-5(a)[2] +
+
+ +

ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and

+ MA-5(b) +
+ +

designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.

+ MA-5(c) +
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational processes for authorizing and managing maintenance personnel

+ TEST +
+ + INDIVIDUALS WITHOUT APPROPRIATE ACCESS + MA-5 (1) + HIGH + +

The organization:

+ +

Implements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:

+ MA-5 (1)(a) + +

Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;

+ MA-5 (1)(a)(1) +
+ +

Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and

+ MA-5 (1)(a)(2) +
+
+ +

Develops and implements alternate security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.

+ MA-5 (1)(b) +
+
+ +

This control enhancement denies individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on organizational information systems. Procedures for the use of maintenance personnel can be documented in security plans for the information systems.

+ + +
+ +

Determine if the organization:

+ +

implements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:

+ MA-5(1)(a) + +

maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who:

+ MA-5(1)(a)(1) + +

are fully cleared;

+ MA-5(1)(a)(1)[1] +
+ +

have appropriate access authorizations;

+ MA-5(1)(a)(1)[2] +
+ +

are technically qualified;

+ MA-5(1)(a)(1)[3] +
+
+ +

prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances, or formal access approvals:

+ MA-5(1)(a)(2) + +

all volatile information storage components within the information system are sanitized; and

+ MA-5(1)(a)(2)[1] +
+ +

all nonvolatile storage media are removed; or

+ MA-5(1)(a)(2)[2] +
+ +

all nonvolatile storage media are physically disconnected from the system and secured; and

+ MA-5(1)(a)(2)[3] +
+
+
+ +

develops and implements alternative security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.

+ MA-5(1)(b) +
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing maintenance personnel without appropriate access

+ TEST +
+
+ + SECURITY CLEARANCES FOR CLASSIFIED SYSTEMS + MA-5 (2) + +

The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for all compartments of information on the system.

+
+ + + + +

Determine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess:

+ +

security clearances for at least the highest classification level on the system;

+ MA-5(2)[1] +
+ +

security clearances for all compartments of information on the system;

+ MA-5(2)[2] +
+ +

formal access approvals for at least the highest classification level on the system; and

+ MA-5(2)[3] +
+ +

formal access approvals for all compartments of information on the system.

+ MA-5(2)[4] +
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing security clearances for maintenance personnel

+ TEST +
+
+ + CITIZENSHIP REQUIREMENTS FOR CLASSIFIED SYSTEMS + MA-5 (3) + +

The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.

+
+ + + + +

Determine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.

+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+
+ + FOREIGN NATIONALS + MA-5 (4) + +

The organization ensures that:

+ +

Cleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and

+ MA-5 (4)(a) +
+ +

Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.

+ MA-5 (4)(b) +
+
+ + + + +

Determine if the organization ensures that:

+ +

cleared foreign nationals (i.e., foreign nationals with appropriate security clearances) are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are:

+ MA-5(4)(a) + +

jointly owned and operated by the United States and foreign allied governments; or

+ MA-5(4)(a)[1] +
+ +

owned and operated solely by foreign allied governments; and

+ MA-5(4)(a)[2] +
+
+ +

approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.

+ MA-5(4)(b) +
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities, organizational personnel with personnel security responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing foreign national maintenance personnel

+ TEST +
+
+ + NONSYSTEM-RELATED MAINTENANCE + MA-5 (5) + +

The organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.

+
+ +

Personnel performing maintenance activities in other capacities not directly related to the information system include, for example, physical plant personnel and janitorial personnel.

+
+ +

Determine if the organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.

+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+
+
+ + TIMELY MAINTENANCE + + organization-defined information system components + organization-defined information system components + + + organization-defined time period + organization-defined time period + + MA-6 + P2 + MODERATE + HIGH + +

The organization obtains maintenance support and/or spare parts for within of failure.

+
+ +

Organizations specify the information system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support typically include having appropriate contracts in place.

+ + + + + +
+ +

Determine if the organization:

+ +

defines information system components for which maintenance support and/or spare parts are to be obtained;

+ MA-6[1] +
+ +

defines the time period within which maintenance support and/or spare parts are to be obtained after a failure;

+ MA-6[2] +
+ + MA-6[3] + +

obtains maintenance support for organization-defined information system components within the organization-defined time period of failure; and/or

+ MA-6[3][a] +
+ +

obtains spare parts for organization-defined information system components within the organization-defined time period of failure.

+ MA-6[3][b] +
+
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational processes for ensuring timely maintenance

+ TEST +
+ + PREVENTIVE MAINTENANCE + MA-6 (1) + +

The organization performs preventive maintenance on at .

+
+ +

Preventive maintenance includes proactive care and servicing of organizational information systems components for the purpose of maintaining equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid/mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they actually fail. Methods of determining what preventive (or other) failure management policies to apply include, for example, original equipment manufacturer (OEM) recommendations, statistical failure records, requirements of codes, legislation, or regulations within a jurisdiction, expert opinion, maintenance that has already been conducted on similar equipment, or measured values and performance indications.

+
+ +

Determine if the organization:

+ +

defines information system components on which preventive maintenance is to be performed;

+ MA-6(1)[1] +
+ +

defines time intervals within which preventive maintenance is to be performed on organization-defined information system components; and

+ MA-6(1)[2] +
+ +

performs preventive maintenance on organization-defined information system components at organization-defined time intervals.

+ MA-6(1)[3] +
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational processes for preventive maintenance

+ TEST +
+ + organization-defined information system components + organization-defined information system components + + + organization-defined time intervals + organization-defined time intervals + +
+ + PREDICTIVE MAINTENANCE + MA-6 (2) + +

The organization performs predictive maintenance on at .

+
+ +

Predictive maintenance, or condition-based maintenance, attempts to evaluate the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled point in time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the goal of predicting the future trend of the equipment's condition. This approach uses principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thereby minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability. Predictive maintenance tends to include measurement of the item. To evaluate equipment condition, predictive maintenance utilizes nondestructive testing technologies such as infrared, acoustic (partial discharge and airborne ultrasonic), corona detection, vibration analysis, sound level measurements, oil analysis, and other specific online tests.

+
+ +

Determine if the organization:

+ +

defines information system components on which predictive maintenance is to be performed;

+ MA-6(2)[1] +
+ +

defines time intervals within which predictive maintenance is to be performed on organization-defined information system components; and

+ MA-6(2)[2] +
+ +

performs predictive maintenance on organization-defined information system components at organization-defined time intervals.

+ MA-6(2)[3] +
+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Organizational processes for predictive maintenance

+ TEST +
+ + organization-defined information system components + organization-defined information system components + + + organization-defined time intervals + organization-defined time intervals + +
+ + AUTOMATED SUPPORT FOR PREDICTIVE MAINTENANCE + MA-6 (3) + +

The organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.

+
+ +

A computerized maintenance management system maintains a computer database of information about the maintenance operations of organizations and automates processing equipment condition data in order to trigger maintenance planning, execution, and reporting.

+
+ +

Determine if the organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.

+
+ +

Information system maintenance policy

+ EXAMINE +
+ +

Organizational personnel with information system maintenance responsibilities

+ INTERVIEW +
+ +

Automated mechanisms implementing the transfer of predictive maintenance data to a computerized maintenance management system

+ TEST +
+
+
+
+ + MEDIA PROTECTION + + MEDIA PROTECTION POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + MP-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ MP-1a. + +

A media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ MP-1a.1. +
+ +

Procedures to facilitate the implementation of the media protection policy and associated media protection controls; and

+ MP-1a.2. +
+
+ +

Reviews and updates the current:

+ MP-1b. + +

Media protection policy ; and

+ MP-1b.1. +
+ +

Media protection procedures .

+ MP-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + MP-1(a)(1) + +

develops and documents a media protection policy that addresses:

+ MP-1(a)(1)[1] + +

purpose;

+ MP-1(a)(1)[1][a] +
+ +

scope;

+ MP-1(a)(1)[1][b] +
+ +

roles;

+ MP-1(a)(1)[1][c] +
+ +

responsibilities;

+ MP-1(a)(1)[1][d] +
+ +

management commitment;

+ MP-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ MP-1(a)(1)[1][f] +
+ +

compliance;

+ MP-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the media protection policy is to be disseminated;

+ MP-1(a)(1)[2] +
+ +

disseminates the media protection policy to organization-defined personnel or roles;

+ MP-1(a)(1)[3] +
+
+ + MP-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the media protection policy and associated media protection controls;

+ MP-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ MP-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ MP-1(a)(2)[3] +
+
+ + MP-1(b)(1) + +

defines the frequency to review and update the current media protection policy;

+ MP-1(b)(1)[1] +
+ +

reviews and updates the current media protection policy with the organization-defined frequency;

+ MP-1(b)(1)[2] +
+
+ + MP-1(b)(2) + +

defines the frequency to review and update the current media protection procedures; and

+ MP-1(b)(2)[1] +
+ +

reviews and updates the current media protection procedures with the organization-defined frequency.

+ MP-1(b)(2)[2] +
+
+
+ +

Media protection policy and procedures

+ EXAMINE +
+ +

Organizational personnel with media protection responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-100 + + +
+ + MEDIA ACCESS + + organization-defined types of digital and/or non-digital media + organization-defined types of digital and/or non-digital media + + + organization-defined personnel or roles + organization-defined personnel or roles + + MP-2 + P1 + LOW + MODERATE + HIGH + +

The organization restricts access to to .

+
+ +

Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Restricting non-digital media access includes, for example, denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers. Restricting access to digital media includes, for example, limiting access to design specifications stored on compact disks in the media library to the project leader and the individuals on the development team.

+ + + + + + +
+ +

Determine if the organization:

+ +

defines types of digital and/or non-digital media requiring restricted access;

+ MP-2[1] +
+ +

defines personnel or roles authorized to access organization-defined types of digital and/or non-digital media; and

+ MP-2[2] +
+ +

restricts access to organization-defined types of digital and/or non-digital media to organization-defined personnel or roles.

+ MP-2[3] +
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media protection responsibilities

+ INTERVIEW +
+ +

Organizational processes for restricting information media

+ TEST +
+ + AUTOMATED RESTRICTED ACCESS + MP-2 (1) + +

Incorporated into MP-4 (2).

+
+ +
+ + CRYPTOGRAPHIC PROTECTION + MP-2 (2) + +

Incorporated into SC-28 (1).

+
+ +
+ + + FIPS Publication 199 + + + NIST Special Publication 800-111 + + +
+ + MEDIA MARKING + + organization-defined types of information system media + organization-defined types of information system media + + + organization-defined controlled areas + organization-defined controlled areas + + MP-3 + P2 + MODERATE + HIGH + +

The organization:

+ +

Marks information system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and

+ MP-3a. +
+ +

Exempts from marking as long as the media remain within .

+ MP-3b. +
+
+ +

The term security marking refers to the application/use of human-readable security attributes. The term security labeling refers to the application/use of security attributes with regard to internal data structures within information systems (see AC-16). Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of information system media reflects applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.

+ + + +
+ +

Determine if the organization:

+ +

marks information system media indicating the:

+ MP-3(a) + +

distribution limitations of the information;

+ MP-3(a)[1] +
+ +

handling caveats of the information;

+ MP-3(a)[2] +
+ +

applicable security markings (if any) of the information;

+ MP-3(a)[3] +
+
+ + MP-3(b) + +

defines types of information system media to be exempted from marking as long as the media remain in designated controlled areas;

+ MP-3(b)[1] +
+ +

defines controlled areas where organization-defined types of information system media exempt from marking are to be retained; and

+ MP-3(b)[2] +
+ +

exempts organization-defined types of information system media from marking as long as the media remain within organization-defined controlled areas.

+ MP-3(b)[3] +
+
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media protection and marking responsibilities

+ INTERVIEW +
+ +

Organizational processes for marking information media

+ TEST +
+ + + FIPS Publication 199 + + +
+ + MEDIA STORAGE + + organization-defined types of digital and/or non-digital media + organization-defined types of digital and/or non-digital media + + + organization-defined controlled areas + organization-defined controlled areas + + MP-4 + P1 + MODERATE + HIGH + +

The organization:

+ +

Physically controls and securely stores within ; and

+ MP-4a. +
+ +

Protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.

+ MP-4b. +
+
+ +

Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling information system media includes, for example, conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the media library, and maintaining accountability for all stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet, or a controlled media library. The type of media storage is commensurate with the security category and/or classification of the information residing on the media. Controlled areas are areas for which organizations provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and/or information systems. For media containing information determined by organizations to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on organizations or individuals if accessed by other than authorized personnel, fewer safeguards may be needed. In these situations, physical access controls provide adequate protection.

+ + + + + +
+ +

Determine if the organization:

+ + MP-4(a) + +

defines types of digital and/or non-digital media to be physically controlled and securely stored within designated controlled areas;

+ MP-4(a)[1] +
+ +

defines controlled areas designated to physically control and securely store organization-defined types of digital and/or non-digital media;

+ MP-4(a)[2] +
+ +

physically controls organization-defined types of digital and/or non-digital media within organization-defined controlled areas;

+ MP-4(a)[3] +
+ +

securely stores organization-defined types of digital and/or non-digital media within organization-defined controlled areas; and

+ MP-4(a)[4] +
+
+ +

protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.

+ MP-4(b) +
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media protection and storage responsibilities

+ INTERVIEW +
+ +

Organizational processes for storing information media

+ TEST +
+ + CRYPTOGRAPHIC PROTECTION + MP-4 (1) + +

Incorporated into SC-28 (1).

+
+ +
+ + AUTOMATED RESTRICTED ACCESS + MP-4 (2) + +

The organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.

+
+ +

Automated mechanisms can include, for example, keypads on the external entries to media storage areas.

+ + + + +
+ +

Determine if the organization employs automated mechanisms to:

+ +

restrict access to media storage areas;

+ MP-4(2)[1] +
+ +

audit access attempts; and

+ MP-4(2)[2] +
+ +

audit access granted.

+ MP-4(2)[3] +
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media protection and storage responsibilities

+ INTERVIEW +
+ +

Automated mechanisms restricting access to media storage areas

+ TEST +
+
+ + + FIPS Publication 199 + + + NIST Special Publication 800-56 + + + NIST Special Publication 800-57 + + + NIST Special Publication 800-111 + + +
+ + MEDIA TRANSPORT + + organization-defined types of information system media + organization-defined types of information system media + + + organization-defined security safeguards + organization-defined security safeguards + + MP-5 + P1 + MODERATE + HIGH + +

The organization:

+ +

Protects and controls during transport outside of controlled areas using ;

+ MP-5a. +
+ +

Maintains accountability for information system media during transport outside of controlled areas;

+ MP-5b. +
+ +

Documents activities associated with the transport of information system media; and

+ MP-5c. +
+ +

Restricts the activities associated with the transport of information system media to authorized personnel.

+ MP-5d. +
+
+ +

Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers), that are transported outside of controlled areas. Controlled areas are areas or spaces for which organizations provide sufficient physical and/or procedural safeguards to meet the requirements established for protecting information and/or information systems. Physical and technical safeguards for media are commensurate with the security category or classification of the information residing on the media. Safeguards to protect media during transport include, for example, locked containers and cryptography. Cryptographic mechanisms can provide confidentiality and integrity protections depending upon the mechanisms used. Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel, and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records.

+ + + + + + + + +
+ +

Determine if the organization:

+ + MP-5(a) + +

defines types of information system media to be protected and controlled during transport outside of controlled areas;

+ MP-5(a)[1] +
+ +

defines security safeguards to protect and control organization-defined information system media during transport outside of controlled areas;

+ MP-5(a)[2] +
+ +

protects and controls organization-defined information system media during transport outside of controlled areas using organization-defined security safeguards;

+ MP-5(a)[3] +
+
+ +

maintains accountability for information system media during transport outside of controlled areas;

+ MP-5(b) +
+ +

documents activities associated with the transport of information system media; and

+ MP-5(c) +
+ +

restricts the activities associated with transport of information system media to authorized personnel.

+ MP-5(d) +
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media protection and storage responsibilities

+ INTERVIEW +
+ +

Organizational processes for storing information media

+ TEST +
+ + PROTECTION OUTSIDE OF CONTROLLED AREAS + MP-5 (1) + +

Incorporated into MP-5.

+
+ +
+ + DOCUMENTATION OF ACTIVITIES + MP-5 (2) + +

Incorporated into MP-5.

+
+ +
+ + CUSTODIANS + MP-5 (3) + +

The organization employs an identified custodian during transport of information system media outside of controlled areas.

+
+ +

Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another as long as an unambiguous custodian is identified at all times.

+
+ +

Determine if the organization employs an identified custodian during transport of information system media outside of controlled areas.

+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media transport responsibilities

+ INTERVIEW +
+
+ + CRYPTOGRAPHIC PROTECTION + MP-5 (4) + MODERATE + HIGH + +

The information system implements cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.

+
+ +

This control enhancement applies to both portable storage devices (e.g., USB memory sticks, compact disks, digital video disks, external/removable hard disk drives) and mobile devices with storage capability (e.g., smart phones, tablets, E-readers).

+ +
+ +

Determine if the organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.

+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media transport responsibilities

+ INTERVIEW +
+ +

Cryptographic mechanisms protecting information on digital media during transportation outside controlled areas

+ TEST +
+
+ + + FIPS Publication 199 + + + NIST Special Publication 800-60 + + +
+ + MEDIA SANITIZATION + + organization-defined information system media + organization-defined information system media + + + organization-defined sanitization techniques and procedures + organization-defined sanitization techniques and procedures + + MP-6 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Sanitizes prior to disposal, release out of organizational control, or release for reuse using in accordance with applicable federal and organizational standards and policies; and

+ MP-6a. +
+ +

Employs sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.

+ MP-6b. +
+
+ +

This control applies to all information system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include media found in scanners, copiers, printers, notebook computers, workstations, network components, and mobile devices. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media containing classified information.

+ + + + +
+ +

Determine if the organization:

+ + MP-6(a) + +

defines information system media to be sanitized prior to:

+ MP-6(a)[1] + +

disposal;

+ MP-6(a)[1][a] +
+ +

release out of organizational control; or

+ MP-6(a)[1][b] +
+ +

release for reuse;

+ MP-6(a)[1][c] +
+
+ +

defines sanitization techniques or procedures to be used for sanitizing organization-defined information system media prior to:

+ MP-6(a)[2] + +

disposal;

+ MP-6(a)[2][a] +
+ +

release out of organizational control; or

+ MP-6(a)[2][b] +
+ +

release for reuse;

+ MP-6(a)[2][c] +
+
+ +

sanitizes organization-defined information system media prior to disposal, release out of organizational control, or release for reuse using organization-defined sanitization techniques or procedures in accordance with applicable federal and organizational standards and policies; and

+ MP-6(a)[3] +
+
+ +

employs sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information.

+ MP-6(b) +
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with media sanitization responsibilities

+ INTERVIEW +
+ +

Organizational processes for media sanitization

+ TEST +
+ + REVIEW / APPROVE / TRACK / DOCUMENT / VERIFY + MP-6 (1) + HIGH + +

The organization reviews, approves, tracks, documents, and verifies media sanitization and disposal actions.

+
+ +

Organizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking/documenting actions include, for example, listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, specific files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken, personnel who performed the verification, and disposal action taken. Organizations verify that the sanitization of the media was effective prior to disposal.

+ +
+ +

Determine if the organization:

+ +

reviews media sanitization and disposal actions;

+ MP-6(1)[1] +
+ +

approves media sanitization and disposal actions;

+ MP-6(1)[2] +
+ +

tracks media sanitization and disposal actions;

+ MP-6(1)[3] +
+ +

documents media sanitization and disposal actions; and

+ MP-6(1)[4] +
+ +

verifies media sanitization and disposal actions.

+ MP-6(1)[5] +
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media sanitization and disposal responsibilities

+ INTERVIEW +
+ +

Organizational processes for media sanitization

+ TEST +
+
+ + EQUIPMENT TESTING + MP-6 (2) + HIGH + +

The organization tests sanitization equipment and procedures to verify that the intended sanitization is being achieved.

+
+ +

Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities (e.g., other federal agencies or external service providers).

+
+ +

Determine if the organization:

+ +

defines the frequency for testing sanitization equipment and procedures to verify that the intended sanitization is being achieved; and

+ MP-6(2)[1] +
+ +

tests sanitization equipment and procedures with the organization-defined frequency to verify that the intended sanitization is being achieved.

+ MP-6(2)[2] +
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media sanitization responsibilities

+ INTERVIEW +
+ +

Organizational processes for media sanitization

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+ + NONDESTRUCTIVE TECHNIQUES + MP-6 (3) + HIGH + +

The organization applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under the following circumstances: .

+
+ +

This control enhancement applies to digital media containing classified information and Controlled Unclassified Information (CUI). Portable storage devices can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown and potentially untrustworthy sources and may contain malicious code that can be readily transferred to information systems through USB ports or other entry portals. While scanning such storage devices is always recommended, sanitization provides additional assurance that the devices are free of malicious code to include code capable of initiating zero-day attacks. Organizations consider nondestructive sanitization of portable storage devices when such devices are first purchased from the manufacturer or vendor prior to initial use or when organizations lose a positive chain of custody for the devices.

+ +
+ +

Determine if the organization:

+ +

defines circumstances requiring sanitization of portable storage devices; and

+ MP-6(3)[1] +
+ +

applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under organization-defined circumstances requiring sanitization of portable storage devices.

+ MP-6(3)[2] +
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media sanitization responsibilities

+ INTERVIEW +
+ +

Organizational processes for media sanitization of portable storage devices

+ TEST +
+ + organization-defined circumstances requiring sanitization of portable storage devices + organization-defined circumstances requiring sanitization of portable storage devices + +
+ + CONTROLLED UNCLASSIFIED INFORMATION + MP-6 (4) + +

Incorporated into MP-6.

+
+ +
+ + CLASSIFIED INFORMATION + MP-6 (5) + +

Incorporated into MP-6.

+
+ +
+ + MEDIA DESTRUCTION + MP-6 (6) + +

Incorporated into MP-6.

+
+ +
+ + DUAL AUTHORIZATION + MP-6 (7) + +

The organization enforces dual authorization for the sanitization of .

+
+ +

Organizations employ dual authorization to ensure that information system media sanitization cannot occur unless two technically qualified individuals conduct the task. Individuals sanitizing information system media possess sufficient skills/expertise to determine if the proposed sanitization reflects applicable federal/organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, both protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control.

+ + +
+ +

Determine if the organization:

+ +

defines information system media requiring dual authorization to be enforced for sanitization of such media; and

+ MP-6(7)[1] +
+ +

enforces dual authorization for the sanitization of organization-defined information system media.

+ MP-6(7)[2] +
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media sanitization responsibilities

+ INTERVIEW +
+ +

Organizational processes requiring dual authorization for media sanitization

+ TEST +
+ + organization-defined information system media + organization-defined information system media + +
+ + REMOTE PURGING / WIPING OF INFORMATION + MP-6 (8) + +

The organization provides the capability to purge/wipe information from either remotely or under the following conditions: .

+
+ +

This control enhancement protects data/information on organizational information systems, system components, or devices (e.g., mobile devices) if such systems, components, or devices are obtained by unauthorized individuals. Remote purge/wipe commands require strong authentication to mitigate the risk of unauthorized individuals purging/wiping the system/component/device. The purge/wipe function can be implemented in a variety of ways including, for example, by overwriting data/information multiple times or by destroying the key necessary to decrypt encrypted data.

+
+ +

Determine if the organization:

+ +

defines information systems, system components, or devices to purge/wipe either remotely or under specific organizational conditions;

+ MP-6(8)[1] +
+ +

defines conditions under which information is to be purged/wiped from organization-defined information systems, system components, or devices; and

+ MP-6(8)[2] +
+ +

provides the capability to purge/wipe information from organization-defined information systems, system components, or devices either:

+ MP-6(8)[3] + +

remotely; or

+ MP-6(8)[3][a] +
+ +

under organization-defined conditions.

+ MP-6(8)[3][b] +
+
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media sanitization responsibilities

+ INTERVIEW +
+ +

Organizational processes for purging/wiping media

+ TEST +
+ + organization-defined information systems, system components, or devices + organization-defined information systems, system components, or devices + + + organization-defined conditions + organization-defined conditions + +
+ + + FIPS Publication 199 + + + NIST Special Publication 800-60 + + + NIST Special Publication 800-88 + + + http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml + + +
+ + MEDIA USE + + organization-defined types of information system media + organization-defined types of information system media + + + organization-defined information systems or system components + organization-defined information systems or system components + + + organization-defined security safeguards + organization-defined security safeguards + + MP-7 + P1 + LOW + MODERATE + HIGH + +

The organization [Selection: restricts; prohibits] the use of on using .

+
+ +

Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on information systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict the use of information system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices.

+ + +
+ +

Determine if the organization:

+ +

defines types of information system media to be:

+ MP-7[1] + +

restricted on information systems or system components; or

+ MP-7[1][a] +
+ +

prohibited from use on information systems or system components;

+ MP-7[1][b] +
+
+ +

defines information systems or system components on which the use of organization-defined types of information system media is to be one of the following:

+ MP-7[2] + +

restricted; or

+ MP-7[2][a] +
+ +

prohibited;

+ MP-7[2][b] +
+
+ +

defines security safeguards to be employed to restrict or prohibit the use of organization-defined types of information system media on organization-defined information systems or system components; and

+ MP-7[3] +
+ +

restricts or prohibits the use of organization-defined information system media on organization-defined information systems or system components using organization-defined security safeguards.

+ MP-7[4] +
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media use responsibilities

+ INTERVIEW +
+ +

Organizational processes for media use

+ TEST +
+ + PROHIBIT USE WITHOUT OWNER + MP-7 (1) + MODERATE + HIGH + +

The organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.

+
+ +

Requiring identifiable owners (e.g., individuals, organizations, or projects) for portable storage devices reduces the risk of using such technologies by allowing organizations to assign responsibility and accountability for addressing known vulnerabilities in the devices (e.g., malicious code insertion).

+ +
+ +

Determine if the organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.

+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media use responsibilities

+ INTERVIEW +
+ +

Organizational processes for media use

+ TEST +
+
+ + PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA + MP-7 (2) + +

The organization prohibits the use of sanitization-resistant media in organizational information systems.

+
+ +

Sanitization-resistance applies to the capability to purge information from media. Certain types of media do not support sanitize commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media include, for example, compact flash, embedded flash on boards and devices, solid state drives, and USB removable media.

+ +
+ +

Determine if the organization prohibits the use of sanitization-resistant media in organizational information systems.

+
+ +

Information system media protection policy, system use policy

+ EXAMINE +
+ +

Organizational personnel with information system media use responsibilities

+ INTERVIEW +
+ +

Organizational processes for media use

+ TEST +
+
+ + + FIPS Publication 199 + + + NIST Special Publication 800-111 + + +
+ + MEDIA DOWNGRADING + + organization-defined information system media downgrading process + organization-defined information system media downgrading process + + + organization-defined strength and integrity + organization-defined strength and integrity + + + organization-defined information system media requiring downgrading + organization-defined information system media requiring downgrading + + MP-8 + P0 + +

The organization:

+ +

Establishes that includes employing downgrading mechanisms with ;

+ MP-8a. +
+ +

Ensures that the information system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;

+ MP-8b. +
+ +

Identifies ; and

+ MP-8c. +
+ +

Downgrades the identified information system media using the established process.

+ MP-8d. +
+
+ +

This control applies to all information system media, digital and non-digital, subject to release outside of the organization, whether or not the media is considered removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading of media also ensures that empty space on the media (e.g., slack space within files) is devoid of information.

+
+ +

Determine if the organization:

+ + MP-8(a) + +

defines the information system media downgrading process;

+ MP-8(a)[1] +
+ +

defines the strength and integrity with which media downgrading mechanisms are to be employed;

+ MP-8(a)[2] +
+ +

establishes an organization-defined information system media downgrading process that includes employing downgrading mechanisms with organization-defined strength and integrity;

+ MP-8(a)[3] +
+
+ +

ensures that the information system media downgrading process is commensurate with the:

+ MP-8(b) + +

security category and/or classification level of the information to be removed;

+ MP-8(b)[1] +
+ +

access authorizations of the potential recipients of the downgraded information;

+ MP-8(b)[2] +
+
+ +

identifies/defines information system media requiring downgrading; and

+ MP-8(c) +
+ +

downgrades the identified information system media using the established process.

+ MP-8(d) +
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media downgrading responsibilities

+ INTERVIEW +
+ +

Organizational processes for media downgrading

+ TEST +
+ + DOCUMENTATION OF PROCESS + MP-8 (1) + +

The organization documents information system media downgrading actions.

+
+ +

Organizations can document the media downgrading process by providing information such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action.

+
+ +

Determine if the organization documents information system media downgrading actions.

+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media downgrading responsibilities

+ INTERVIEW +
+ +

Organizational processes for media downgrading

+ TEST +
+
+ + EQUIPMENT TESTING + MP-8 (2) + +

The organization employs of downgrading equipment and procedures to verify correct performance .

+
+ +

Determine if the organization:

+ + MP-8(2)[1] + +

defines tests to be employed for downgrading equipment;

+ MP-8(2)[1][a] +
+ +

defines procedures to verify correct performance;

+ MP-8(2)[1][b] +
+
+ +

defines the frequency for employing tests of downgrading equipment and procedures to verify correct performance; and

+ MP-8(2)[2] +
+ +

employs organization-defined tests of downgrading equipment and procedures to verify correct performance with the organization-defined frequency.

+ MP-8(2)[3] +
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media downgrading responsibilities

+ INTERVIEW +
+ +

Organizational processes for media downgrading

+ TEST +
+ + organization-defined tests + organization-defined tests + + + organization-defined frequency + organization-defined frequency + +
+ + CONTROLLED UNCLASSIFIED INFORMATION + MP-8 (3) + +

The organization downgrades information system media containing prior to public release in accordance with applicable federal and organizational standards and policies.

+
+ +

Determine if the organization:

+ +

defines Controlled Unclassified Information (CUI) contained on information system media that requires downgrading prior to public release; and

+ MP-8(3)[1] +
+ +

downgrades information system media containing organization-defined CUI prior to public release in accordance with applicable federal and organizational standards and policies.

+ MP-8(3)[2] +
+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media downgrading responsibilities

+ INTERVIEW +
+ +

Organizational processes for media downgrading

+ TEST +
+ + organization-defined Controlled Unclassified Information (CUI) + organization-defined Controlled Unclassified Information (CUI) + +
+ + CLASSIFIED INFORMATION + MP-8 (4) + +

The organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.

+
+ +

Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified information systems to unclassified media.

+
+ +

Determine if the organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.

+
+ +

Information system media protection policy

+ EXAMINE +
+ +

Organizational personnel with information system media downgrading responsibilities

+ INTERVIEW +
+ +

Organizational processes for media downgrading

+ TEST +
+
+
+
+ + PHYSICAL AND ENVIRONMENTAL PROTECTION + + PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + PE-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ PE-1a. + +

A physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ PE-1a.1. +
+ +

Procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls; and

+ PE-1a.2. +
+
+ +

Reviews and updates the current:

+ PE-1b. + +

Physical and environmental protection policy ; and

+ PE-1b.1. +
+ +

Physical and environmental protection procedures .

+ PE-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + PE-1(a)(1) + +

develops and documents a physical and environmental protection policy that addresses:

+ PE-1(a)(1)[1] + +

purpose;

+ PE-1(a)(1)[1][a] +
+ +

scope;

+ PE-1(a)(1)[1][b] +
+ +

roles;

+ PE-1(a)(1)[1][c] +
+ +

responsibilities;

+ PE-1(a)(1)[1][d] +
+ +

management commitment;

+ PE-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ PE-1(a)(1)[1][f] +
+ +

compliance;

+ PE-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the physical and environmental protection policy is to be disseminated;

+ PE-1(a)(1)[2] +
+ +

disseminates the physical and environmental protection policy to organization-defined personnel or roles;

+ PE-1(a)(1)[3] +
+
+ + PE-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls;

+ PE-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ PE-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ PE-1(a)(2)[3] +
+
+ + PE-1(b)(1) + +

defines the frequency to review and update the current physical and environmental protection policy;

+ PE-1(b)(1)[1] +
+ +

reviews and updates the current physical and environmental protection policy with the organization-defined frequency;

+ PE-1(b)(1)[2] +
+
+ + PE-1(b)(2) + +

defines the frequency to review and update the current physical and environmental protection procedures; and

+ PE-1(b)(2)[1] +
+ +

reviews and updates the current physical and environmental protection procedures with the organization-defined frequency.

+ PE-1(b)(2)[2] +
+
+
+ +

Physical and environmental protection policy and procedures

+ EXAMINE +
+ +

Organizational personnel with physical and environmental protection responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-100 + + +
+ + PHYSICAL ACCESS AUTHORIZATIONS + + organization-defined frequency + organization-defined frequency + + PE-2 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, approves, and maintains a list of individuals with authorized access to the facility where the information system resides;

+ PE-2a. +
+ +

Issues authorization credentials for facility access;

+ PE-2b. +
+ +

Reviews the access list detailing authorized facility access by individuals ; and

+ PE-2c. +
+ +

Removes individuals from the facility access list when access is no longer required.

+ PE-2d. +
+
+ +

This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed (including level of forge-proof badges, smart cards, or identification cards) consistent with federal standards, policies, and procedures. This control only applies to areas within facilities that have not been designated as publicly accessible.

+ + + +
+ +

Determine if the organization:

+ + PE-2(a) + +

develops a list of individuals with authorized access to the facility where the information system resides;

+ PE-2(a)[1] +
+ +

approves a list of individuals with authorized access to the facility where the information system resides;

+ PE-2(a)[2] +
+ +

maintains a list of individuals with authorized access to the facility where the information system resides;

+ PE-2(a)[3] +
+
+ +

issues authorization credentials for facility access;

+ PE-2(b) +
+ + PE-2(c) + +

defines the frequency to review the access list detailing authorized facility access by individuals;

+ PE-2(c)[1] +
+ +

reviews the access list detailing authorized facility access by individuals with the organization-defined frequency; and

+ PE-2(c)[2] +
+
+ +

removes individuals from the facility access list when access is no longer required.

+ PE-2(d) +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access authorization responsibilities

+ INTERVIEW +
+ +

Organizational processes for physical access authorizations

+ TEST +
+ + ACCESS BY POSITION / ROLE + PE-2 (1) + +

The organization authorizes physical access to the facility where the information system resides based on position or role.

+
+ + + + + + +

Determine if the organization authorizes physical access to the facility where the information system resides based on position or role.

+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access authorization responsibilities

+ INTERVIEW +
+ +

Organizational processes for physical access authorizations

+ TEST +
+
+ + TWO FORMS OF IDENTIFICATION + PE-2 (2) + +

The organization requires two forms of identification from for visitor access to the facility where the information system resides.

+
+ +

Acceptable forms of government photo identification include, for example, passports, Personal Identity Verification (PIV) cards, and drivers� licenses. In the case of gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics.

+ + + +
+ +

Determine if the organization:

+ +

defines a list of acceptable forms of identification for visitor access to the facility where the information system resides; and

+ PE-2(2)[1] +
+ +

requires two forms of identification from the organization-defined list of acceptable forms of identification for visitor access to the facility where the information system resides.

+ PE-2(2)[2] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access authorization responsibilities

+ INTERVIEW +
+ +

Organizational processes for physical access authorizations

+ TEST +
+ + organization-defined list of acceptable forms of identification + organization-defined list of acceptable forms of identification + +
+ + RESTRICT UNESCORTED ACCESS + PE-2 (3) + +

The organization restricts unescorted access to the facility where the information system resides to personnel with [Selection (one or more): security clearances for all information contained within the system; formal access authorizations for all information contained within the system; need for access to all information contained within the system; ].

+
+ +

Due to the highly sensitive nature of classified information stored within certain facilities, it is important that individuals lacking sufficient security clearances, access approvals, or need to know, be escorted by individuals with appropriate credentials to ensure that such information is not exposed or otherwise compromised.

+ + +
+ +

Determine if the organization:

+ +

defines credentials to be employed to restrict unescorted access to the facility where the information system resides to authorized personnel;

+ PE-2(3)[1] +
+ +

restricts unescorted access to the facility where the information system resides to personnel with one or more of the following:

+ PE-2(3)[2] + +

security clearances for all information contained within the system;

+ PE-2(3)[2][a] +
+ +

formal access authorizations for all information contained within the system;

+ PE-2(3)[2][b] +
+ +

need for access to all information contained within the system; and/or

+ PE-2(3)[2][c] +
+ +

organization-defined credentials.

+ PE-2(3)[2][d] +
+
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access authorization responsibilities

+ INTERVIEW +
+ +

Organizational processes for physical access authorizations

+ TEST +
+ + organization-defined credentials + organization-defined credentials + +
+
+ + PHYSICAL ACCESS CONTROL + + organization-defined entry/exit points to the facility where the information system resides + organization-defined entry/exit points to the facility where the information system resides + + + organization-defined physical access control systems/devices + organization-defined physical access control systems/devices + + + organization-defined entry/exit points + organization-defined entry/exit points + + + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined circumstances requiring visitor escorts and monitoring + organization-defined circumstances requiring visitor escorts and monitoring + + + organization-defined physical access devices + organization-defined physical access devices + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + PE-3 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Enforces physical access authorizations at by;

+ PE-3a. + +

Verifying individual access authorizations before granting access to the facility; and

+ PE-3a.1. +
+ +

Controlling ingress/egress to the facility using [Selection (one or more): ; guards];

+ PE-3a.2. +
+
+ +

Maintains physical access audit logs for ;

+ PE-3b. +
+ +

Provides to control access to areas within the facility officially designated as publicly accessible;

+ PE-3c. +
+ +

Escorts visitors and monitors visitor activity ;

+ PE-3d. +
+ +

Secures keys, combinations, and other physical access devices;

+ PE-3e. +
+ +

Inventories every ; and

+ PE-3f. +
+ +

Changes combinations and keys and/or when keys are lost, combinations are compromised, or individuals are transferred or terminated.

+ PE-3g. +
+
+ +

This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional physical security staff or other personnel such as administrative staff or information system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Safeguards for publicly accessible areas within organizational facilities include, for example, cameras, monitoring by guards, and isolating selected information systems and/or system components in secured areas. Physical access control systems comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The Federal Identity, Credential, and Access Management Program provides implementation guidance for identity, credential, and access management capabilities for physical access control systems. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g., a written log of individuals accessing the facility and when such access occurred), automated (e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points can include facility access points, interior access points to information systems and/or components requiring supplemental access controls, or both. Components of organizational information systems (e.g., workstations, terminals) may be located in areas designated as publicly accessible with organizations safeguarding access to such devices.

+ + + + + + + + + +
+ +

Determine if the organization:

+ + PE-3(a) + +

defines entry/exit points to the facility where the information system resides;

+ PE-3(a)[1] +
+ +

enforces physical access authorizations at organization-defined entry/exit points to the facility where the information system resides by:

+ PE-3(a)[2] + +

verifying individual access authorizations before granting access to the facility;

+ PE-3(a)[2](1) +
+ + PE-3(a)[2](2) + +

defining physical access control systems/devices to be employed to control ingress/egress to the facility where the information system resides;

+ PE-3(a)[2](2)[a] +
+ +

using one or more of the following ways to control ingress/egress to the facility:

+ PE-3(a)[2](2)[b] + +

organization-defined physical access control systems/devices; and/or

+ PE-3(a)[2](2)[b][1] +
+ +

guards;

+ PE-3(a)[2](2)[b][2] +
+
+
+
+
+ + PE-3(b) + +

defines entry/exit points for which physical access audit logs are to be maintained;

+ PE-3(b)[1] +
+ +

maintains physical access audit logs for organization-defined entry/exit points;

+ PE-3(b)[2] +
+
+ + PE-3(c) + +

defines security safeguards to be employed to control access to areas within the facility officially designated as publicly accessible;

+ PE-3(c)[1] +
+ +

provides organization-defined security safeguards to control access to areas within the facility officially designated as publicly accessible;

+ PE-3(c)[2] +
+
+ + PE-3(d) + +

defines circumstances requiring visitor:

+ PE-3(d)[1] + +

escorts;

+ PE-3(d)[1][a] +
+ +

monitoring;

+ PE-3(d)[1][b] +
+
+ +

in accordance with organization-defined circumstances requiring visitor escorts and monitoring:

+ PE-3(d)[2] + +

escorts visitors;

+ PE-3(d)[2][a] +
+ +

monitors visitor activities;

+ PE-3(d)[2][b] +
+
+
+ + PE-3(e) + +

secures keys;

+ PE-3(e)[1] +
+ +

secures combinations;

+ PE-3(e)[2] +
+ +

secures other physical access devices;

+ PE-3(e)[3] +
+
+ + PE-3(f) + +

defines physical access devices to be inventoried;

+ PE-3(f)[1] +
+ +

defines the frequency to inventory organization-defined physical access devices;

+ PE-3(f)[2] +
+ +

inventories the organization-defined physical access devices with the organization-defined frequency;

+ PE-3(f)[3] +
+
+ + PE-3(g) + +

defines the frequency to change combinations and keys; and

+ PE-3(g)[1] +
+ +

changes combinations and keys with the organization-defined frequency and/or when:

+ PE-3(g)[2] + +

keys are lost;

+ PE-3(g)[2][a] +
+ +

combinations are compromised;

+ PE-3(g)[2][b] +
+ +

individuals are transferred or terminated.

+ PE-3(g)[2][c] +
+
+
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access control responsibilities

+ INTERVIEW +
+ +

Organizational processes for physical access control

+ TEST +
+ + INFORMATION SYSTEM ACCESS + PE-3 (1) + HIGH + +

The organization enforces physical access authorizations to the information system in addition to the physical access controls for the facility at .

+
+ +

This control enhancement provides additional physical security for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, data and communications centers).

+ +
+ +

Determine if the organization:

+ +

defines physical spaces containing one or more components of the information system; and

+ PE-3(1)[1] +
+ +

enforces physical access authorizations to the information system in addition to the physical access controls for the facility at organization-defined physical spaces containing one or more components of the information system.

+ PE-3(1)[2] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access authorization responsibilities

+ INTERVIEW +
+ +

Organizational processes for physical access control to the information system/components

+ TEST +
+ + organization-defined physical spaces containing one or more components of the information system + organization-defined physical spaces containing one or more components of the information system + +
+ + FACILITY / INFORMATION SYSTEM BOUNDARIES + PE-3 (2) + +

The organization performs security checks at the physical boundary of the facility or information system for unauthorized exfiltration of information or removal of information system components.

+
+ +

Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration.

+ + +
+ +

Determine if the organization:

+ +

defines the frequency to perform security checks at the physical boundary of the facility or information system for:

+ PE-3(2)[1] + +

unauthorized exfiltration of information; or

+ PE-3(2)[1][a] +
+ +

removal of information system components; and

+ PE-3(2)[1][b] +
+
+ +

performs security checks with the organization-defined frequency at the physical boundary of the facility or information system for:

+ PE-3(2)[2] + +

unauthorized exfiltration of information; or

+ PE-3(2)[2][a] +
+ +

removal of information system components.

+ PE-3(2)[2][b] +
+
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access control responsibilities

+ INTERVIEW +
+ +

Organizational processes for physical access control to the facility and/or information system

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+ + CONTINUOUS GUARDS / ALARMS / MONITORING + PE-3 (3) + +

The organization employs guards and/or alarms to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week.

+
+ + + + + +

Determine if the organization employs one or more of the following to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week:

+ +

guards; and/or

+ PE-3(3)[1] +
+ +

alarms.

+ PE-3(3)[2] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access control responsibilities

+ INTERVIEW +
+ +

Organizational processes for physical access control to the facility where the information system resides

+ TEST +
+
+ + LOCKABLE CASINGS + PE-3 (4) + +

The organization uses lockable physical casings to protect from unauthorized physical access.

+
+ +

Determine if the organization:

+ +

defines information system components to be protected from unauthorized physical access using lockable physical casings; and

+ PE-3(4)[1] +
+ +

uses lockable physical casings to protect organization-defined information system components from unauthorized physical access.

+ PE-3(4)[2] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access control responsibilities

+ INTERVIEW +
+ +

Lockable physical casings

+ TEST +
+ + organization-defined information system components + organization-defined information system components + +
+ + TAMPER PROTECTION + PE-3 (5) + +

The organization employs to [Selection (one or more): detect; prevent] physical tampering or alteration of within the information system.

+
+ +

Organizations may implement tamper detection/prevention at selected hardware components or tamper detection at some components and tamper prevention at other components. Tamper detection/prevention activities can employ many types of anti-tamper technologies including, for example, tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks.

+ +
+ +

Determine if the organization:

+ +

defines security safeguards to be employed to detect and/or prevent physical tampering or alteration of organization-defined hardware components within the information system;

+ PE-3(5)[1] +
+ +

defines hardware components within the information system for which security safeguards are to be employed to detect and/or prevent physical tampering or alteration of such components;

+ PE-3(5)[2] +
+ +

employs organization-defined security safeguards to do one or more of the following:

+ PE-3(5)[3] + +

detect physical tampering or alteration of organization-defined hardware components within the information system; and/or

+ PE-3(5)[3][a] +
+ +

prevent physical tampering or alteration of organization-defined hardware components within the information system.

+ PE-3(5)[3][b] +
+
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access control responsibilities

+ INTERVIEW +
+ +

Organizational processes to detect/prevent physical tampering or alteration of information system hardware components

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined hardware components + organization-defined hardware components + +
+ + FACILITY PENETRATION TESTING + PE-3 (6) + +

The organization employs a penetration testing process that includes , unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.

+
+ + + + + +

Determine if the organization:

+ +

defines the frequency of unannounced attempts to be included in a penetration testing process to bypass or circumvent security controls associated with physical access points to the facility; and

+ PE-3(6)[1] +
+ +

employs a penetration testing process with the organization-defined frequency that includes unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.

+ PE-3(6)[2] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access control responsibilities

+ INTERVIEW +
+ +

Organizational processes for facility penetration testing

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+ + + FIPS Publication 201 + + + NIST Special Publication 800-73 + + + NIST Special Publication 800-76 + + + NIST Special Publication 800-78 + + + NIST Special Publication 800-116 + + + ICD 704 + + + ICD 705 + + + DoD Instruction 5200.39 + + + Personal Identity Verification (PIV) in Enterprise Physical Access Control System (E-PACS) + + + http://idmanagement.gov + + + http://fips201ep.cio.gov + + +
+ + ACCESS CONTROL FOR TRANSMISSION MEDIUM + + organization-defined information system distribution and transmission lines + organization-defined information system distribution and transmission lines + + + organization-defined security safeguards + organization-defined security safeguards + + PE-4 + P1 + MODERATE + HIGH + +

The organization controls physical access to within organizational facilities using .

+
+ +

Physical security safeguards applied to information system distribution and transmission lines help to prevent accidental damage, disruption, and physical tampering. In addition, physical safeguards may be necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Security safeguards to control physical access to system distribution and transmission lines include, for example: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays.

+ + + + + + + +
+ +

Determine if the organization:

+ +

defines information system distribution and transmission lines requiring physical access controls;

+ PE-4[1] +
+ +

defines security safeguards to be employed to control physical access to organization-defined information system distribution and transmission lines within organizational facilities; and

+ PE-4[2] +
+ +

controls physical access to organization-defined information system distribution and transmission lines within organizational facilities using organization-defined security safeguards.

+ PE-4[3] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access control responsibilities

+ INTERVIEW +
+ +

Organizational processes for access control to distribution and transmission lines

+ TEST +
+ + + NSTISSI No. 7003 + + +
+ + ACCESS CONTROL FOR OUTPUT DEVICES + PE-5 + P2 + MODERATE + HIGH + +

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

+
+ +

Controlling physical access to output devices includes, for example, placing output devices in locked rooms or other secured areas and allowing access to authorized individuals only, and placing output devices in locations that can be monitored by organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of information system output devices.

+ + + + +
+ +

Determine if the organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.

+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access control responsibilities

+ INTERVIEW +
+ +

Organizational processes for access control to output devices

+ TEST +
+ + ACCESS TO OUTPUT BY AUTHORIZED INDIVIDUALS + PE-5 (1) + +

The organization:

+ +

Controls physical access to output from ; and

+ PE-5 (1)(a) +
+ +

Ensures that only authorized individuals receive output from the device.

+ PE-5 (1)(b) +
+
+ +

Controlling physical access to selected output devices includes, for example, placing printers, copiers, and facsimile machines in controlled areas with keypad access controls or limiting access to individuals with certain types of badges.

+
+ +

Determine if the organization:

+ + PE-5(1)(a) + +

defines output devices whose output requires physical access controls;

+ PE-5(1)(a)[1] +
+ +

controls physical access to output from organization-defined output devices; and

+ PE-5(1)(a)[2] +
+
+ +

ensures that only authorized individuals receive output from the device.

+ PE-5(1)(b) +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access control responsibilities

+ INTERVIEW +
+ +

Organizational processes for access control to output devices

+ TEST +
+ + organization-defined output devices + organization-defined output devices + +
+ + ACCESS TO OUTPUT BY INDIVIDUAL IDENTITY + PE-5 (2) + +

The information system:

+ +

Controls physical access to output from ; and

+ PE-5 (2)(a) +
+ +

Links individual identity to receipt of the output from the device.

+ PE-5 (2)(b) +
+
+ +

Controlling physical access to selected output devices includes, for example, installing security functionality on printers, copiers, and facsimile machines that allows organizations to implement authentication (e.g., using a PIN or hardware token) on output devices prior to the release of output to individuals.

+
+ +

Determine if:

+ + PE-5(2)(a) + +

the organization defines output devices whose output requires physical access controls;

+ PE-5(2)(a)[1] +
+ +

the information system controls physical access to output from organization-defined output devices; and

+ PE-5(2)(a)[2] +
+
+ +

the information system links individual identity to receipt of the output from the device.

+ PE-5(2)(b) +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access control responsibilities

+ INTERVIEW +
+ +

Organizational processes for access control to output devices

+ TEST +
+ + organization-defined output devices + organization-defined output devices + +
+ + MARKING OUTPUT DEVICES + PE-5 (3) + +

The organization marks indicating the appropriate security marking of the information permitted to be output from the device.

+
+ +

Outputs devices include, for example, printers, monitors, facsimile machines, scanners, copiers, and audio devices. This control enhancement is generally applicable to information system output devices other than mobiles devices.

+
+ +

Determine if the organization:

+ +

defines information system output devices to be marked with appropriate security marking of the information permitted to be output from such devices; and

+ PE-5(3)[1] +
+ +

marks organization-defined information system output devices indicating the appropriate security marking of the information permitted to be output from the device.

+ PE-5(3)[2] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access control responsibilities

+ INTERVIEW +
+ +

Organizational processes for marking output devices

+ TEST +
+ + organization-defined information system output devices + organization-defined information system output devices + +
+
+ + MONITORING PHYSICAL ACCESS + + organization-defined frequency + organization-defined frequency + + + organization-defined events or potential indications of events + organization-defined events or potential indications of events + + PE-6 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Monitors physical access to the facility where the information system resides to detect and respond to physical security incidents;

+ PE-6a. +
+ +

Reviews physical access logs and upon occurrence of ; and

+ PE-6b. +
+ +

Coordinates results of reviews and investigations with the organizational incident response capability.

+ PE-6c. +
+
+ +

Organizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, apparent security violations or suspicious physical access activities. Suspicious physical access activities include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses.

+ + + +
+ +

Determine if the organization:

+ +

monitors physical access to the facility where the information system resides to detect and respond to physical security incidents;

+ PE-6(a) +
+ + PE-6(b) + +

defines the frequency to review physical access logs;

+ PE-6(b)[1] +
+ +

defines events or potential indication of events requiring physical access logs to be reviewed;

+ PE-6(b)[2] +
+ +

reviews physical access logs with the organization-defined frequency and upon occurrence of organization-defined events or potential indications of events; and

+ PE-6(b)[3] +
+
+ +

coordinates results of reviews and investigations with the organizational incident response capability.

+ PE-6(c) +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access monitoring responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring physical access

+ TEST +
+ + INTRUSION ALARMS / SURVEILLANCE EQUIPMENT + PE-6 (1) + MODERATE + HIGH + +

The organization monitors physical intrusion alarms and surveillance equipment.

+
+ +

Determine if the organization monitors physical intrusion alarms and surveillance equipment.

+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access monitoring responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring physical intrusion alarms and surveillance equipment

+ TEST +
+
+ + AUTOMATED INTRUSION RECOGNITION / RESPONSES + PE-6 (2) + +

The organization employs automated mechanisms to recognize and initiate .

+
+ + + + +

Determine if the organization:

+ +

defines classes/types of intrusions to be recognized by automated mechanisms;

+ PE-6(2)[1] +
+ +

defines response actions to be initiated by automated mechanisms when organization-defined classes/types of intrusions are recognized; and

+ PE-6(2)[2] +
+ +

employs automated mechanisms to recognize organization-defined classes/types of intrusions and initiate organization-defined response actions.

+ PE-6(2)[3] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access monitoring responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring physical access

+ TEST +
+ + organization-defined classes/types of intrusions + organization-defined classes/types of intrusions + + + organization-defined response actions + organization-defined response actions + +
+ + VIDEO SURVEILLANCE + PE-6 (3) + +

The organization employs video surveillance of and retains video recordings for .

+
+ +

This control enhancement focuses on recording surveillance video for purposes of subsequent review, if circumstances so warrant (e.g., a break-in detected by other means). It does not require monitoring surveillance video although organizations may choose to do so. Note that there may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location.

+
+ +

Determine if the organization:

+ +

defines operational areas where video surveillance is to be employed;

+ PE-6(3)[1] +
+ +

defines a time period to retain video recordings of organization-defined operational areas;

+ PE-6(3)[2] +
+ + PE-6(3)[3] + +

employs video surveillance of organization-defined operational areas; and

+ PE-6(3)[3][a] +
+ +

retains video recordings for the organization-defined time period.

+ PE-6(3)[3][b] +
+
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access monitoring responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring physical access

+ TEST +
+ + organization-defined operational areas + organization-defined operational areas + + + organization-defined time period + organization-defined time period + +
+ + MONITORING PHYSICAL ACCESS TO INFORMATION SYSTEMS + PE-6 (4) + HIGH + +

The organization monitors physical access to the information system in addition to the physical access monitoring of the facility as .

+
+ +

This control enhancement provides additional monitoring for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, communications centers).

+ + +
+ +

Determine if the organization:

+ +

defines physical spaces containing one or more components of the information system; and

+ PE-6(4)[1] +
+ +

monitors physical access to the information system in addition to the physical access monitoring of the facility at organization-defined physical spaces containing one or more components of the information system.

+ PE-6(4)[2] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with physical access monitoring responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring physical access to the information system

+ TEST +
+ + organization-defined physical spaces containing one or more components of the information system + organization-defined physical spaces containing one or more components of the information system + +
+
+ + VISITOR CONTROL + PE-7 + +

Incorporated into PE-2 and PE-3.

+
+ + +
+ + VISITOR ACCESS RECORDS + + organization-defined time period + organization-defined time period + + + organization-defined frequency + organization-defined frequency + + PE-8 + P3 + LOW + MODERATE + HIGH + +

The organization:

+ +

Maintains visitor access records to the facility where the information system resides for ; and

+ PE-8a. +
+ +

Reviews visitor access records .

+ PE-8b. +
+
+ +

Visitor access records include, for example, names and organizations of persons visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purposes of visits, and names and organizations of persons visited. Visitor access records are not required for publicly accessible areas.

+
+ +

Determine if the organization:

+ + PE-8(a) + +

defines the time period to maintain visitor access records to the facility where the information system resides;

+ PE-8(a)[1] +
+ +

maintains visitor access records to the facility where the information system resides for the organization-defined time period;

+ PE-8(a)[2] +
+
+ + PE-8(b) + +

defines the frequency to review visitor access records; and

+ PE-8(b)[1] +
+ +

reviews visitor access records with the organization-defined frequency.

+ PE-8(b)[2] +
+
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with visitor access records responsibilities

+ INTERVIEW +
+ +

Organizational processes for maintaining and reviewing visitor access records

+ TEST +
+ + AUTOMATED RECORDS MAINTENANCE / REVIEW + PE-8 (1) + HIGH + +

The organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.

+
+ +

Determine if the organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.

+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with visitor access records responsibilities

+ INTERVIEW +
+ +

Organizational processes for maintaining and reviewing visitor access records

+ TEST +
+
+ + PHYSICAL ACCESS RECORDS + PE-8 (2) + +

Incorporated into PE-2.

+
+ +
+
+ + POWER EQUIPMENT AND CABLING + PE-9 + P1 + MODERATE + HIGH + +

The organization protects power equipment and power cabling for the information system from damage and destruction.

+
+ +

Organizations determine the types of protection necessary for power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. This includes, for example, generators and power cabling outside of buildings, internal cabling and uninterruptable power sources within an office or data center, and power sources for self-contained entities such as vehicles and satellites.

+ +
+ +

Determine if the organization protects power equipment and power cabling for the information system from damage and destruction.

+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for protecting power equipment/cabling

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing protection of power equipment/cabling

+ TEST +
+ + REDUNDANT CABLING + PE-9 (1) + +

The organization employs redundant power cabling paths that are physically separated by .

+
+ +

Physically separate, redundant power cables help to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.

+
+ +

Determine if the organization:

+ +

defines the distance by which redundant power cabling paths are to be physically separated; and

+ PE-9(1)[1] +
+ +

employs redundant power cabling paths that are physically separated by organization-defined distance.

+ PE-9(1)[2] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for protecting power equipment/cabling

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing protection of power equipment/cabling

+ TEST +
+ + organization-defined distance + organization-defined distance + +
+ + AUTOMATIC VOLTAGE CONTROLS + PE-9 (2) + +

The organization employs automatic voltage controls for .

+
+ +

Determine if the organization:

+ +

defines critical information system components that require automatic voltage controls; and

+ PE-9(2)[1] +
+ +

employs automatic voltage controls for organization-defined critical information system components.

+ PE-9(2)[2] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for environmental protection of information system components

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing automatic voltage controls

+ TEST +
+ + organization-defined critical information system components + organization-defined critical information system components + +
+
+ + EMERGENCY SHUTOFF + + organization-defined location by information system or system component + organization-defined location by information system or system component + + PE-10 + P1 + MODERATE + HIGH + +

The organization:

+ +

Provides the capability of shutting off power to the information system or individual system components in emergency situations;

+ PE-10a. +
+ +

Places emergency shutoff switches or devices in to facilitate safe and easy access for personnel; and

+ PE-10b. +
+ +

Protects emergency power shutoff capability from unauthorized activation.

+ PE-10c. +
+
+ +

This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.

+ +
+ +

Determine if the organization:

+ +

provides the capability of shutting off power to the information system or individual system components in emergency situations;

+ PE-10(a) +
+ + PE-10(b) + +

defines the location of emergency shutoff switches or devices by information system or system component;

+ PE-10(b)[1] +
+ +

places emergency shutoff switches or devices in the organization-defined location by information system or system component to facilitate safe and easy access for personnel; and

+ PE-10(b)[2] +
+
+ +

protects emergency power shutoff capability from unauthorized activation.

+ PE-10(c) +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for emergency power shutoff capability (both implementing and using the capability)

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing emergency power shutoff

+ TEST +
+ + ACCIDENTAL / UNAUTHORIZED ACTIVATION + PE-10 (1) + +

Incorporated into PE-10.

+
+ +
+
+ + EMERGENCY POWER + PE-11 + P1 + MODERATE + HIGH + +

The organization provides a short-term uninterruptible power supply to facilitate [Selection (one or more): an orderly shutdown of the information system; transition of the information system to long-term alternate power] in the event of a primary power source loss.

+
+ + + + + + +

Determine if the organization provides a short-term uninterruptible power supply to facilitate one or more of the following in the event of a primary power source loss:

+ +

an orderly shutdown of the information system; and/or

+ PE-11[1] +
+ +

transition of the information system to long-term alternate power.

+ PE-11[2] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for emergency power and/or planning

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing uninterruptible power supply

+ TEST +
+ + LONG-TERM ALTERNATE POWER SUPPLY - MINIMAL OPERATIONAL CAPABILITY + PE-11 (1) + HIGH + +

The organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.

+
+ +

This control enhancement can be satisfied, for example, by the use of a secondary commercial power supply or other external power supply. Long-term alternate power supplies for the information system can be either manually or automatically activated.

+
+ +

Determine if the organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.

+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for emergency power and/or planning

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing alternate power supply

+ TEST +
+
+ + LONG-TERM ALTERNATE POWER SUPPLY - SELF-CONTAINED + PE-11 (2) + +

The organization provides a long-term alternate power supply for the information system that is:

+ +

Self-contained;

+ PE-11 (2)(a) +
+ +

Not reliant on external power generation; and

+ PE-11 (2)(b) +
+ +

Capable of maintaining [Selection: minimally required operational capability; full operational capability] in the event of an extended loss of the primary power source.

+ PE-11 (2)(c) +
+
+ +

This control enhancement can be satisfied, for example, by the use of one or more generators with sufficient capacity to meet the needs of the organization. Long-term alternate power supplies for organizational information systems are either manually or automatically activated.

+
+ +

Determine if the organization provides a long-term alternate power supply for the information system that is:

+ +

self-contained;

+ PE-11(2)(a) +
+ +

not reliant on external power generation;

+ PE-11(2)(b) +
+ +

capable of maintaining one of the following in the event of an extended loss of the primary power source:

+ PE-11(2)(c) + +

minimally required operational capability; or

+ PE-11(2)(c)[1] +
+ +

full operational capability.

+ PE-11(2)(c)[2] +
+
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for emergency power and/or planning

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing alternate power supply

+ TEST +
+
+
+ + EMERGENCY LIGHTING + PE-12 + P1 + LOW + MODERATE + HIGH + +

The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.

+
+ +

This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.

+ + +
+ +

Determine if the organization employs and maintains automatic emergency lighting for the information system that:

+ +

activates in the event of a power outage or disruption; and

+ PE-12[1] +
+ +

covers emergency exits and evacuation routes within the facility.

+ PE-12[2] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for emergency lighting and/or planning

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing emergency lighting capability

+ TEST +
+ + ESSENTIAL MISSIONS / BUSINESS FUNCTIONS + PE-12 (1) + +

The organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.

+
+ +

Determine if the organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.

+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for emergency lighting and/or planning

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing emergency lighting capability

+ TEST +
+
+
+ + FIRE PROTECTION + PE-13 + P1 + LOW + MODERATE + HIGH + +

The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.

+
+ +

This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.

+
+ +

Determine if the organization:

+ +

employs fire suppression and detection devices/systems for the information system that are supported by an independent energy source; and

+ PE-13[1] +
+ +

maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.

+ PE-13[2] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for fire detection and suppression devices/systems

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing fire suppression/detection devices/systems

+ TEST +
+ + DETECTION DEVICES / SYSTEMS + PE-13 (1) + HIGH + +

The organization employs fire detection devices/systems for the information system that activate automatically and notify and in the event of a fire.

+
+ +

Organizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.

+
+ +

Determine if the organization:

+ +

defines personnel or roles to be notified in the event of a fire;

+ PE-13(1)[1] +
+ +

defines emergency responders to be notified in the event of a fire;

+ PE-13(1)[2] +
+ +

employs fire detection devices/systems for the information system that, in the event of a fire,:

+ PE-13(1)[3] + +

activate automatically;

+ PE-13(1)[3][a] +
+ +

notify organization-defined personnel or roles; and

+ PE-13(1)[3][b] +
+ +

notify organization-defined emergency responders.

+ PE-13(1)[3][c] +
+
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for fire detection and suppression devices/systems

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing fire detection devices/systems

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined emergency responders + organization-defined emergency responders + +
+ + SUPPRESSION DEVICES / SYSTEMS + PE-13 (2) + HIGH + +

The organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to Assignment: organization-defined personnel or roles] and .

+
+ +

Organizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.

+
+ +

Determine if the organization:

+ +

defines personnel or roles to be provided automatic notification of any activation of fire suppression devices/systems for the information system;

+ PE-13(2)[1] +
+ +

defines emergency responders to be provided automatic notification of any activation of fire suppression devices/systems for the information system;

+ PE-13(2)[2] +
+ +

employs fire suppression devices/systems for the information system that provide automatic notification of any activation to:

+ PE-13(2)[3] + +

organization-defined personnel or roles; and

+ PE-13(2)[3][a] +
+ +

organization-defined emergency responders.

+ PE-13(2)[3][b] +
+
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for fire detection and suppression devices/systems

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing fire suppression devices/systems

+ TEST +
+ + organization-defined emergency responders + organization-defined emergency responders + +
+ + AUTOMATIC FIRE SUPPRESSION + PE-13 (3) + MODERATE + HIGH + +

The organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.

+
+ +

Determine if the organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.

+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for fire detection and suppression devices/systems

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing fire suppression devices/systems

+ TEST +
+
+ + INSPECTIONS + PE-13 (4) + +

The organization ensures that the facility undergoes inspections by authorized and qualified inspectors and resolves identified deficiencies within .

+
+ +

Determine if the organization:

+ +

defines the frequency of inspections to be conducted on the facility by authorized and qualified inspectors;

+ PE-13(4)[1] +
+ +

ensures that the facility undergoes inspections by authorized and qualified inspectors with the organization-defined frequency;

+ PE-13(4)[2] +
+ +

defines a time period to resolve deficiencies identified when the facility undergoes such inspections; and

+ PE-13(4)[3] +
+ +

resolves identified deficiencies within the organization-defined time period.

+ PE-13(4)[4] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for planning, approving, and executing fire inspections

+ INTERVIEW +
+ + organization-defined frequency + organization-defined frequency + + + organization-defined time period + organization-defined time period + +
+
+ + TEMPERATURE AND HUMIDITY CONTROLS + + organization-defined acceptable levels + organization-defined acceptable levels + + + organization-defined frequency + organization-defined frequency + + PE-14 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Maintains temperature and humidity levels within the facility where the information system resides at ; and

+ PE-14a. +
+ +

Monitors temperature and humidity levels .

+ PE-14b. +
+
+ +

This control applies primarily to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.

+ +
+ +

Determine if the organization:

+ + PE-14(a) + +

defines acceptable temperature levels to be maintained within the facility where the information system resides;

+ PE-14(a)[1] +
+ +

defines acceptable humidity levels to be maintained within the facility where the information system resides;

+ PE-14(a)[2] +
+ +

maintains temperature levels within the facility where the information system resides at the organization-defined levels;

+ PE-14(a)[3] +
+ +

maintains humidity levels within the facility where the information system resides at the organization-defined levels;

+ PE-14(a)[4] +
+
+ + PE-14(b) + +

defines the frequency to monitor temperature levels;

+ PE-14(b)[1] +
+ +

defines the frequency to monitor humidity levels;

+ PE-14(b)[2] +
+ +

monitors temperature levels with the organization-defined frequency; and

+ PE-14(b)[3] +
+ +

monitors humidity levels with the organization-defined frequency.

+ PE-14(b)[4] +
+
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for information system environmental controls

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing maintenance and monitoring of temperature and humidity levels

+ TEST +
+ + AUTOMATIC CONTROLS + PE-14 (1) + +

The organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system.

+
+ +

Determine if the organization:

+ +

employs automatic temperature controls in the facility to prevent fluctuations potentially harmful to the information system; and

+ PE-14(1)[1] +
+ +

employs automatic humidity controls in the facility to prevent fluctuations potentially harmful to the information system.

+ PE-14(1)[2] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for information system environmental controls

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing temperature and humidity levels

+ TEST +
+
+ + MONITORING WITH ALARMS / NOTIFICATIONS + PE-14 (2) + +

The organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment.

+
+ +

Determine if the organization:

+ +

employs temperature monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or

+ PE-14(2)[1] +
+ +

employs temperature monitoring that provides notification of changes potentially harmful to personnel or equipment;

+ PE-14(2)[2] +
+ +

employs humidity monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or

+ PE-14(2)[3] +
+ +

employs humidity monitoring that provides notification of changes potentially harmful to personnel or equipment.

+ PE-14(2)[4] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for information system environmental controls

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing temperature and humidity monitoring

+ TEST +
+
+
+ + WATER DAMAGE PROTECTION + PE-15 + P1 + LOW + MODERATE + HIGH + +

The organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.

+
+ +

This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations.

+ +
+ +

Determine if the organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are:

+ +

accessible;

+ PE-15[1] +
+ +

working properly; and

+ PE-15[2] +
+ +

known to key personnel.

+ PE-15[3] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for information system environmental controls

+ INTERVIEW +
+ +

Master water-shutoff valves

+ TEST +
+ + AUTOMATION SUPPORT + PE-15 (1) + HIGH + +

The organization employs automated mechanisms to detect the presence of water in the vicinity of the information system and alerts .

+
+ +

Automated mechanisms can include, for example, water detection sensors, alarms, and notification systems.

+
+ +

Determine if the organization:

+ +

defines personnel or roles to be alerted when the presence of water is detected in the vicinity of the information system;

+ PE-15(1)[1] +
+ +

employs automated mechanisms to detect the presence of water in the vicinity of the information system; and

+ PE-15(1)[2] +
+ +

alerts organization-defined personnel or roles when the presence of water is detected in the vicinity of the information system.

+ PE-15(1)[3] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for information system environmental controls

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing water detection capability and alerts for the information system

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + +
+
+ + DELIVERY AND REMOVAL + + organization-defined types of information system components + organization-defined types of information system components + + PE-16 + P2 + LOW + MODERATE + HIGH + +

The organization authorizes, monitors, and controls entering and exiting the facility and maintains records of those items.

+
+ +

Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.

+ + + + + +
+ +

Determine if the organization:

+ +

defines types of information system components to be authorized, monitored, and controlled as such components are entering and exiting the facility;

+ PE-16[1] +
+ +

authorizes organization-defined information system components entering the facility;

+ PE-16[2] +
+ +

monitors organization-defined information system components entering the facility;

+ PE-16[3] +
+ +

controls organization-defined information system components entering the facility;

+ PE-16[4] +
+ +

authorizes organization-defined information system components exiting the facility;

+ PE-16[5] +
+ +

monitors organization-defined information system components exiting the facility;

+ PE-16[6] +
+ +

controls organization-defined information system components exiting the facility;

+ PE-16[7] +
+ +

maintains records of information system components entering the facility; and

+ PE-16[8] +
+ +

maintains records of information system components exiting the facility.

+ PE-16[9] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for controlling information system components entering and exiting the facility

+ INTERVIEW +
+ +

Organizational process for authorizing, monitoring, and controlling information system-related items entering and exiting the facility

+ TEST +
+
+ + ALTERNATE WORK SITE + + organization-defined security controls + organization-defined security controls + + PE-17 + P2 + MODERATE + HIGH + +

The organization:

+ +

Employs at alternate work sites;

+ PE-17a. +
+ +

Assesses as feasible, the effectiveness of security controls at alternate work sites; and

+ PE-17b. +
+ +

Provides a means for employees to communicate with information security personnel in case of security incidents or problems.

+ PE-17c. +
+
+ +

Alternate work sites may include, for example, government facilities or private residences of employees. While commonly distinct from alternative processing sites, alternate work sites may provide readily available alternate locations as part of contingency operations. Organizations may define different sets of security controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations and the federal telework initiative.

+ + +
+ +

Determine if the organization:

+ + PE-17(a) + +

defines security controls to be employed at alternate work sites;

+ PE-17(a)[1] +
+ +

employs organization-defined security controls at alternate work sites;

+ PE-17(a)[2] +
+
+ +

assesses, as feasible, the effectiveness of security controls at alternate work sites; and

+ PE-17(b) +
+ +

provides a means for employees to communicate with information security personnel in case of security incidents or problems.

+ PE-17(c) +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel approving use of alternate work sites

+ INTERVIEW +
+ +

Organizational processes for security at alternate work sites

+ TEST +
+ + + NIST Special Publication 800-46 + + +
+ + LOCATION OF INFORMATION SYSTEM COMPONENTS + + organization-defined physical and environmental hazards + organization-defined physical and environmental hazards + + PE-18 + P3 + HIGH + +

The organization positions information system components within the facility to minimize potential damage from and to minimize the opportunity for unauthorized access.

+
+ +

Physical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. In addition, organizations consider the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to information systems and therefore increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones).

+ + + +
+ +

Determine if the organization:

+ +

defines physical hazards that could result in potential damage to information system components within the facility;

+ PE-18[1] +
+ +

defines environmental hazards that could result in potential damage to information system components within the facility;

+ PE-18[2] +
+ +

positions information system components within the facility to minimize potential damage from organization-defined physical and environmental hazards; and

+ PE-18[3] +
+ +

positions information system components within the facility to minimize the opportunity for unauthorized access.

+ PE-18[4] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for positioning information system components

+ INTERVIEW +
+ +

Organizational processes for positioning information system components

+ TEST +
+ + FACILITY SITE + PE-18 (1) + +

The organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy.

+
+ + + + +

Determine if the organization:

+ +

plans the location or site of the facility where the information system resides with regard to physical hazards;

+ PE-18(1)[1] +
+ +

plans the location or site of the facility where the information system resides with regard to environmental hazards;

+ PE-18(1)[2] +
+ +

for existing facilities, considers the physical hazards in its risk mitigation strategy; and

+ PE-18(1)[3] +
+ +

for existing facilities, considers the environmental hazards in its risk mitigation strategy.

+ PE-18(1)[4] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with site selection responsibilities for the facility housing the information system

+ INTERVIEW +
+ +

Organizational processes for site planning

+ TEST +
+
+
+ + INFORMATION LEAKAGE + PE-19 + P0 + +

The organization protects the information system from information leakage due to electromagnetic signals emanations.

+
+ +

Information leakage is the intentional or unintentional release of information to an untrusted environment from electromagnetic signals emanations. Security categories or classifications of information systems (with respect to confidentiality) and organizational security policies guide the selection of security controls employed to protect systems against information leakage due to electromagnetic signals emanations.

+
+ +

Determine if the organization protects the information system from information leakage due to electromagnetic signals emanations.

+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for information system environmental controls

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing protection from information leakage due to electromagnetic signals emanations

+ TEST +
+ + NATIONAL EMISSIONS / TEMPEST POLICIES AND PROCEDURES + PE-19 (1) + +

The organization ensures that information system components, associated data communications, and networks are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information.

+
+ +

Determine if the organization ensures that the following are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information:

+ +

information system components;

+ PE-19(1)[1] +
+ +

associated data communications; and

+ PE-19(1)[2] +
+ +

networks.

+ PE-19(1)[3] +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with responsibilities for information system environmental controls

+ INTERVIEW +
+ +

Information system components for compliance with national emissions and TEMPEST policies and procedures

+ TEST +
+
+ + + FIPS Publication 199 + + +
+ + ASSET MONITORING AND TRACKING + + organization-defined asset location technologies + organization-defined asset location technologies + + + organization-defined assets + organization-defined assets + + + organization-defined controlled areas + organization-defined controlled areas + + PE-20 + P0 + +

The organization:

+ +

Employs to track and monitor the location and movement of within ; and

+ PE-20a. +
+ +

Ensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.

+ PE-20b. +
+
+ +

Asset location technologies can help organizations ensure that critical assets such as vehicles or essential information system components remain in authorized locations. Organizations consult with the Office of the General Counsel and the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) regarding the deployment and use of asset location technologies to address potential privacy concerns.

+ +
+ +

Determine if the organization:

+ + PE-20(a) + +

defines assets whose location and movement are to be tracked and monitored;

+ PE-20(a)[1] +
+ +

defines asset location technologies to be employed to track and monitor the location and movement of organization-defined assets;

+ PE-20(a)[2] +
+ +

defines controlled areas within which to track and monitor organization-defined assets;

+ PE-20(a)[3] +
+ +

employs organization-defined asset location technologies to track and monitor the location and movement of organization-defined assets within organization-defined controlled areas; and

+ PE-20(a)[4] +
+
+ +

ensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards and guidance.

+ PE-20(b) +
+
+ +

Physical and environmental protection policy

+ EXAMINE +
+ +

Organizational personnel with asset monitoring and tracking responsibilities

+ INTERVIEW +
+ +

Organizational processes for tracking and monitoring assets

+ TEST +
+
+
+ + PLANNING + + SECURITY PLANNING POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + PL-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ PL-1a. + +

A security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ PL-1a.1. +
+ +

Procedures to facilitate the implementation of the security planning policy and associated security planning controls; and

+ PL-1a.2. +
+
+ +

Reviews and updates the current:

+ PL-1b. + +

Security planning policy ; and

+ PL-1b.1. +
+ +

Security planning procedures .

+ PL-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PL family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + PL-1(a)(1) + +

develops and documents a planning policy that addresses:

+ PL-1(a)(1)[1] + +

purpose;

+ PL-1(a)(1)[1][a] +
+ +

scope;

+ PL-1(a)(1)[1][b] +
+ +

roles;

+ PL-1(a)(1)[1][c] +
+ +

responsibilities;

+ PL-1(a)(1)[1][d] +
+ +

management commitment;

+ PL-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ PL-1(a)(1)[1][f] +
+ +

compliance;

+ PL-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the planning policy is to be disseminated;

+ PL-1(a)(1)[2] +
+ +

disseminates the planning policy to organization-defined personnel or roles;

+ PL-1(a)(1)[3] +
+
+ + PL-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the planning policy and associated planning controls;

+ PL-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ PL-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ PL-1(a)(2)[3] +
+
+ + PL-1(b)(1) + +

defines the frequency to review and update the current planning policy;

+ PL-1(b)(1)[1] +
+ +

reviews and updates the current planning policy with the organization-defined frequency;

+ PL-1(b)(1)[2] +
+
+ + PL-1(b)(2) + +

defines the frequency to review and update the current planning procedures; and

+ PL-1(b)(2)[1] +
+ +

reviews and updates the current planning procedures with the organization-defined frequency.

+ PL-1(b)(2)[2] +
+
+
+ +

Planning policy and procedures

+ EXAMINE +
+ +

Organizational personnel with planning responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-18 + + + NIST Special Publication 800-100 + + +
+ + SYSTEM SECURITY PLAN + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + PL-2 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops a security plan for the information system that:

+ PL-2a. + +

Is consistent with the organization�s enterprise architecture;

+ PL-2a.1. +
+ +

Explicitly defines the authorization boundary for the system;

+ PL-2a.2. +
+ +

Describes the operational context of the information system in terms of missions and business processes;

+ PL-2a.3. +
+ +

Provides the security categorization of the information system including supporting rationale;

+ PL-2a.4. +
+ +

Describes the operational environment for the information system and relationships with or connections to other information systems;

+ PL-2a.5. +
+ +

Provides an overview of the security requirements for the system;

+ PL-2a.6. +
+ +

Identifies any relevant overlays, if applicable;

+ PL-2a.7. +
+ +

Describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring decisions; and

+ PL-2a.8. +
+ +

Is reviewed and approved by the authorizing official or designated representative prior to plan implementation;

+ PL-2a.9. +
+
+ +

Distributes copies of the security plan and communicates subsequent changes to the plan to ;

+ PL-2b. +
+ +

Reviews the security plan for the information system ;

+ PL-2c. +
+ +

Updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments; and

+ PL-2d. +
+ +

Protects the security plan from unauthorized disclosure and modification.

+ PL-2e. +
+
+ +

Security plans relate security requirements to a set of security controls and control enhancements. Security plans also describe, at a high level, how the security controls and control enhancements meet those security requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls/enhancements. Security plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the security control baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide use or to address specialized requirements, technologies, or missions/environments of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access Management, space operations). Appendix I provides guidance on developing overlays. Security plans need not be single documents; the plans can be a collection of various documents including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. For example, security plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans.

+ + + + + + + + + + + + + + + + + + + + + + + + +
+ +

Determine if the organization:

+ +

develops a security plan for the information system that:

+ PL-2(a) + +

is consistent with the organization’s enterprise architecture;

+ PL-2(a)(1) +
+ +

explicitly defines the authorization boundary for the system;

+ PL-2(a)(2) +
+ +

describes the operational context of the information system in terms of missions and business processes;

+ PL-2(a)(3) +
+ +

provides the security categorization of the information system including supporting rationale;

+ PL-2(a)(4) +
+ +

describes the operational environment for the information system and relationships with or connections to other information systems;

+ PL-2(a)(5) +
+ +

provides an overview of the security requirements for the system;

+ PL-2(a)(6) +
+ +

identifies any relevant overlays, if applicable;

+ PL-2(a)(7) +
+ +

describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplemental decisions;

+ PL-2(a)(8) +
+ +

is reviewed and approved by the authorizing official or designated representative prior to plan implementation;

+ PL-2(a)(9) +
+
+ + PL-2(b) + +

defines personnel or roles to whom copies of the security plan are to be distributed and subsequent changes to the plan are to be communicated;

+ PL-2(b)[1] +
+ +

distributes copies of the security plan and communicates subsequent changes to the plan to organization-defined personnel or roles;

+ PL-2(b)[2] +
+
+ + PL-2(c) + +

defines the frequency to review the security plan for the information system;

+ PL-2(c)[1] +
+ +

reviews the security plan for the information system with the organization-defined frequency;

+ PL-2(c)[2] +
+
+ +

updates the plan to address:

+ PL-2(d) + +

changes to the information system/environment of operation;

+ PL-2(d)[1] +
+ +

problems identified during plan implementation;

+ PL-2(d)[2] +
+ +

problems identified during security control assessments;

+ PL-2(d)[3] +
+
+ +

protects the security plan from unauthorized:

+ PL-2(e) + +

disclosure; and

+ PL-2(e)[1] +
+ +

modification.

+ PL-2(e)[2] +
+
+
+ +

Security planning policy

+ EXAMINE +
+ +

Organizational personnel with security planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for security plan development/review/update/approval

+ TEST +
+ + CONCEPT OF OPERATIONS + PL-2 (1) + +

Incorporated into PL-7.

+
+ +
+ + FUNCTIONAL ARCHITECTURE + PL-2 (2) + +

Incorporated into PL-8.

+
+ +
+ + PLAN / COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES + PL-2 (3) + MODERATE + HIGH + +

The organization plans and coordinates security-related activities affecting the information system with before conducting such activities in order to reduce the impact on other organizational entities.

+
+ +

Security-related activities include, for example, security assessments, audits, hardware and software maintenance, patch management, and contingency plan testing. Advance planning and coordination includes emergency and nonemergency (i.e., planned or nonurgent unplanned) situations. The process defined by organizations to plan and coordinate security-related activities can be included in security plans for information systems or other documents, as appropriate.

+ + +
+ +

Determine if the organization:

+ +

defines individuals or groups with whom security-related activities affecting the information system are to be planned and coordinated before conducting such activities in order to reduce the impact on other organizational entities; and

+ PL-2(3)[1] +
+ +

plans and coordinates security-related activities affecting the information system with organization-defined individuals or groups before conducting such activities in order to reduce the impact on other organizational entities.

+ PL-2(3)[2] +
+
+ +

Security planning policy

+ EXAMINE +
+ +

Organizational personnel with security planning and plan implementation responsibilities

+ INTERVIEW +
+ + organization-defined individuals or groups + organization-defined individuals or groups + +
+ + + NIST Special Publication 800-18 + + +
+ + SYSTEM SECURITY PLAN UPDATE + PL-3 + +

Incorporated into PL-2.

+
+ +
+ + RULES OF BEHAVIOR + + organization-defined frequency + organization-defined frequency + + PL-4 + P2 + LOW + MODERATE + HIGH + +

The organization:

+ +

Establishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;

+ PL-4a. +
+ +

Receives a signed acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;

+ PL-4b. +
+ +

Reviews and updates the rules of behavior ; and

+ PL-4c. +
+ +

Requires individuals who have signed a previous version of the rules of behavior to read and re-sign when the rules of behavior are revised/updated.

+ PL-4d. +
+
+ +

This control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior.

+ + + + + + + + + + + + + + + + + + +
+ +

Determine if the organization:

+ + PL-4(a) + +

establishes, for individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;

+ PL-4(a)[1] +
+ +

makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;

+ PL-4(a)[2] +
+
+ +

receives a signed acknowledgement from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;

+ PL-4(b) +
+ + PL-4(c) + +

defines the frequency to review and update the rules of behavior;

+ PL-4(c)[1] +
+ +

reviews and updates the rules of behavior with the organization-defined frequency; and

+ PL-4(c)[2] +
+
+ +

requires individuals who have signed a previous version of the rules of behavior to read and resign when the rules of behavior are revised/updated.

+ PL-4(d) +
+
+ +

Security planning policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior

+ INTERVIEW +
+ +

Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior

+ TEST +
+ + SOCIAL MEDIA AND NETWORKING RESTRICTIONS + PL-4 (1) + MODERATE + HIGH + +

The organization includes in the rules of behavior, explicit restrictions on the use of social media/networking sites and posting organizational information on public websites.

+
+ +

This control enhancement addresses rules of behavior related to the use of social media/networking sites: (i) when organizational personnel are using such sites for official duties or in the conduct of official business; (ii) when organizational information is involved in social media/networking transactions; and (iii) when personnel are accessing social media/networking sites from organizational information systems. Organizations also address specific rules that prevent unauthorized entities from obtaining and/or inferring non-public organizational information (e.g., system account information, personally identifiable information) from social media/networking sites.

+
+ +

Determine if the organization includes the following in the rules of behavior:

+ +

explicit restrictions on the use of social media/networking sites; and

+ PL-4(1)[1] +
+ +

posting organizational information on public websites.

+ PL-4(1)[2] +
+
+ +

Security planning policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior

+ INTERVIEW +
+ +

Organizational processes for establishing rules of behavior

+ TEST +
+
+ + + NIST Special Publication 800-18 + + +
+ + PRIVACY IMPACT ASSESSMENT + PL-5 + +

Incorporated into Appendix J, AR-2.

+
+ Appendix J + AR-2 +
+ + SECURITY-RELATED ACTIVITY PLANNING + PL-6 + +

Incorporated into PL-2.

+
+ +
+ + SECURITY CONCEPT OF OPERATIONS + + organization-defined frequency + organization-defined frequency + + PL-7 + P0 + +

The organization:

+ +

Develops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security; and

+ PL-7a. +
+ +

Reviews and updates the CONOPS .

+ PL-7b. +
+
+ +

The security CONOPS may be included in the security plan for the information system or in other system development life cycle-related documents, as appropriate. Changes to the CONOPS are reflected in ongoing updates to the security plan, the information security architecture, and other appropriate organizational documents (e.g., security specifications for procurements/acquisitions, system development life cycle documents, and systems/security engineering documents).

+ +
+ +

Determine if the organization:

+ +

develops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security;

+ PL-7(a) +
+ + PL-7(b) + +

defines the frequency to review and update the security CONOPS; and

+ PL-7(b)[1] +
+ +

reviews and updates the security CONOPS with the organization-defined frequency.

+ PL-7(b)[2] +
+
+
+ +

Security planning policy

+ EXAMINE +
+ +

Organizational personnel with security planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for developing, reviewing, and updating the security CONOPS

+ TEST +
+
+ + INFORMATION SECURITY ARCHITECTURE + + organization-defined frequency + organization-defined frequency + + PL-8 + P1 + MODERATE + HIGH + +

The organization:

+ +

Develops an information security architecture for the information system that:

+ PL-8a. + +

Describes the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;

+ PL-8a.1. +
+ +

Describes how the information security architecture is integrated into and supports the enterprise architecture; and

+ PL-8a.2. +
+ +

Describes any information security assumptions about, and dependencies on, external services;

+ PL-8a.3. +
+
+ +

Reviews and updates the information security architecture to reflect updates in the enterprise architecture; and

+ PL-8b. +
+ +

Ensures that planned information security architecture changes are reflected in the security plan, the security Concept of Operations (CONOPS), and organizational procurements/acquisitions.

+ PL-8c. +
+
+ +

This control addresses actions taken by organizations in the design and development of information systems. The information security architecture at the individual information system level is consistent with and complements the more global, organization-wide information security architecture described in PM-7 that is integral to and developed as part of the enterprise architecture. The information security architecture includes an architectural description, the placement/allocation of security functionality (including security controls), security-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security architecture can include other important security-related information, for example, user roles and access privileges assigned to each role, unique security requirements, the types of information processed, stored, and transmitted by the information system, restoration priorities of information and information system services, and any other specific protection needs. In today�s modern architecture, it is becoming less common for organizations to control all information resources. There are going to be key dependencies on external information services and service providers. Describing such dependencies in the information security architecture is important to developing a comprehensive mission/business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational information systems is critical to implementing and maintaining an effective information security architecture. The development of the information security architecture is coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to support privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure that organizations develop an information security architecture for the information system, and that the security architecture is integrated with or tightly coupled to the enterprise architecture through the organization-wide information security architecture. In contrast, SA-17 is primarily directed at external information technology product/system developers and integrators (although SA-17 could be used internally within organizations for in-house system development). SA-17, which is complementary to PL-8, is selected when organizations outsource the development of information systems or information system components to external entities, and there is a need to demonstrate/show consistency with the organization�s enterprise architecture and information security architecture.

+ + + + + + + Appendix J +
+ +

Determine if the organization:

+ +

develops an information security architecture for the information system that describes:

+ PL-8(a) + +

the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;

+ PL-8(a)(1) +
+ +

how the information security architecture is integrated into and supports the enterprise architecture;

+ PL-8(a)(2) +
+ +

any information security assumptions about, and dependencies on, external services;

+ PL-8(a)(3) +
+
+ + PL-8(b) + +

defines the frequency to review and update the information security architecture;

+ PL-8(b)[1] +
+ +

reviews and updates the information security architecture with the organization-defined frequency to reflect updates in the enterprise architecture;

+ PL-8(b)[2] +
+
+ +

ensures that planned information security architecture changes are reflected in:

+ PL-8(c) + +

the security plan;

+ PL-8(c)[1] +
+ +

the security Concept of Operations (CONOPS); and

+ PL-8(c)[2] +
+ +

the organizational procurements/acquisitions.

+ PL-8(c)[3] +
+
+
+ +

Security planning policy

+ EXAMINE +
+ +

Organizational personnel with security planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for developing, reviewing, and updating the information security architecture

+ TEST +
+ + DEFENSE-IN-DEPTH + PL-8 (1) + +

The organization designs its security architecture using a defense-in-depth approach that:

+ +

Allocates to ; and

+ PL-8 (1)(a) +
+ +

Ensures that the allocated security safeguards operate in a coordinated and mutually reinforcing manner.

+ PL-8 (1)(b) +
+
+ +

Organizations strategically allocate security safeguards (procedural, technical, or both) in the security architecture so that adversaries have to overcome multiple safeguards to achieve their objective. Requiring adversaries to defeat multiple mechanisms makes it more difficult to successfully attack critical information resources (i.e., increases adversary work factor) and also increases the likelihood of detection. The coordination of allocated safeguards is essential to ensure that an attack that involves one safeguard does not create adverse unintended consequences (e.g., lockout, cascading alarms) by interfering with another safeguard. Placement of security safeguards is a key activity. Greater asset criticality or information value merits additional layering. Thus, an organization may choose to place anti-virus software at organizational boundary layers, email/web servers, notebook computers, and workstations to maximize the number of related safeguards adversaries must penetrate before compromising the information and information systems.

+ + +
+ +

Determine if the organization:

+ + PL-8(1)(a) + +

defines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;

+ PL-8(1)(a)[1] +
+ +

defines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated;

+ PL-8(1)(a)[2] +
+ +

designs its security architecture using a defense-in-depth approach that allocates organization-defined security safeguards to organization-defined locations and architectural layers; and

+ PL-8(1)(a)[3] +
+
+ +

designs its security architecture using a defense-in-depth approach that ensures the allocated organization-defined security safeguards operate in a coordinated and mutually reinforcing manner.

+ PL-8(1)(b) +
+
+ +

Security planning policy

+ EXAMINE +
+ +

Organizational personnel with security planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for designing the information security architecture

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined locations and architectural layers + organization-defined locations and architectural layers + +
+ + SUPPLIER DIVERSITY + PL-8 (2) + +

The organization requires that allocated to are obtained from different suppliers.

+
+ +

Different information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms according to their priorities and development schedules. By having different products at different locations (e.g., server, boundary, desktop) there is an increased likelihood that at least one will detect the malicious code.

+ +
+ +

Determine if the organization:

+ +

defines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;

+ PL-8(2)[1] +
+ +

defines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated; and

+ PL-8(2)[2] +
+ +

requires that organization-defined security safeguards allocated to organization-defined locations and architectural layers are obtained from different suppliers.

+ PL-8(2)[3] +
+
+ +

Security planning policy

+ EXAMINE +
+ +

Organizational personnel with security planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for obtaining information security safeguards from different suppliers

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined locations and architectural layers + organization-defined locations and architectural layers + +
+
+ + CENTRAL MANAGEMENT + + organization-defined security controls and related processes + organization-defined security controls and related processes + + PL-9 + P0 + +

The organization centrally manages .

+
+ +

Central management refers to the organization-wide management and implementation of selected security controls and related processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed security controls and processes. As central management of security controls is generally associated with common controls, such management promotes and facilitates standardization of security control implementations and management and judicious use of organizational resources. Centrally-managed security controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate as part of organizational continuous monitoring. As part of the security control selection process, organizations determine which controls may be suitable for central management based on organizational resources and capabilities. Organizations consider that it may not always be possible to centrally manage every aspect of a security control. In such cases, the security control is treated as a hybrid control with the control managed and implemented either centrally or at the information system level. Controls and control enhancements that are candidates for full or partial central management include, but are not limited to: AC-2 (1) (2) (3) (4); AC-17 (1) (2) (3) (9); AC-18 (1) (3) (4) (5); AC-19 (4); AC-22; AC-23; AT-2 (1) (2); AT-3 (1) (2) (3); AT-4; AU-6 (1) (3) (5) (6) (9); AU-7 (1) (2); AU-11, AU-13, AU-16, CA-2 (1) (2) (3); CA-3 (1) (2) (3); CA-7 (1); CA-9; CM-2 (1) (2); CM-3 (1) (4); CM-4; CM-6 (1); CM-7 (4) (5); CM-8 (all); CM-9 (1); CM-10; CM-11; CP-7 (all); CP-8 (all); SC-43; SI-2; SI-3; SI-7; and SI-8.

+
+ +

Determine if the organization:

+ +

defines security controls and related processes to be centrally managed; and

+ PL-9[1] +
+ +

centrally manages organization-defined security controls and related processes.

+ PL-9[2] +
+
+ +

Security planning policy

+ EXAMINE +
+ +

Organizational personnel with security planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for central management of security controls and related processes

+ TEST +
+ + + NIST Special Publication 800-37 + + +
+
+ + PERSONNEL SECURITY + + PERSONNEL SECURITY POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + PS-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ PS-1a. + +

A personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ PS-1a.1. +
+ +

Procedures to facilitate the implementation of the personnel security policy and associated personnel security controls; and

+ PS-1a.2. +
+
+ +

Reviews and updates the current:

+ PS-1b. + +

Personnel security policy ; and

+ PS-1b.1. +
+ +

Personnel security procedures .

+ PS-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + PS-1(a)(1) + +

develops and documents an personnel security policy that addresses:

+ PS-1(a)(1)[1] + +

purpose;

+ PS-1(a)(1)[1][a] +
+ +

scope;

+ PS-1(a)(1)[1][b] +
+ +

roles;

+ PS-1(a)(1)[1][c] +
+ +

responsibilities;

+ PS-1(a)(1)[1][d] +
+ +

management commitment;

+ PS-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ PS-1(a)(1)[1][f] +
+ +

compliance;

+ PS-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the personnel security policy is to be disseminated;

+ PS-1(a)(1)[2] +
+ +

disseminates the personnel security policy to organization-defined personnel or roles;

+ PS-1(a)(1)[3] +
+
+ + PS-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the personnel security policy and associated personnel security controls;

+ PS-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ PS-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ PS-1(a)(2)[3] +
+
+ + PS-1(b)(1) + +

defines the frequency to review and update the current personnel security policy;

+ PS-1(b)(1)[1] +
+ +

reviews and updates the current personnel security policy with the organization-defined frequency;

+ PS-1(b)(1)[2] +
+
+ + PS-1(b)(2) + +

defines the frequency to review and update the current personnel security procedures; and

+ PS-1(b)(2)[1] +
+ +

reviews and updates the current personnel security procedures with the organization-defined frequency.

+ PS-1(b)(2)[2] +
+
+
+ +

Personnel security policy and procedures

+ EXAMINE +
+ +

Organizational personnel with access control responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-100 + + +
+ + POSITION RISK DESIGNATION + + organization-defined frequency + organization-defined frequency + + PS-2 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Assigns a risk designation to all organizational positions;

+ PS-2a. +
+ +

Establishes screening criteria for individuals filling those positions; and

+ PS-2b. +
+ +

Reviews and updates position risk designations .

+ PS-2c. +
+
+ +

Position risk designations reflect Office of Personnel Management policy and guidance. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements (e.g., training, security clearances).

+ + + +
+ +

Determine if the organization:

+ +

assigns a risk designation to all organizational positions;

+ PS-2(a) +
+ +

establishes screening criteria for individuals filling those positions;

+ PS-2(b) +
+ + PS-2(c) + +

defines the frequency to review and update position risk designations; and

+ PS-2(c)[1] +
+ +

reviews and updates position risk designations with the organization-defined frequency.

+ PS-2(c)[2] +
+
+
+ +

Personnel security policy

+ EXAMINE +
+ +

Organizational personnel with personnel security responsibilities

+ INTERVIEW +
+ +

Organizational processes for assigning, reviewing, and updating position risk designations

+ TEST +
+ + + 5 C.F.R. 731.106 + + +
+ + PERSONNEL SCREENING + + organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening + organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening + + PS-3 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Screens individuals prior to authorizing access to the information system; and

+ PS-3a. +
+ +

Rescreens individuals according to .

+ PS-3b. +
+
+ +

Personnel screening and rescreening activities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, guidance, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing information systems based on types of information processed, stored, or transmitted by the systems.

+ + + + +
+ +

Determine if the organization:

+ +

screens individuals prior to authorizing access to the information system;

+ PS-3(a) +
+ + PS-3(b) + +

defines conditions requiring re-screening;

+ PS-3(b)[1] +
+ +

defines the frequency of re-screening where it is so indicated; and

+ PS-3(b)[2] +
+ +

re-screens individuals in accordance with organization-defined conditions requiring re-screening and, where re-screening is so indicated, with the organization-defined frequency of such re-screening.

+ PS-3(b)[3] +
+
+
+ +

Personnel security policy

+ EXAMINE +
+ +

Organizational personnel with personnel security responsibilities

+ INTERVIEW +
+ +

Organizational processes for personnel screening

+ TEST +
+ + CLASSIFIED INFORMATION + PS-3 (1) + +

The organization ensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system.

+
+ + + + + +

Determine if the organization:

+ +

ensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared to the highest classification level of the information to which they have access on the system; and

+ PS-3(1)[1] +
+ +

ensures that individuals accessing an information system processing, storing, or transmitting classified information are indoctrinated to the highest classification level of the information to which they have access on the system.

+ PS-3(1)[2] +
+
+ +

Personnel security policy

+ EXAMINE +
+ +

Organizational personnel with personnel security responsibilities

+ INTERVIEW +
+ +

Organizational processes for clearing and indoctrinating personnel for access to classified information

+ TEST +
+
+ + FORMAL INDOCTRINATION + PS-3 (2) + +

The organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system.

+
+ +

Types of classified information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI).

+ + +
+ +

Determine if the organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system.

+
+ +

Personnel security policy

+ EXAMINE +
+ +

Organizational personnel with personnel security responsibilities

+ INTERVIEW +
+ +

Organizational processes for formal indoctrination for all relevant types of information to which personnel have access

+ TEST +
+
+ + INFORMATION WITH SPECIAL PROTECTION MEASURES + PS-3 (3) + +

The organization ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection:

+ +

Have valid access authorizations that are demonstrated by assigned official government duties; and

+ PS-3 (3)(a) +
+ +

Satisfy .

+ PS-3 (3)(b) +
+
+ +

Organizational information requiring special protection includes, for example, Controlled Unclassified Information (CUI) and Sources and Methods Information (SAMI). Personnel security criteria include, for example, position sensitivity background screening requirements.

+
+ +

Determine if the organization:

+ +

ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection have valid access authorizations that are demonstrated by assigned official government duties;

+ PS-3(3)(a) +
+ + PS-3(3)(b) + +

defines additional personnel screening criteria to be satisfied for individuals accessing an information system processing, storing, or transmitting information requiring special protection; and

+ PS-3(3)(b)[1] +
+ +

ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection satisfy organization-defined additional personnel screening criteria.

+ PS-3(3)(b)[2] +
+
+
+ +

Personnel security policy

+ EXAMINE +
+ +

Organizational personnel with personnel security responsibilities

+ INTERVIEW +
+ +

Organizational processes for ensuring valid access authorizations for information requiring special protection

+ TEST +
+ + organization-defined additional personnel screening criteria + organization-defined additional personnel screening criteria + +
+ + + 5 C.F.R. 731.106 + + + FIPS Publication 199 + + + FIPS Publication 201 + + + NIST Special Publication 800-60 + + + NIST Special Publication 800-73 + + + NIST Special Publication 800-76 + + + NIST Special Publication 800-78 + + + ICD 704 + + +
+ + PERSONNEL TERMINATION + + organization-defined time period + organization-defined time period + + + organization-defined information security topics + organization-defined information security topics + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + PS-4 + P1 + LOW + MODERATE + HIGH + +

The organization, upon termination of individual employment:

+ +

Disables information system access within ;

+ PS-4a. +
+ +

Terminates/revokes any authenticators/credentials associated with the individual;

+ PS-4b. +
+ +

Conducts exit interviews that include a discussion of ;

+ PS-4c. +
+ +

Retrieves all security-related organizational information system-related property;

+ PS-4d. +
+ +

Retains access to organizational information and information systems formerly controlled by terminated individual; and

+ PS-4e. +
+ +

Notifies within .

+ PS-4f. +
+
+ +

Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for information system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and nonavailability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the information system accounts of individuals that are being terminated prior to the individuals being notified.

+ + + + + +
+ +

Determine if the organization, upon termination of individual employment,:

+ + PS-4(a) + +

defines a time period within which to disable information system access;

+ PS-4(a)[1] +
+ +

disables information system access within the organization-defined time period;

+ PS-4(a)[2] +
+
+ +

terminates/revokes any authenticators/credentials associated with the individual;

+ PS-4(b) +
+ + PS-4(c) + +

defines information security topics to be discussed when conducting exit interviews;

+ PS-4(c)[1] +
+ +

conducts exit interviews that include a discussion of organization-defined information security topics;

+ PS-4(c)[2] +
+
+ +

retrieves all security-related organizational information system-related property;

+ PS-4(d) +
+ +

retains access to organizational information and information systems formerly controlled by the terminated individual;

+ PS-4(e) +
+ + PS-4(f) + +

defines personnel or roles to be notified of the termination;

+ PS-4(f)[1] +
+ +

defines the time period within which to notify organization-defined personnel or roles; and

+ PS-4(f)[2] +
+ +

notifies organization-defined personnel or roles within the organization-defined time period.

+ PS-4(f)[3] +
+
+
+ +

Personnel security policy

+ EXAMINE +
+ +

Organizational personnel with personnel security responsibilities

+ INTERVIEW +
+ +

Organizational processes for personnel termination

+ TEST +
+ + POST-EMPLOYMENT REQUIREMENTS + PS-4 (1) + +

The organization:

+ +

Notifies terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and

+ PS-4 (1)(a) +
+ +

Requires terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process.

+ PS-4 (1)(b) +
+
+ +

Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.

+
+ +

Determine if the organization:

+ +

notifies terminated individuals of applicable, legally binding, post-employment requirements for the protection of organizational information; and

+ PS-4(1)(a) +
+ +

requires terminated individuals to sign an acknowledgement of post-employment requirements as part of the organizational termination process.

+ PS-4(1)(b) +
+
+ +

Personnel security policy

+ EXAMINE +
+ +

Organizational personnel with personnel security responsibilities

+ INTERVIEW +
+ +

Organizational processes for post-employment requirements

+ TEST +
+
+ + AUTOMATED NOTIFICATION + PS-4 (2) + HIGH + +

The organization employs automated mechanisms to notify upon termination of an individual.

+
+ +

In organizations with a large number of employees, not all personnel who need to know about termination actions receive the appropriate notifications�or, if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to specific organizational personnel or roles (e.g., management personnel, supervisors, personnel security officers, information security officers, systems administrators, or information technology administrators) when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including, for example, telephonically, via electronic mail, via text message, or via websites.

+
+ +

Determine if the organization:

+ +

defines personnel or roles to be notified upon termination of an individual; and

+ PS-4(2)[1] +
+ +

employs automated mechanisms to notify organization-defined personnel or roles upon termination of an individual.

+ PS-4(2)[2] +
+
+ +

Personnel security policy

+ EXAMINE +
+ +

Organizational personnel with personnel security responsibilities

+ INTERVIEW +
+ +

Organizational processes for personnel termination

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + +
+
+ + PERSONNEL TRANSFER + + organization-defined transfer or reassignment actions + organization-defined transfer or reassignment actions + + + organization-defined time period following the formal transfer action + organization-defined time period following the formal transfer action + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + PS-5 + P2 + LOW + MODERATE + HIGH + +

The organization:

+ +

Reviews and confirms ongoing operational need for current logical and physical access authorizations to information systems/facilities when individuals are reassigned or transferred to other positions within the organization;

+ PS-5a. +
+ +

Initiates within ;

+ PS-5b. +
+ +

Modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and

+ PS-5c. +
+ +

Notifies within .

+ PS-5d. +
+
+ +

This control applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing information system accounts and establishing new accounts; (iii) changing information system access authorizations (i.e., privileges); and (iv) providing for access to official records to which individuals had access at previous work locations and in previous information system accounts.

+ + + + +
+ +

Determine if the organization:

+ +

when individuals are reassigned or transferred to other positions within the organization, reviews and confirms ongoing operational need for current:

+ PS-5(a) + +

logical access authorizations to information systems;

+ PS-5(a)[1] +
+ +

physical access authorizations to information systems and facilities;

+ PS-5(a)[2] +
+
+ + PS-5(b) + +

defines transfer or reassignment actions to be initiated following transfer or reassignment;

+ PS-5(b)[1] +
+ +

defines the time period within which transfer or reassignment actions must occur following transfer or reassignment;

+ PS-5(b)[2] +
+ +

initiates organization-defined transfer or reassignment actions within the organization-defined time period following transfer or reassignment;

+ PS-5(b)[3] +
+
+ +

modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer;

+ PS-5(c) +
+ + PS-5(d) + +

defines personnel or roles to be notified when individuals are reassigned or transferred to other positions within the organization;

+ PS-5(d)[1] +
+ +

defines the time period within which to notify organization-defined personnel or roles when individuals are reassigned or transferred to other positions within the organization; and

+ PS-5(d)[2] +
+ +

notifies organization-defined personnel or roles within the organization-defined time period when individuals are reassigned or transferred to other positions within the organization.

+ PS-5(d)[3] +
+
+
+ +

Personnel security policy

+ EXAMINE +
+ +

Organizational personnel with personnel security responsibilities organizational personnel with account management responsibilities

+ INTERVIEW +
+ +

Organizational processes for personnel transfer

+ TEST +
+
+ + ACCESS AGREEMENTS + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + PS-6 + P3 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops and documents access agreements for organizational information systems;

+ PS-6a. +
+ +

Reviews and updates the access agreements ; and

+ PS-6b. +
+ +

Ensures that individuals requiring access to organizational information and information systems:

+ PS-6c. + +

Sign appropriate access agreements prior to being granted access; and

+ PS-6c.1. +
+ +

Re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or .

+ PS-6c.2. +
+
+
+ +

Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.

+ + + + + +
+ +

Determine if the organization:

+ +

develops and documents access agreements for organizational information systems;

+ PS-6(a) +
+ + PS-6(b) + +

defines the frequency to review and update the access agreements;

+ PS-6(b)[1] +
+ +

reviews and updates the access agreements with the organization-defined frequency;

+ PS-6(b)[2] +
+
+ + PS-6(c) + +

ensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access;

+ PS-6(c)(1) +
+ + PS-6(c)(2) + +

defines the frequency to re-sign access agreements to maintain access to organizational information systems when access agreements have been updated;

+ PS-6(c)(2)[1] +
+ +

ensures that individuals requiring access to organizational information and information systems re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or with the organization-defined frequency.

+ PS-6(c)(2)[2] +
+
+
+
+ +

Personnel security policy

+ EXAMINE +
+ +

Organizational personnel with personnel security responsibilities

+ INTERVIEW +
+ +

Organizational processes for access agreements

+ TEST +
+ + INFORMATION REQUIRING SPECIAL PROTECTION + PS-6 (1) + +

Incorporated into PS-3.

+
+ +
+ + CLASSIFIED INFORMATION REQUIRING SPECIAL PROTECTION + PS-6 (2) + +

The organization ensures that access to classified information requiring special protection is granted only to individuals who:

+ +

Have a valid access authorization that is demonstrated by assigned official government duties;

+ PS-6 (2)(a) +
+ +

Satisfy associated personnel security criteria; and

+ PS-6 (2)(b) +
+ +

Have read, understood, and signed a nondisclosure agreement.

+ PS-6 (2)(c) +
+
+ +

Classified information requiring special protection includes, for example, collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.

+
+ +

Determine if the organization ensures that access to classified information requiring special protection is granted only to individuals who:

+ +

have a valid access authorization that is demonstrated by assigned official government duties;

+ PS-6(2)(a) +
+ +

satisfy associated personnel security criteria; and

+ PS-6(2)(b) +
+ +

have read, understood, and signed a nondisclosure agreement.

+ PS-6(2)(c) +
+
+ +

Personnel security policy

+ EXAMINE +
+ +

Organizational personnel with personnel security responsibilities

+ INTERVIEW +
+ +

Organizational processes for access to classified information requiring special protection

+ TEST +
+
+ + POST-EMPLOYMENT REQUIREMENTS + PS-6 (3) + +

The organization:

+ +

Notifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and

+ PS-6 (3)(a) +
+ +

Requires individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information.

+ PS-6 (3)(b) +
+
+ +

Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.

+
+ +

Determine if the organization:

+ +

notifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and

+ PS-6(3)(a) +
+ +

requires individuals to sign an acknowledgement of these requirements, if applicable, as part of granting initial access to covered information.

+ PS-6(3)(b) +
+
+ +

Personnel security policy

+ EXAMINE +
+ +

Organizational personnel with personnel security responsibilities

+ INTERVIEW +
+ +

Organizational processes for post-employment requirements

+ TEST +
+
+
+ + THIRD-PARTY PERSONNEL SECURITY + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + PS-7 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Establishes personnel security requirements including security roles and responsibilities for third-party providers;

+ PS-7a. +
+ +

Requires third-party providers to comply with personnel security policies and procedures established by the organization;

+ PS-7b. +
+ +

Documents personnel security requirements;

+ PS-7c. +
+ +

Requires third-party providers to notify of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges within ; and

+ PS-7d. +
+ +

Monitors provider compliance.

+ PS-7e. +
+
+ +

Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. Third-party providers may have personnel working at organizational facilities with credentials, badges, or information system privileges issued by organizations. Notifications of third-party personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated.

+ + + + + + + +
+ +

Determine if the organization:

+ +

establishes personnel security requirements, including security roles and responsibilities, for third-party providers;

+ PS-7(a) +
+ +

requires third-party providers to comply with personnel security policies and procedures established by the organization;

+ PS-7(b) +
+ +

documents personnel security requirements;

+ PS-7(c) +
+ + PS-7(d) + +

defines personnel or roles to be notified of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;

+ PS-7(d)[1] +
+ +

defines the time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;

+ PS-7(d)[2] +
+ +

requires third-party providers to notify organization-defined personnel or roles within the organization-defined time period of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges; and

+ PS-7(d)[3] +
+
+ +

monitors provider compliance.

+ PS-7(e) +
+
+ +

Personnel security policy

+ EXAMINE +
+ +

Organizational personnel with personnel security responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing and monitoring third-party personnel security

+ TEST +
+ + + NIST Special Publication 800-35 + + +
+ + PERSONNEL SANCTIONS + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined time period + organization-defined time period + + PS-8 + P3 + LOW + MODERATE + HIGH + +

The organization:

+ +

Employs a formal sanctions process for individuals failing to comply with established information security policies and procedures; and

+ PS-8a. +
+ +

Notifies within when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.

+ PS-8b. +
+
+ +

Organizational sanctions processes reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.

+ + +
+ +

Determine if the organization:

+ +

employs a formal sanctions process for individuals failing to comply with established information security policies and procedures;

+ PS-8(a) +
+ + PS-8(b) + +

defines personnel or roles to be notified when a formal employee sanctions process is initiated;

+ PS-8(b)[1] +
+ +

defines the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated; and

+ PS-8(b)[2] +
+ +

notifies organization-defined personnel or roles within the organization-defined time period when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.

+ PS-8(b)[3] +
+
+
+ +

Personnel security policy

+ EXAMINE +
+ +

Organizational personnel with personnel security responsibilities

+ INTERVIEW +
+ +

Organizational processes for managing personnel sanctions

+ TEST +
+
+
+ + RISK ASSESSMENT + + RISK ASSESSMENT POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + RA-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ RA-1a. + +

A risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ RA-1a.1. +
+ +

Procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls; and

+ RA-1a.2. +
+
+ +

Reviews and updates the current:

+ RA-1b. + +

Risk assessment policy ; and

+ RA-1b.1. +
+ +

Risk assessment procedures .

+ RA-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the RA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + RA-1(a)(1) + +

develops and documents a risk assessment policy that addresses:

+ RA-1(a)(1)[1] + +

purpose;

+ RA-1(a)(1)[1][a] +
+ +

scope;

+ RA-1(a)(1)[1][b] +
+ +

roles;

+ RA-1(a)(1)[1][c] +
+ +

responsibilities;

+ RA-1(a)(1)[1][d] +
+ +

management commitment;

+ RA-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ RA-1(a)(1)[1][f] +
+ +

compliance;

+ RA-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the risk assessment policy is to be disseminated;

+ RA-1(a)(1)[2] +
+ +

disseminates the risk assessment policy to organization-defined personnel or roles;

+ RA-1(a)(1)[3] +
+
+ + RA-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls;

+ RA-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ RA-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ RA-1(a)(2)[3] +
+
+ + RA-1(b)(1) + +

defines the frequency to review and update the current risk assessment policy;

+ RA-1(b)(1)[1] +
+ +

reviews and updates the current risk assessment policy with the organization-defined frequency;

+ RA-1(b)(1)[2] +
+
+ + RA-1(b)(2) + +

defines the frequency to review and update the current risk assessment procedures; and

+ RA-1(b)(2)[1] +
+ +

reviews and updates the current risk assessment procedures with the organization-defined frequency.

+ RA-1(b)(2)[2] +
+
+
+ +

risk assessment policy and procedures

+ EXAMINE +
+ +

Organizational personnel with risk assessment responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-30 + + + NIST Special Publication 800-100 + + +
+ + SECURITY CATEGORIZATION + RA-2 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;

+ RA-2a. +
+ +

Documents the security categorization results (including supporting rationale) in the security plan for the information system; and

+ RA-2b. +
+ +

Ensures that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.

+ RA-2c. +
+
+ +

Clearly defined authorization boundaries are a prerequisite for effective security categorization decisions. Security categories describe the potential adverse impacts to organizational operations, organizational assets, and individuals if organizational information and information systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of chief information officers, senior information security officers, information system owners, mission/business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes carried out by organizations facilitate the development of inventories of information assets, and along with CM-8, mappings to specific information system components where information is processed, stored, or transmitted.

+ + + + +
+ +

Determine if the organization:

+ +

categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;

+ RA-2(a) +
+ +

documents the security categorization results (including supporting rationale) in the security plan for the information system; and

+ RA-2(b) +
+ +

ensures the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.

+ RA-2(c) +
+
+ +

Risk assessment policy

+ EXAMINE +
+ +

Organizational personnel with security categorization and risk assessment responsibilities

+ INTERVIEW +
+ +

Organizational processes for security categorization

+ TEST +
+ + + FIPS Publication 199 + + + NIST Special Publication 800-30 + + + NIST Special Publication 800-39 + + + NIST Special Publication 800-60 + + +
+ + RISK ASSESSMENT + + organization-defined document + organization-defined document + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + RA-3 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;

+ RA-3a. +
+ +

Documents risk assessment results in [Selection: security plan; risk assessment report; ];

+ RA-3b. +
+ +

Reviews risk assessment results ;

+ RA-3c. +
+ +

Disseminates risk assessment results to ; and

+ RA-3d. +
+ +

Updates the risk assessment or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.

+ RA-3e. +
+
+ +

Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also take into account risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems. Risk assessments (either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation.

+ + +
+ +

Determine if the organization:

+ +

conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of:

+ RA-3(a) + +

the information system;

+ RA-3(a)[1] +
+ +

the information the system processes, stores, or transmits;

+ RA-3(a)[2] +
+
+ + RA-3(b) + +

defines a document in which risk assessment results are to be documented (if not documented in the security plan or risk assessment report);

+ RA-3(b)[1] +
+ +

documents risk assessment results in one of the following:

+ RA-3(b)[2] + +

the security plan;

+ RA-3(b)[2][a] +
+ +

the risk assessment report; or

+ RA-3(b)[2][b] +
+ +

the organization-defined document;

+ RA-3(b)[2][c] +
+
+
+ + RA-3(c) + +

defines the frequency to review risk assessment results;

+ RA-3(c)[1] +
+ +

reviews risk assessment results with the organization-defined frequency;

+ RA-3(c)[2] +
+
+ + RA-3(d) + +

defines personnel or roles to whom risk assessment results are to be disseminated;

+ RA-3(d)[1] +
+ +

disseminates risk assessment results to organization-defined personnel or roles;

+ RA-3(d)[2] +
+
+ + RA-3(e) + +

defines the frequency to update the risk assessment;

+ RA-3(e)[1] +
+ +

updates the risk assessment:

+ RA-3(e)[2] + +

with the organization-defined frequency;

+ RA-3(e)[2][a] +
+ +

whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities); and

+ RA-3(e)[2][b] +
+ +

whenever there are other conditions that may impact the security state of the system.

+ RA-3(e)[2][c] +
+
+
+
+ +

Risk assessment policy

+ EXAMINE +
+ +

Organizational personnel with risk assessment responsibilities

+ INTERVIEW +
+ +

Organizational processes for risk assessment

+ TEST +
+ + + OMB Memorandum 04-04 + + + NIST Special Publication 800-30 + + + NIST Special Publication 800-39 + + + http://idmanagement.gov + + +
+ + RISK ASSESSMENT UPDATE + RA-4 + +

Incorporated into RA-3.

+
+ +
+ + VULNERABILITY SCANNING + + organization-defined frequency and/or randomly in accordance with organization-defined process + organization-defined frequency and/or randomly in accordance with organization-defined process + + + organization-defined response times + organization-defined response times + + + organization-defined personnel or roles + organization-defined personnel or roles + + RA-5 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Scans for vulnerabilities in the information system and hosted applications and when new vulnerabilities potentially affecting the system/applications are identified and reported;

+ RA-5a. +
+ +

Employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:

+ RA-5b. + +

Enumerating platforms, software flaws, and improper configurations;

+ RA-5b.1. +
+ +

Formatting checklists and test procedures; and

+ RA-5b.2. +
+ +

Measuring vulnerability impact;

+ RA-5b.3. +
+
+ +

Analyzes vulnerability scan reports and results from security control assessments;

+ RA-5c. +
+ +

Remediates legitimate vulnerabilities in accordance with an organizational assessment of risk; and

+ RA-5d. +
+ +

Shares information obtained from the vulnerability scanning process and security control assessments with to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).

+ RA-5e. +
+
+ +

Security categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).

+ + + + + + + + +
+ +

Determine if the organization:

+ + RA-5(a) + + RA-5(a)[1] + +

defines the frequency for conducting vulnerability scans on the information system and hosted applications; and/or

+ RA-5(a)[1][a] +
+ +

defines the process for conducting random vulnerability scans on the information system and hosted applications;

+ RA-5(a)[1][b] +
+
+ +

in accordance with the organization-defined frequency and/or organization-defined process for conducting random scans, scans for vulnerabilities in:

+ RA-5(a)[2] + +

the information system;

+ RA-5(a)[2][a] +
+ +

hosted applications;

+ RA-5(a)[2][b] +
+
+ +

when new vulnerabilities potentially affecting the system/applications are identified and reported, scans for vulnerabilities in:

+ RA-5(a)[3] + +

the information system;

+ RA-5(a)[3][a] +
+ +

hosted applications;

+ RA-5(a)[3][b] +
+
+
+ +

employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:

+ RA-5(b) + + RA-5(b)(1) + +

enumerating platforms;

+ RA-5(b)(1)[1] +
+ +

enumerating software flaws;

+ RA-5(b)(1)[2] +
+ +

enumerating improper configurations;

+ RA-5(b)(1)[3] +
+
+ + RA-5(b)(2) + +

formatting checklists;

+ RA-5(b)(2)[1] +
+ +

formatting test procedures;

+ RA-5(b)(2)[2] +
+
+ +

measuring vulnerability impact;

+ RA-5(b)(3) +
+
+ + RA-5(c) + +

analyzes vulnerability scan reports;

+ RA-5(c)[1] +
+ +

analyzes results from security control assessments;

+ RA-5(c)[2] +
+
+ + RA-5(d) + +

defines response times to remediate legitimate vulnerabilities in accordance with an organizational assessment of risk;

+ RA-5(d)[1] +
+ +

remediates legitimate vulnerabilities within the organization-defined response times in accordance with an organizational assessment of risk;

+ RA-5(d)[2] +
+
+ + RA-5(e) + +

defines personnel or roles with whom information obtained from the vulnerability scanning process and security control assessments is to be shared;

+ RA-5(e)[1] +
+ +

shares information obtained from the vulnerability scanning process with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies); and

+ RA-5(e)[2] +
+ +

shares information obtained from security control assessments with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).

+ RA-5(e)[3] +
+
+
+ +

Risk assessment policy

+ EXAMINE +
+ +

Organizational personnel with risk assessment, security control assessment and vulnerability scanning responsibilities

+ INTERVIEW +
+ +

Organizational processes for vulnerability scanning, analysis, remediation, and information sharing

+ TEST +
+ + UPDATE TOOL CAPABILITY + RA-5 (1) + MODERATE + HIGH + +

The organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.

+
+ +

The vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This updating process helps to ensure that potential vulnerabilities in the information system are identified and addressed as quickly as possible.

+ + +
+ +

Determine if the organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.

+
+ +

Procedures addressing vulnerability scanning

+ EXAMINE +
+ +

Organizational personnel with vulnerability scanning responsibilities

+ INTERVIEW +
+ +

Organizational processes for vulnerability scanning

+ TEST +
+
+ + UPDATE BY FREQUENCY / PRIOR TO NEW SCAN / WHEN IDENTIFIED + RA-5 (2) + MODERATE + HIGH + +

The organization updates the information system vulnerabilities scanned [Selection (one or more): ; prior to a new scan; when new vulnerabilities are identified and reported].

+
+ + + + + +

Determine if the organization:

+ +

defines the frequency to update the information system vulnerabilities scanned;

+ RA-5(2)[1] +
+ +

updates the information system vulnerabilities scanned one or more of the following:

+ RA-5(2)[2] + +

with the organization-defined frequency;

+ RA-5(2)[2][a] +
+ +

prior to a new scan; and/or

+ RA-5(2)[2][b] +
+ +

when new vulnerabilities are identified and reported.

+ RA-5(2)[2][c] +
+
+
+ +

Procedures addressing vulnerability scanning

+ EXAMINE +
+ +

Organizational personnel with vulnerability scanning responsibilities

+ INTERVIEW +
+ +

Organizational processes for vulnerability scanning

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+ + BREADTH / DEPTH OF COVERAGE + RA-5 (3) + +

The organization employs vulnerability scanning procedures that can identify the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked).

+
+ +

Determine if the organization employs vulnerability scanning procedures that can identify:

+ +

the breadth of coverage (i.e., information system components scanned); and

+ RA-5(3)[1] +
+ +

the depth of coverage (i.e., vulnerabilities checked).

+ RA-5(3)[2] +
+
+ +

Procedures addressing vulnerability scanning

+ EXAMINE +
+ +

Organizational personnel with vulnerability scanning responsibilities

+ INTERVIEW +
+ +

Organizational processes for vulnerability scanning

+ TEST +
+
+ + DISCOVERABLE INFORMATION + RA-5 (4) + HIGH + +

The organization determines what information about the information system is discoverable by adversaries and subsequently takes .

+
+ +

Discoverable information includes information that adversaries could obtain without directly compromising or breaching the information system, for example, by collecting information the system is exposing or by conducting extensive searches of the web. Corrective actions can include, for example, notifying appropriate organizational personnel, removing designated information, or changing the information system to make designated information less relevant or attractive to adversaries.

+ +
+ +

Determine if the organization:

+ +

defines corrective actions to be taken if information about the information system is discoverable by adversaries;

+ RA-5(4)[1] +
+ +

determines what information about the information system is discoverable by adversaries; and

+ RA-5(4)[2] +
+ +

subsequently takes organization-defined corrective actions.

+ RA-5(4)[3] +
+
+ +

Procedures addressing vulnerability scanning

+ EXAMINE +
+ +

Organizational personnel with vulnerability scanning and/or penetration testing responsibilities

+ INTERVIEW +
+ +

Organizational processes for vulnerability scanning

+ TEST +
+ + organization-defined corrective actions + organization-defined corrective actions + +
+ + PRIVILEGED ACCESS + RA-5 (5) + MODERATE + HIGH + +

The information system implements privileged access authorization to for selected .

+
+ +

In certain situations, the nature of the vulnerability scanning may be more intrusive or the information system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and also protects the sensitive nature of such scanning.

+
+ +

Determine if:

+ +

the organization defines information system components to which privileged access is authorized for selected vulnerability scanning activities;

+ RA-5(5)[1] +
+ +

the organization defines vulnerability scanning activities selected for privileged access authorization to organization-defined information system components; and

+ RA-5(5)[2] +
+ +

the information system implements privileged access authorization to organization-defined information system components for selected organization-defined vulnerability scanning activities.

+ RA-5(5)[3] +
+
+ +

Risk assessment policy

+ EXAMINE +
+ +

Organizational personnel with vulnerability scanning responsibilities

+ INTERVIEW +
+ +

Organizational processes for vulnerability scanning

+ TEST +
+ + organization-identified information system components + organization-identified information system components + + + organization-defined vulnerability scanning activities + organization-defined vulnerability scanning activities + +
+ + AUTOMATED TREND ANALYSES + RA-5 (6) + +

The organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.

+
+ + + + + + +

Determine if the organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.

+
+ +

Risk assessment policy

+ EXAMINE +
+ +

Organizational personnel with vulnerability scanning responsibilities

+ INTERVIEW +
+ +

Organizational processes for vulnerability scanning

+ TEST +
+
+ + AUTOMATED DETECTION AND NOTIFICATION OF UNAUTHORIZED COMPONENTS + RA-5 (7) + +

Incorporated into CM-8.

+
+ +
+ + REVIEW HISTORIC AUDIT LOGS + RA-5 (8) + +

The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.

+
+ + + + +

Determine if the organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.

+
+ +

Risk assessment policy

+ EXAMINE +
+ +

Organizational personnel with vulnerability scanning responsibilities

+ INTERVIEW +
+ +

Organizational processes for vulnerability scanning

+ TEST +
+
+ + PENETRATION TESTING AND ANALYSES + RA-5 (9) + +

Incorporated into CA-8.

+
+ +
+ + CORRELATE SCANNING INFORMATION + RA-5 (10) + +

The organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.

+
+ +

Determine if the organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.

+
+ +

Risk assessment policy

+ EXAMINE +
+ +

Organizational personnel with vulnerability scanning responsibilities

+ INTERVIEW +
+ +

Organizational processes for vulnerability scanning

+ TEST +
+
+ + + NIST Special Publication 800-40 + + + NIST Special Publication 800-70 + + + NIST Special Publication 800-115 + + + http://cwe.mitre.org + + + http://nvd.nist.gov + + +
+ + TECHNICAL SURVEILLANCE COUNTERMEASURES SURVEY + + organization-defined locations + organization-defined locations + + + organization-defined frequency + organization-defined frequency + + + organization-defined events or indicators occur + organization-defined events or indicators occur + + RA-6 + P0 + +

The organization employs a technical surveillance countermeasures survey at [Selection (one or more): ; ].

+
+ +

Technical surveillance countermeasures surveys are performed by qualified personnel to detect the presence of technical surveillance devices/hazards and to identify technical security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities. Such surveys provide evaluations of the technical security postures of organizations and facilities and typically include thorough visual, electronic, and physical examinations in and about surveyed facilities. The surveys also provide useful input into risk assessments and organizational exposure to potential adversaries.

+
+ +

Determine if the organization:

+ +

defines locations to employ technical surveillance countermeasure surveys;

+ RA-6[1] +
+ +

defines a frequency to employ technical surveillance countermeasure surveys;

+ RA-6[2] +
+ +

defines events or indicators which, if they occur, trigger a technical surveillance countermeasures survey;

+ RA-6[3] +
+ +

employs a technical surveillance countermeasures survey at organization-defined locations one or more of the following:

+ RA-6[4] + +

with the organization-defined frequency; and/or

+ RA-6[4][a] +
+ +

when organization-defined events or indicators occur.

+ RA-6[4][b] +
+
+
+ +

Risk assessment policy

+ EXAMINE +
+ +

Organizational personnel with technical surveillance countermeasures surveys responsibilities

+ INTERVIEW +
+ +

Organizational processes for technical surveillance countermeasures surveys

+ TEST +
+
+
+ + SYSTEM AND SERVICES ACQUISITION + + SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + SA-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ SA-1a. + +

A system and services acquisition policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ SA-1a.1. +
+ +

Procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls; and

+ SA-1a.2. +
+
+ +

Reviews and updates the current:

+ SA-1b. + +

System and services acquisition policy ; and

+ SA-1b.1. +
+ +

System and services acquisition procedures .

+ SA-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + SA-1(a)(1) + +

develops and documents a system and services acquisition policy that addresses:

+ SA-1(a)(1)[1] + +

purpose;

+ SA-1(a)(1)[1][a] +
+ +

scope;

+ SA-1(a)(1)[1][b] +
+ +

roles;

+ SA-1(a)(1)[1][c] +
+ +

responsibilities;

+ SA-1(a)(1)[1][d] +
+ +

management commitment;

+ SA-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ SA-1(a)(1)[1][f] +
+ +

compliance;

+ SA-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the system and services acquisition policy is to be disseminated;

+ SA-1(a)(1)[2] +
+ +

disseminates the system and services acquisition policy to organization-defined personnel or roles;

+ SA-1(a)(1)[3] +
+
+ + SA-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls;

+ SA-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ SA-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ SA-1(a)(2)[3] +
+
+ + SA-1(b)(1) + +

defines the frequency to review and update the current system and services acquisition policy;

+ SA-1(b)(1)[1] +
+ +

reviews and updates the current system and services acquisition policy with the organization-defined frequency;

+ SA-1(b)(1)[2] +
+
+ + SA-1(b)(2) + +

defines the frequency to review and update the current system and services acquisition procedures; and

+ SA-1(b)(2)[1] +
+ +

reviews and updates the current system and services acquisition procedures with the organization-defined frequency.

+ SA-1(b)(2)[2] +
+
+
+ +

System and services acquisition policy and procedures

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-100 + + +
+ + ALLOCATION OF RESOURCES + SA-2 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Determines information security requirements for the information system or information system service in mission/business process planning;

+ SA-2a. +
+ +

Determines, documents, and allocates the resources required to protect the information system or information system service as part of its capital planning and investment control process; and

+ SA-2b. +
+ +

Establishes a discrete line item for information security in organizational programming and budgeting documentation.

+ SA-2c. +
+
+ +

Resource allocation for information security includes funding for the initial information system or information system service acquisition and funding for the sustainment of the system/service.

+ + +
+ +

Determine if the organization:

+ +

determines information security requirements for the information system or information system service in mission/business process planning;

+ SA-2(a) +
+ +

to protect the information system or information system service as part of its capital planning and investment control process:

+ SA-2(b) + +

determines the resources required;

+ SA-2(b)[1] +
+ +

documents the resources required;

+ SA-2(b)[2] +
+ +

allocates the resources required; and

+ SA-2(b)[3] +
+
+ +

establishes a discrete line item for information security in organizational programming and budgeting documentation.

+ SA-2(c) +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with capital planning, investment control, organizational programming and budgeting responsibilities

+ INTERVIEW +
+ +

Organizational processes for determining information security requirements

+ TEST +
+ + + NIST Special Publication 800-65 + + +
+ + SYSTEM DEVELOPMENT LIFE CYCLE + + organization-defined system development life cycle + organization-defined system development life cycle + + SA-3 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Manages the information system using that incorporates information security considerations;

+ SA-3a. +
+ +

Defines and documents information security roles and responsibilities throughout the system development life cycle;

+ SA-3b. +
+ +

Identifies individuals having information security roles and responsibilities; and

+ SA-3c. +
+ +

Integrates the organizational information security risk management process into system development life cycle activities.

+ SA-3d. +
+
+ +

A well-defined system development life cycle provides the foundation for the successful development, implementation, and operation of organizational information systems. To apply the required security controls within the system development life cycle requires a basic understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical missions/business functions. The security engineering principles in SA-8 cannot be properly applied if individuals that design, code, and test information systems and system components (including information technology products) do not understand security. Therefore, organizations include qualified personnel, for example, chief information security officers, security architects, security engineers, and information system security officers in system development life cycle activities to ensure that security requirements are incorporated into organizational information systems. It is equally important that developers include individuals on the development team that possess the requisite security expertise and skills to ensure that needed security capabilities are effectively integrated into the information system. Security awareness and training programs can help ensure that individuals having key security roles and responsibilities have the appropriate experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security requirements into enterprise architecture also helps to ensure that important security considerations are addressed early in the system development life cycle and that those considerations are directly related to the organizational mission/business processes. This process also facilitates the integration of the information security architecture into the enterprise architecture, consistent with organizational risk management and information security strategies.

+ + + +
+ +

Determine if the organization:

+ + SA-3(a) + +

defines a system development life cycle that incorporates information security considerations to be used to manage the information system;

+ SA-3(a)[1] +
+ +

manages the information system using the organization-defined system development life cycle;

+ SA-3(a)[2] +
+
+ +

defines and documents information security roles and responsibilities throughout the system development life cycle;

+ SA-3(b) +
+ +

identifies individuals having information security roles and responsibilities; and

+ SA-3(c) +
+ +

integrates the organizational information security risk management process into system development life cycle activities.

+ SA-3(d) +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with information security and system life cycle development responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining and documenting the SDLC

+ TEST +
+ + + NIST Special Publication 800-37 + + + NIST Special Publication 800-64 + + +
+ + ACQUISITION PROCESS + SA-4 + P1 + LOW + MODERATE + HIGH + +

The organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:

+ +

Security functional requirements;

+ SA-4a. +
+ +

Security strength requirements;

+ SA-4b. +
+ +

Security assurance requirements;

+ SA-4c. +
+ +

Security-related documentation requirements;

+ SA-4d. +
+ +

Requirements for protecting security-related documentation;

+ SA-4e. +
+ +

Description of the information system development environment and environment in which the system is intended to operate; and

+ SA-4f. +
+ +

Acceptance criteria.

+ SA-4g. +
+
+ +

Information system components are discrete, identifiable information technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an information system. Information system components include commercial information technology products. Security functional requirements include security capabilities, security functions, and security mechanisms. Security strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to direct attack, and resistance to tampering or bypass. Security assurance requirements include: (i) development processes, procedures, practices, and methodologies; and (ii) evidence from development and assessment activities providing grounds for confidence that the required security functionality has been implemented and the required security strength has been achieved. Security documentation requirements address all phases of the system development life cycle. Security functionality, assurance, and documentation requirements are expressed in terms of security controls and control enhancements that have been selected through the tailoring process. The security control tailoring process includes, for example, the specification of parameter values through the use of assignment and selection statements and the specification of platform dependencies and implementation information. Security documentation provides user and administrator guidance regarding the implementation and operation of security controls. The level of detail required in security documentation is based on the security category or classification level of the information system and the degree to which organizations depend on the stated security capability, functions, or mechanisms to meet overall risk response expectations (as defined in the organizational risk management strategy). Security requirements can also include organizationally mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for information systems, information system components, and information system services are defined in the same manner as such criteria for any organizational acquisition or procurement. The Federal Acquisition Regulation (FAR) Section 7.103 contains information security requirements from FISMA.

+ + + + + + + + +
+ +

Determine if the organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contracts for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:

+ +

security functional requirements;

+ SA-4(a) +
+ +

security strength requirements;

+ SA-4(b) +
+ +

security assurance requirements;

+ SA-4(c) +
+ +

security-related documentation requirements;

+ SA-4(d) +
+ +

requirements for protecting security-related documentation;

+ SA-4(e) +
+ +

description of:

+ SA-4(f) + +

the information system development environment;

+ SA-4(f)[1] +
+ +

the environment in which the system is intended to operate; and

+ SA-4(f)[2] +
+
+ +

acceptance criteria.

+ SA-4(g) +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with acquisition/contracting responsibilities

+ INTERVIEW +
+ +

Organizational processes for determining information system security functional, strength, and assurance requirements

+ TEST +
+ + FUNCTIONAL PROPERTIES OF SECURITY CONTROLS + SA-4 (1) + MODERATE + HIGH + +

The organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.

+
+ +

Functional properties of security controls describe the functionality (i.e., security capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.

+ +
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with acquisition/contracting responsibilities

+ INTERVIEW +
+ +

Organizational processes for determining information system security functional, requirements

+ TEST +
+
+ + DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS + SA-4 (2) + MODERATE + HIGH + +

The organization requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes: [Selection (one or more): security-relevant external system interfaces; high-level design; low-level design; source code or hardware schematics; ] at .

+
+ +

Organizations may require different levels of detail in design and implementation documentation for security controls employed in organizational information systems, system components, or information system services based on mission/business requirements, requirements for trustworthiness/resiliency, and requirements for analysis and testing. Information systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of multiple subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules with particular emphasis on software and firmware (but not excluding hardware) and the interfaces between modules providing security-relevant functionality. Source code and hardware schematics are typically referred to as the implementation representation of the information system.

+ +
+ +

Determine if the organization:

+ +

defines level of detail that the developer is required to provide in design and implementation information for the security controls to be employed in the information system, system component, or information system service;

+ SA-4(2)[1] +
+ +

defines design/implementation information that the developer is to provide for the security controls to be employed (if selected);

+ SA-4(2)[2] +
+ +

requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes, at the organization-defined level of detail, one or more of the following:

+ SA-4(2)[3] + +

security-relevant external system interfaces;

+ SA-4(2)[3][a] +
+ +

high-level design;

+ SA-4(2)[3][b] +
+ +

low-level design;

+ SA-4(2)[3][c] +
+ +

source code;

+ SA-4(2)[3][d] +
+ +

hardware schematics; and/or

+ SA-4(2)[3][e] +
+ +

organization-defined design/implementation information.

+ SA-4(2)[3][f] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with acquisition/contracting responsibilities

+ INTERVIEW +
+ +

Organizational processes for determining level of detail for system design and security controls

+ TEST +
+ + organization-defined design/implementation information + organization-defined design/implementation information + + + organization-defined level of detail + organization-defined level of detail + +
+ + DEVELOPMENT METHODS / TECHNIQUES / PRACTICES + SA-4 (3) + +

The organization requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes .

+
+ +

Following a well-defined system development life cycle that includes state-of-the-practice software development methods, systems/security engineering methods, quality control processes, and testing, evaluation, and validation techniques helps to reduce the number and severity of latent errors within information systems, system components, and information system services. Reducing the number/severity of such errors reduces the number of vulnerabilities in those systems, components, and services.

+ +
+ +

Determine if the organization:

+ +

defines state-of-the-practice system/security engineering methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;

+ SA-4(3)[1] +
+ +

defines software development methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;

+ SA-4(3)[2] +
+ +

defines testing/evaluation/validation techniques to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;

+ SA-4(3)[3] +
+ +

defines quality control processes to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;

+ SA-4(3)[4] +
+ +

requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes:

+ SA-4(3)[5] + +

organization-defined state-of-the-practice system/security engineering methods;

+ SA-4(3)[5][a] +
+ +

organization-defined software development methods;

+ SA-4(3)[5][b] +
+ +

organization-defined testing/evaluation/validation techniques; and

+ SA-4(3)[5][c] +
+ +

organization-defined quality control processes.

+ SA-4(3)[5][d] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with acquisition/contracting responsibilities

+ INTERVIEW +
+ +

Organizational processes for development methods, techniques, and processes

+ TEST +
+ + organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes + organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes + +
+ + ASSIGNMENT OF COMPONENTS TO SYSTEMS + SA-4 (4) + +

Incorporated into CM-8 (9).

+
+ +
+ + SYSTEM / COMPONENT / SERVICE CONFIGURATIONS + SA-4 (5) + +

The organization requires the developer of the information system, system component, or information system service to:

+ +

Deliver the system, component, or service with implemented; and

+ SA-4 (5)(a) +
+ +

Use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.

+ SA-4 (5)(b) +
+
+ +

Security configurations include, for example, the U.S. Government Configuration Baseline (USGCB) and any limitations on functions, ports, protocols, and services. Security characteristics include, for example, requiring that all default passwords have been changed.

+ +
+ +

Determine if the organization:

+ + SA-4(5)(a) + +

defines security configurations to be implemented by the developer of the information system, system component, or information system service;

+ SA-4(5)(a)[1] +
+ +

requires the developer of the information system, system component, or information system service to deliver the system, component, or service with organization-defined security configurations implemented; and

+ SA-4(5)(a)[2] +
+
+ +

requires the developer of the information system, system component, or information system service to use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.

+ SA-4(5)(b) +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with acquisition/contracting responsibilities

+ INTERVIEW +
+ +

Automated mechanisms used to verify that the configuration of the information system, component, or service, as delivered, is as specified

+ TEST +
+ + organization-defined security configurations + organization-defined security configurations + +
+ + USE OF INFORMATION ASSURANCE PRODUCTS + SA-4 (6) + +

The organization:

+ +

Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and

+ SA-4 (6)(a) +
+ +

Ensures that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures.

+ SA-4 (6)(b) +
+
+ +

COTS IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management.

+ + + +
+ +

Determine if the organization:

+ +

employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and

+ SA-4(6)(a) +
+ +

ensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures.

+ SA-4(6)(b) +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with acquisition/contracting responsibilities

+ INTERVIEW +
+ +

Organizational processes for selecting and employing evaluated and/or validated information assurance products and services that compose an NSA-approved solution to protect classified information

+ TEST +
+
+ + NIAP-APPROVED PROTECTION PROFILES + SA-4 (7) + +

The organization:

+ +

Limits the use of commercially provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and

+ SA-4 (7)(a) +
+ +

Requires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.

+ SA-4 (7)(b) +
+
+ + + + + +

Determine if the organization:

+ +

limits the use of commercially-provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and

+ SA-4(7)(a) +
+ +

requires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.

+ SA-4(7)(b) +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with acquisition/contracting responsibilities

+ INTERVIEW +
+ +

Organizational processes for selecting and employing products/services evaluated against a NIAP-approved protection profile or FIPS-validated products

+ TEST +
+
+ + CONTINUOUS MONITORING PLAN + SA-4 (8) + +

The organization requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains .

+
+ +

The objective of continuous monitoring plans is to determine if the complete set of planned, required, and deployed security controls within the information system, system component, or information system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into the continuous monitoring strategies and programs implemented by organizations.

+ +
+ +

Determine if the organization:

+ +

defines the level of detail the developer of the information system, system component, or information system service is required to provide when producing a plan for the continuous monitoring of security control effectiveness; and

+ SA-4(8)[1] +
+ +

requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains the organization-defined level of detail.

+ SA-4(8)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with acquisition/contracting responsibilities

+ INTERVIEW +
+ +

Vendor processes for continuous monitoring

+ TEST +
+ + organization-defined level of detail + organization-defined level of detail + +
+ + FUNCTIONS / PORTS / PROTOCOLS / SERVICES IN USE + SA-4 (9) + MODERATE + HIGH + +

The organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle, the functions, ports, protocols, and services intended for organizational use.

+
+ +

The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design phases) allows organizations to influence the design of the information system, information system component, or information system service. This early involvement in the life cycle helps organizations to avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services (or when requiring information system service providers to do so). Early identification of functions, ports, protocols, and services avoids costly retrofitting of security controls after the information system, system component, or information system service has been implemented. SA-9 describes requirements for external information system services with organizations identifying which functions, ports, protocols, and services are provided from external sources.

+ + +
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle:

+ +

the functions intended for organizational use;

+ SA-4(9)[1] +
+ +

the ports intended for organizational use;

+ SA-4(9)[2] +
+ +

the protocols intended for organizational use; and

+ SA-4(9)[3] +
+ +

the services intended for organizational use.

+ SA-4(9)[4] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with acquisition/contracting responsibilities

+ INTERVIEW +
+
+ + USE OF APPROVED PIV PRODUCTS + SA-4 (10) + LOW + MODERATE + HIGH + +

The organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems.

+
+ + + + + +

Determine if the organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with acquisition/contracting responsibilities

+ INTERVIEW +
+ +

Organizational processes for selecting and employing FIPS 201-approved products

+ TEST +
+
+ + + HSPD-12 + + + ISO/IEC 15408 + + + FIPS Publication 140-2 + + + FIPS Publication 201 + + + NIST Special Publication 800-23 + + + NIST Special Publication 800-35 + + + NIST Special Publication 800-36 + + + NIST Special Publication 800-37 + + + NIST Special Publication 800-64 + + + NIST Special Publication 800-70 + + + NIST Special Publication 800-137 + + + Federal Acquisition Regulation + + + http://www.niap-ccevs.org + + + http://fips201ep.cio.gov + + + http://www.acquisition.gov/far + + +
+ + INFORMATION SYSTEM DOCUMENTATION + + organization-defined actions + organization-defined actions + + + organization-defined personnel or roles + organization-defined personnel or roles + + SA-5 + P2 + LOW + MODERATE + HIGH + +

The organization:

+ +

Obtains administrator documentation for the information system, system component, or information system service that describes:

+ SA-5a. + +

Secure configuration, installation, and operation of the system, component, or service;

+ SA-5a.1. +
+ +

Effective use and maintenance of security functions/mechanisms; and

+ SA-5a.2. +
+ +

Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions;

+ SA-5a.3. +
+
+ +

Obtains user documentation for the information system, system component, or information system service that describes:

+ SA-5b. + +

User-accessible security functions/mechanisms and how to effectively use those security functions/mechanisms;

+ SA-5b.1. +
+ +

Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner; and

+ SA-5b.2. +
+ +

User responsibilities in maintaining the security of the system, component, or service;

+ SA-5b.3. +
+
+ +

Documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent and takes in response;

+ SA-5c. +
+ +

Protects documentation as required, in accordance with the risk management strategy; and

+ SA-5d. +
+ +

Distributes documentation to .

+ SA-5e. +
+
+ +

This control helps organizational personnel understand the implementation and operation of security controls associated with information systems, system components, and information system services. Organizations consider establishing specific measures to determine the quality/completeness of the content provided. The inability to obtain needed documentation may occur, for example, due to the age of the information system/component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the effective implementation or operation of security controls. The level of protection provided for selected information system, component, or service documentation is commensurate with the security category or classification of the system. For example, documentation associated with a key DoD weapons system or command and control system would typically require a higher level of protection than a routine administrative system. Documentation that addresses information system vulnerabilities may also require an increased level of protection. Secure operation of the information system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.

+ + + + + + + +
+ +

Determine if the organization:

+ +

obtains administrator documentation for the information system, system component, or information system service that describes:

+ SA-5(a) + + SA-5(a)(1) + +

secure configuration of the system, system component, or service;

+ SA-5(a)(1)[1] +
+ +

secure installation of the system, system component, or service;

+ SA-5(a)(1)[2] +
+ +

secure operation of the system, system component, or service;

+ SA-5(a)(1)[3] +
+
+ + SA-5(a)(2) + +

effective use of the security features/mechanisms;

+ SA-5(a)(2)[1] +
+ +

effective maintenance of the security features/mechanisms;

+ SA-5(a)(2)[2] +
+
+ +

known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions;

+ SA-5(a)(3) +
+
+ +

obtains user documentation for the information system, system component, or information system service that describes:

+ SA-5(b) + + SA-5(b)(1) + +

user-accessible security functions/mechanisms;

+ SA-5(b)(1)[1] +
+ +

how to effectively use those functions/mechanisms;

+ SA-5(b)(1)[2] +
+
+ +

methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner;

+ SA-5(b)(2) +
+ +

user responsibilities in maintaining the security of the system, component, or service;

+ SA-5(b)(3) +
+
+ + SA-5(c) + +

defines actions to be taken after documented attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;

+ SA-5(c)[1] +
+ +

documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;

+ SA-5(c)[2] +
+ +

takes organization-defined actions in response;

+ SA-5(c)[3] +
+
+ +

protects documentation as required, in accordance with the risk management strategy;

+ SA-5(d) +
+ + SA-5(e) + +

defines personnel or roles to whom documentation is to be distributed; and

+ SA-5(e)[1] +
+ +

distributes documentation to organization-defined personnel or roles.

+ SA-5(e)[2] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with acquisition/contracting responsibilities

+ INTERVIEW +
+ +

Organizational processes for obtaining, protecting, and distributing information system administrator and user documentation

+ TEST +
+ + FUNCTIONAL PROPERTIES OF SECURITY CONTROLS + SA-5 (1) + +

Incorporated into SA-4 (1).

+
+ +
+ + SECURITY-RELEVANT EXTERNAL SYSTEM INTERFACES + SA-5 (2) + +

Incorporated into SA-4 (2).

+
+ +
+ + HIGH-LEVEL DESIGN + SA-5 (3) + +

Incorporated into SA-4 (2).

+
+ +
+ + LOW-LEVEL DESIGN + SA-5 (4) + +

Incorporated into SA-4 (2).

+
+ +
+ + SOURCE CODE + SA-5 (5) + +

Incorporated into SA-4 (2).

+
+ +
+
+ + SOFTWARE USAGE RESTRICTIONS + SA-6 + +

Incorporated into CM-10 and SI-7.

+
+ + +
+ + USER-INSTALLED SOFTWARE + SA-7 + +

Incorporated into CM-11 and SI-7.

+
+ + +
+ + SECURITY ENGINEERING PRINCIPLES + SA-8 + P1 + MODERATE + HIGH + +

The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.

+
+ +

Organizations apply security engineering principles primarily to new development information systems or systems undergoing major upgrades. For legacy systems, organizations apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware within those systems. Security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security requirements into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring that system developers are trained on how to build secure software; (vi) tailoring security controls to meet organizational and operational needs; (vii) performing threat modeling to identify use cases, threat agents, attack vectors, and attack patterns as well as compensating controls and design patterns needed to mitigate risk; and (viii) reducing risk to acceptable levels, thus enabling informed risk management decisions.

+ + + + + + +
+ +

Determine if the organization applies information system security engineering principles in:

+ +

the specification of the information system;

+ SA-8[1] +
+ +

the design of the information system;

+ SA-8[2] +
+ +

the development of the information system;

+ SA-8[3] +
+ +

the implementation of the information system; and

+ SA-8[4] +
+ +

the modification of the information system.

+ SA-8[5] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with acquisition/contracting responsibilities

+ INTERVIEW +
+ +

Organizational processes for applying security engineering principles in information system specification, design, development, implementation, and modification

+ TEST +
+ + + NIST Special Publication 800-27 + + +
+ + EXTERNAL INFORMATION SYSTEM SERVICES + + organization-defined security controls + organization-defined security controls + + + organization-defined processes, methods, and techniques + organization-defined processes, methods, and techniques + + SA-9 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Requires that providers of external information system services comply with organizational information security requirements and employ in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;

+ SA-9a. +
+ +

Defines and documents government oversight and user roles and responsibilities with regard to external information system services; and

+ SA-9b. +
+ +

Employs to monitor security control compliance by external service providers on an ongoing basis.

+ SA-9c. +
+
+ +

External information system services are services that are implemented outside of the authorization boundaries of organizational information systems. This includes services that are used by, but not a part of, organizational information systems. FISMA and OMB policy require that organizations using external service providers that are processing, storing, or transmitting federal information or operating information systems on behalf of the federal government ensure that such providers meet the same security requirements that federal agencies are required to meet. Organizations establish relationships with external service providers in a variety of ways including, for example, through joint ventures, business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, and supply chain exchanges. The responsibility for managing risks from the use of external information system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External information system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for security controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.

+ + + +
+ +

Determine if the organization:

+ + SA-9(a) + +

defines security controls to be employed by providers of external information system services;

+ SA-9(a)[1] +
+ +

requires that providers of external information system services comply with organizational information security requirements;

+ SA-9(a)[2] +
+ +

requires that providers of external information system services employ organization-defined security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;

+ SA-9(a)[3] +
+
+ + SA-9(b) + +

defines and documents government oversight with regard to external information system services;

+ SA-9(b)[1] +
+ +

defines and documents user roles and responsibilities with regard to external information system services;

+ SA-9(b)[2] +
+
+ + SA-9(c) + +

defines processes, methods, and techniques to be employed to monitor security control compliance by external service providers; and

+ SA-9(c)[1] +
+ +

employs organization-defined processes, methods, and techniques to monitor security control compliance by external service providers on an ongoing basis.

+ SA-9(c)[2] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring security control compliance by external service providers on an ongoing basis

+ TEST +
+ + RISK ASSESSMENTS / ORGANIZATIONAL APPROVALS + SA-9 (1) + +

The organization:

+ +

Conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and

+ SA-9 (1)(a) +
+ +

Ensures that the acquisition or outsourcing of dedicated information security services is approved by .

+ SA-9 (1)(b) +
+
+ +

Dedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.

+ + +
+ +

Determine if the organization:

+ +

conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services;

+ SA-9(1)(a) +
+ + SA-9(1)(b) + +

defines personnel or roles designated to approve the acquisition or outsourcing of dedicated information security services; and

+ SA-9(1)(b)[1] +
+ +

ensures that the acquisition or outsourcing of dedicated information security services is approved by organization-defined personnel or roles.

+ SA-9(1)(b)[2] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated information security services

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + IDENTIFICATION OF FUNCTIONS / PORTS / PROTOCOLS / SERVICES + SA-9 (2) + MODERATE + HIGH + +

The organization requires providers of to identify the functions, ports, protocols, and other services required for the use of such services.

+
+ +

Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be particularly useful when the need arises to understand the trade-offs involved in restricting certain functions/services or blocking certain ports/protocols.

+ +
+ +

Determine if the organization:

+ +

defines external information system services for which providers of such services are to identify the functions, ports, protocols, and other services required for the use of such services;

+ SA-9(2)[1] +
+ +

requires providers of organization-defined external information system services to identify:

+ SA-9(2)[2] + +

the functions required for the use of such services;

+ SA-9(2)[2][a] +
+ +

the ports required for the use of such services;

+ SA-9(2)[2][b] +
+ +

the protocols required for the use of such services; and

+ SA-9(2)[2][c] +
+ +

the other services required for the use of such services.

+ SA-9(2)[2][d] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ + organization-defined external information system services + organization-defined external information system services + +
+ + ESTABLISH / MAINTAIN TRUST RELATIONSHIP WITH PROVIDERS + SA-9 (3) + +

The organization establishes, documents, and maintains trust relationships with external service providers based on .

+
+ +

The degree of confidence that the risk from using external services is at an acceptable level depends on the trust that organizations place in the external providers, individually or in combination. Trust relationships can help organization to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered. Such relationships can be complicated due to the number of potential entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and the types of interactions between the parties. In some cases, the degree of trust is based on the amount of direct control organizations are able to exert on external service providers with regard to employment of security controls necessary for the protection of the service/information and the evidence brought forth as to the effectiveness of those controls. The level of control is typically established by the terms and conditions of the contracts or service-level agreements and can range from extensive control (e.g., negotiating contracts or agreements that specify security requirements for the providers) to very limited control (e.g., using contracts or service-level agreements to obtain commodity services such as commercial telecommunications services). In other cases, levels of trust are based on factors that convince organizations that required security controls have been employed and that determinations of control effectiveness exist. For example, separately authorized external information system services provided to organizations through well-established business relationships may provide degrees of trust in such services within the tolerable risk range of the organizations using the services. External service providers may also outsource selected services to other external entities, making the trust relationship more difficult and complicated to manage. Depending on the nature of the services, organizations may find it very difficult to place significant trust in external providers. This is not due to any inherent untrustworthiness on the part of providers, but to the intrinsic level of risk in the services.

+
+ +

Determine if the organization:

+ +

defines requirements, properties, factors, or conditions defining acceptable trust relationships;

+ SA-9(3)[1] +
+ +

based on organization-defined requirements, properties, factors, or conditions defining acceptable trust relationships:

+ SA-9(3)[2] + +

establishes trust relationships with external service providers;

+ SA-9(3)[2][a] +
+ +

documents trust relationships with external service providers; and

+ SA-9(3)[2][b] +
+ +

maintains trust relationships with external service providers.

+ SA-9(3)[2][c] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ + organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships + organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships + +
+ + CONSISTENT INTERESTS OF CONSUMERS AND PROVIDERS + SA-9 (4) + +

The organization employs to ensure that the interests of are consistent with and reflect organizational interests.

+
+ +

As organizations increasingly use external service providers, the possibility exists that the interests of the service providers may diverge from organizational interests. In such situations, simply having the correct technical, procedural, or operational safeguards in place may not be sufficient if the service providers that implement and control those safeguards are not operating in a manner consistent with the interests of the consuming organizations. Possible actions that organizations might take to address such concerns include, for example, requiring background checks for selected service provider personnel, examining ownership records, employing only trustworthy service providers (i.e., providers with which organizations have had positive experiences), and conducting periodic/unscheduled visits to service provider facilities.

+
+ +

Determine if the organization:

+ +

defines external service providers whose interests are to be consistent with and reflect organizational interests;

+ SA-9(4)[1] +
+ +

defines security safeguards to be employed to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests; and

+ SA-9(4)[2] +
+ +

employs organization-defined security safeguards to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests.

+ SA-9(4)[3] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining and employing safeguards to ensure consistent interests with external service providers

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined external service providers + organization-defined external service providers + +
+ + PROCESSING, STORAGE, AND SERVICE LOCATION + SA-9 (5) + +

The organization restricts the location of [Selection (one or more): information processing; information/data; information system services] to based on .

+
+ +

The location of information processing, information/data storage, or information system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions/business functions. This situation exists when external providers control the location of processing, storage or services. The criteria external providers use for the selection of processing, storage, or service locations may be different from organizational criteria. For example, organizations may want to ensure that data/information storage locations are restricted to certain locations to facilitate incident response activities (e.g., forensic analyses, after-the-fact investigations) in case of information security breaches/compromises. Such incident response activities may be adversely affected by the governing laws or protocols in the locations where processing and storage occur and/or the locations from which information system services emanate.

+
+ +

Determine if the organization:

+ +

defines locations where organization-defined information processing, information/data, and/or information system services are to be restricted;

+ SA-9(5)[1] +
+ +

defines requirements or conditions to restrict the location of information processing, information/data, and/or information system services;

+ SA-9(5)[2] +
+ +

restricts the location of one or more of the following to organization-defined locations based on organization-defined requirements or conditions:

+ SA-9(5)[3] + +

information processing;

+ SA-9(5)[3][a] +
+ +

information/data; and/or

+ SA-9(5)[3][b] +
+ +

information services.

+ SA-9(5)[3][c] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining requirements to restrict locations of information processing, information/data, or information services

+ TEST +
+ + organization-defined locations + organization-defined locations + + + organization-defined requirements or conditions + organization-defined requirements or conditions + +
+ + + NIST Special Publication 800-35 + + +
+ + DEVELOPER CONFIGURATION MANAGEMENT + + organization-defined configuration items under configuration management + organization-defined configuration items under configuration management + + + organization-defined personnel + organization-defined personnel + + SA-10 + P1 + MODERATE + HIGH + +

The organization requires the developer of the information system, system component, or information system service to:

+ +

Perform configuration management during system, component, or service [Selection (one or more): design; development; implementation; operation];

+ SA-10a. +
+ +

Document, manage, and control the integrity of changes to ;

+ SA-10b. +
+ +

Implement only organization-approved changes to the system, component, or service;

+ SA-10c. +
+ +

Document approved changes to the system, component, or service and the potential security impacts of such changes; and

+ SA-10d. +
+ +

Track security flaws and flaw resolution within the system, component, or service and report findings to .

+ SA-10e. +
+
+ +

This control also applies to organizations conducting internal information systems development and integration. Organizations consider the quality and completeness of the configuration management activities conducted by developers as evidence of applying effective security safeguards. Safeguards include, for example, protecting from unauthorized modification or destruction, the master copies of all material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the information system, information system component, or information system service requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. Configuration items that are placed under configuration management (if existence/use is required by other security controls) include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and software/firmware source code with previous versions; and test fixtures and documentation. Depending on the mission/business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the life cycle.

+ + + + + +
+ +

Determine if the organization:

+ +

requires the developer of the information system, system component, or information system service to perform configuration management during one or more of the following:

+ SA-10(a) + +

system, component, or service design;

+ SA-10(a)[1] +
+ +

system, component, or service development;

+ SA-10(a)[2] +
+ +

system, component, or service implementation; and/or

+ SA-10(a)[3] +
+ +

system, component, or service operation;

+ SA-10(a)[4] +
+
+ + SA-10(b) + +

defines configuration items to be placed under configuration management;

+ SA-10(b)[1] +
+ +

requires the developer of the information system, system component, or information system service to:

+ SA-10(b)[2] + +

document the integrity of changes to organization-defined items under configuration management;

+ SA-10(b)[2][a] +
+ +

manage the integrity of changes to organization-defined items under configuration management;

+ SA-10(b)[2][b] +
+ +

control the integrity of changes to organization-defined items under configuration management;

+ SA-10(b)[2][c] +
+
+
+ +

requires the developer of the information system, system component, or information system service to implement only organization-approved changes to the system, component, or service;

+ SA-10(c) +
+ +

requires the developer of the information system, system component, or information system service to document:

+ SA-10(d) + +

approved changes to the system, component, or service;

+ SA-10(d)[1] +
+ +

the potential security impacts of such changes;

+ SA-10(d)[2] +
+
+ + SA-10(e) + +

defines personnel to whom findings, resulting from security flaws and flaw resolution tracked within the system, component, or service, are to be reported;

+ SA-10(e)[1] +
+ +

requires the developer of the information system, system component, or information system service to:

+ SA-10(e)[2] + +

track security flaws within the system, component, or service;

+ SA-10(e)[2][a] +
+ +

track security flaw resolution within the system, component, or service; and

+ SA-10(e)[2][b] +
+ +

report findings to organization-defined personnel.

+ SA-10(e)[2][c] +
+
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer configuration management

+ TEST +
+ + SOFTWARE / FIRMWARE INTEGRITY VERIFICATION + SA-10 (1) + +

The organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.

+
+ +

This control enhancement allows organizations to detect unauthorized changes to software and firmware components through the use of tools, techniques, and/or mechanisms provided by developers. Integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components.

+ +
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer configuration management

+ TEST +
+
+ + ALTERNATIVE CONFIGURATION MANAGEMENT PROCESSES + SA-10 (2) + +

The organization provides an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team.

+
+ +

Alternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf (COTS) information technology products. Alternate configuration management processes include organizational personnel that: (i) are responsible for reviewing/approving proposed changes to information systems, system components, and information system services; and (ii) conduct security impact analyses prior to the implementation of any changes to systems, components, or services (e.g., a configuration control board that considers security impacts of changes during development and includes representatives of both the organization and the developer, when applicable).

+
+ +

Determine if the organization provides an alternative configuration management process with organizational personnel in the absence of a dedicated developer configuration management team.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer configuration management

+ TEST +
+
+ + HARDWARE INTEGRITY VERIFICATION + SA-10 (3) + +

The organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.

+
+ +

This control enhancement allows organizations to detect unauthorized changes to hardware components through the use of tools, techniques, and/or mechanisms provided by developers. Organizations verify the integrity of hardware components, for example, with hard-to-copy labels and verifiable serial numbers provided by developers, and by requiring the implementation of anti-tamper technologies. Delivered hardware components also include updates to such components.

+ +
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer configuration management

+ TEST +
+
+ + TRUSTED GENERATION + SA-10 (4) + +

The organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions and software/firmware source and object code with previous versions.

+
+ +

This control enhancement addresses changes to hardware, software, and firmware components between versions during development. In contrast, SA-10 (1) and SA-10 (3) allow organizations to detect unauthorized changes to hardware, software, and firmware components through the use of tools, techniques, and/or mechanisms provided by developers.

+
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of:

+ +

security-relevant hardware descriptions with previous versions; and

+ SA-10(4)[1] +
+ +

software/firmware source and object code with previous versions.

+ SA-10(4)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer configuration management

+ TEST +
+
+ + MAPPING INTEGRITY FOR VERSION CONTROL + SA-10 (5) + +

The organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.

+
+ +

This control enhancement addresses changes to hardware, software, and firmware components during initial development and during system life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs and source code) and the equivalent data in master copies on-site in operational environments is essential to ensure the availability of organizational information systems supporting critical missions and/or business functions.

+
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer configuration management

+ TEST +
+
+ + TRUSTED DISTRIBUTION + SA-10 (6) + +

The organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.

+
+ +

The trusted distribution of security-relevant hardware, software, and firmware updates helps to ensure that such updates are faithful representations of the master copies maintained by the developer and have not been tampered with during distribution.

+
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer configuration management

+ TEST +
+
+ + + NIST Special Publication 800-128 + + +
+ + DEVELOPER SECURITY TESTING AND EVALUATION + + organization-defined depth and coverage + organization-defined depth and coverage + + SA-11 + P1 + MODERATE + HIGH + +

The organization requires the developer of the information system, system component, or information system service to:

+ +

Create and implement a security assessment plan;

+ SA-11a. +
+ +

Perform [Selection (one or more): unit; integration; system; regression] testing/evaluation at ;

+ SA-11b. +
+ +

Produce evidence of the execution of the security assessment plan and the results of the security testing/evaluation;

+ SA-11c. +
+ +

Implement a verifiable flaw remediation process; and

+ SA-11d. +
+ +

Correct flaws identified during security testing/evaluation.

+ SA-11e. +
+
+ +

Developmental security testing/evaluation occurs at all post-design phases of the system development life cycle. Such testing/evaluation confirms that the required security controls are implemented correctly, operating as intended, enforcing the desired security policy, and meeting established security requirements. Security properties of information systems may be affected by the interconnection of system components or changes to those components. These interconnections or changes (e.g., upgrading or replacing applications and operating systems) may adversely affect previously implemented security controls. This control provides additional types of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of security testing/evaluation refers to the rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security assessment plans, flaw remediation processes, and the evidence that the plans/processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.

+ + + + + + +
+ +

Determine if the organization:

+ +

requires the developer of the information system, system component, or information system service to create and implement a security plan;

+ SA-11(a) +
+ + SA-11(b) + +

defines the depth of testing/evaluation to be performed by the developer of the information system, system component, or information system service;

+ SA-11(b)[1] +
+ +

defines the coverage of testing/evaluation to be performed by the developer of the information system, system component, or information system service;

+ SA-11(b)[2] +
+ +

requires the developer of the information system, system component, or information system service to perform one or more of the following testing/evaluation at the organization-defined depth and coverage:

+ SA-11(b)[3] + +

unit testing/evaluation;

+ SA-11(b)[3][a] +
+ +

integration testing/evaluation;

+ SA-11(b)[3][b] +
+ +

system testing/evaluation; and/or

+ SA-11(b)[3][c] +
+ +

regression testing/evaluation;

+ SA-11(b)[3][d] +
+
+
+ +

requires the developer of the information system, system component, or information system service to produce evidence of:

+ SA-11(c) + +

the execution of the security assessment plan;

+ SA-11(c)[1] +
+ +

the results of the security testing/evaluation;

+ SA-11(c)[2] +
+
+ +

requires the developer of the information system, system component, or information system service to implement a verifiable flaw remediation process; and

+ SA-11(d) +
+ +

requires the developer of the information system, system component, or information system service to correct flaws identified during security testing/evaluation.

+ SA-11(e) +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer security testing and evaluation

+ TEST +
+ + STATIC CODE ANALYSIS + SA-11 (1) + +

The organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.

+
+ +

Static code analysis provides a technology and methodology for security reviews. Such analysis can be used to identify security vulnerabilities and enforce security coding practices. Static code analysis is most effective when used early in the development process, when each code change can be automatically scanned for potential weaknesses. Static analysis can provide clear remediation guidance along with defects to enable developers to fix such defects. Evidence of correct implementation of static analysis can include, for example, aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were fixed. An excessively high density of ignored findings (commonly referred to as ignored or false positives) indicates a potential problem with the analysis process or tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.

+
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer security testing and evaluation

+ TEST +
+
+ + THREAT AND VULNERABILITY ANALYSES + SA-11 (2) + +

The organization requires the developer of the information system, system component, or information system service to perform threat and vulnerability analyses and subsequent testing/evaluation of the as-built system, component, or service.

+
+ +

Applications may deviate significantly from the functional and design specifications created during the requirements and design phases of the system development life cycle. Therefore, threat and vulnerability analyses of information systems, system components, and information system services prior to delivery are critical to the effective operation of those systems, components, and services. Threat and vulnerability analyses at this phase of the life cycle help to ensure that design or implementation changes have been accounted for, and that any new vulnerabilities created as a result of those changes have been reviewed and mitigated.

+ + +
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to perform:

+ +

threat analyses of the as-built, system component, or service;

+ SA-11(2)[1] +
+ +

vulnerability analyses of the as-built, system component, or service; and

+ SA-11(2)[2] +
+ +

subsequent testing/evaluation of the as-built, system component, or service.

+ SA-11(2)[3] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer security testing and evaluation

+ TEST +
+
+ + INDEPENDENT VERIFICATION OF ASSESSMENT PLANS / EVIDENCE + SA-11 (3) + +

The organization:

+ +

Requires an independent agent satisfying to verify the correct implementation of the developer security assessment plan and the evidence produced during security testing/evaluation; and

+ SA-11 (3)(a) +
+ +

Ensures that the independent agent is either provided with sufficient information to complete the verification process or granted the authority to obtain such information.

+ SA-11 (3)(b) +
+
+ +

Independent agents have the necessary qualifications (i.e., expertise, skills, training, and experience) to verify the correct implementation of developer security assessment plans.

+ + + + +
+ +

Determine if the organization:

+ + SA-11(3)(a) + +

defines independence criteria that an independent agent is required to satisfy;

+ SA-11(3)(a)[1] +
+ +

requires an independent agent satisfying organization-defined independence criteria to verify:

+ SA-11(3)(a)[2] + +

the correct implementation of the developer security assessment plan;

+ SA-11(3)(a)[2][a] +
+ +

the evidence produced during security testing/evaluation;

+ SA-11(3)(a)[2][b] +
+
+
+ +

ensures that the independent agent is either:

+ SA-11(3)(b) + +

provided with sufficient information to complete the verification process; or

+ SA-11(3)(b)[1] +
+ +

granted the authority to obtain such information.

+ SA-11(3)(b)[2] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer security testing and evaluation

+ TEST +
+ + organization-defined independence criteria + organization-defined independence criteria + +
+ + MANUAL CODE REVIEWS + SA-11 (4) + +

The organization requires the developer of the information system, system component, or information system service to perform a manual code review of using .

+
+ +

Manual code reviews are usually reserved for the critical software and firmware components of information systems. Such code reviews are uniquely effective at identifying weaknesses that require knowledge of the application�s requirements or context which are generally unavailable to more automated analytic tools and techniques such as static or dynamic analysis. Components benefiting from manual review include for example, verifying access control matrices against application controls and reviewing more detailed aspects of cryptographic implementations and controls.

+
+ +

Determine if the organization:

+ +

defines specific code for which the developer of the information system, system component, or information system service is required to perform a manual code review;

+ SA-11(4)[1] +
+ +

defines processes, procedures, and/or techniques to be used when the developer performs a manual code review of organization-defined specific code; and

+ SA-11(4)[2] +
+ +

requires the developer of the information system, system component, or information system service to perform a manual code review of organization-defined specific code using organization-defined processes, procedures, and/or techniques.

+ SA-11(4)[3] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer security testing and evaluation

+ TEST +
+ + organization-defined specific code + organization-defined specific code + + + organization-defined processes, procedures, and/or techniques + organization-defined processes, procedures, and/or techniques + +
+ + PENETRATION TESTING + SA-11 (5) + +

The organization requires the developer of the information system, system component, or information system service to perform penetration testing at and with .

+
+ +

Penetration testing is an assessment methodology in which assessors, using all available information technology product and/or information system documentation (e.g., product/system design specifications, source code, and administrator/operator manuals) and working under specific constraints, attempt to circumvent implemented security features of information technology products and information systems. Penetration testing can include, for example, white, gray, or black box testing with analyses performed by skilled security professionals simulating adversary actions. The objective of penetration testing is to uncover potential vulnerabilities in information technology products and information systems resulting from implementation errors, configuration faults, or other operational deployment weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide greater levels of analysis than would ordinarily be possible.

+
+ +

Determine if the organization:

+ +

defines for the developer of the information system, system component, or information system service:

+ SA-11(5)[1] + +

the breadth of penetration testing to be performed by the developer;

+ SA-11(5)[1][a] +
+ +

the depth of penetration testing to be performed by the developer;

+ SA-11(5)[1][b] +
+
+ +

defines constraints under which the developer is to perform penetration testing; and

+ SA-11(5)[2] +
+ +

requires the developer of the information system, system component, or information system service to perform penetration testing at organization-defined breadth/depth and with organization-defined constraints.

+ SA-11(5)[3] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer security testing and evaluation

+ TEST +
+ + organization-defined breadth/depth + organization-defined breadth/depth + + + organization-defined constraints + organization-defined constraints + +
+ + ATTACK SURFACE REVIEWS + SA-11 (6) + +

The organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.

+
+ +

Attack surfaces of information systems are exposed areas that make those systems more vulnerable to cyber attacks. This includes any accessible areas where weaknesses or deficiencies in information systems (including the hardware, software, and firmware components) provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers: (i) analyze both design and implementation changes to information systems; and (ii) mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes, for example, deprecation of unsafe functions.

+
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer security testing and evaluation

+ TEST +
+
+ + VERIFY SCOPE OF TESTING / EVALUATION + SA-11 (7) + +

The organization requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at .

+
+ +

Verifying that security testing/evaluation provides complete coverage of required security controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance corresponding to the degree of formality of the analysis. Rigorously demonstrating security control coverage at the highest levels of assurance can be provided by the use of formal modeling and analysis techniques including correlation between control implementation and corresponding test cases.

+
+ +

Determine if the organization:

+ +

defines the depth of testing/evaluation to ensure the scope of security/testing evaluation provides complete coverage of required security controls; and

+ SA-11(7)[1] +
+ +

requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at the organization-defined depth of testing/evaluation.

+ SA-11(7)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer security testing and evaluation

+ TEST +
+ + organization-defined depth of testing/evaluation + organization-defined depth of testing/evaluation + +
+ + DYNAMIC CODE ANALYSIS + SA-11 (8) + +

The organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.

+
+ +

Dynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to help to ensure that security functionality performs in the manner in which it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms).

+
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for monitoring developer security testing and evaluation

+ TEST +
+
+ + + ISO/IEC 15408 + + + NIST Special Publication 800-53A + + + http://nvd.nist.gov + + + http://cwe.mitre.org + + + http://cve.mitre.org + + + http://capec.mitre.org + + +
+ + SUPPLY CHAIN PROTECTION + + organization-defined security safeguards + organization-defined security safeguards + + SA-12 + P1 + HIGH + +

The organization protects against supply chain threats to the information system, system component, or information system service by employing as part of a comprehensive, defense-in-breadth information security strategy.

+
+ +

Information systems (including system components that compose those systems) need to be protected throughout the system development life cycle (i.e., during design, development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). Protection of organizational information systems is accomplished through threat awareness, by the identification, management, and reduction of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to respond to risk. Organizations consider implementing a standardized process to address supply chain risk with respect to information systems and system components, and to educate the acquisition workforce on threats, risk, and required security controls. Organizations use the acquisition/procurement processes to require supply chain entities to implement necessary security safeguards to: (i) reduce the likelihood of unauthorized modifications at each stage in the supply chain; and (ii) protect information systems and information system components, prior to taking delivery of such systems/components. This control also applies to information system services. Security safeguards include, for example: (i) security controls for development systems, development facilities, and external connections to development systems; (ii) vetting development personnel; and (iii) use of tamper-evident packaging during shipping/warehousing. Methods for reviewing and protecting development plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.

+ + + + + + + + + + + + + + + + + +
+ +

Determine if the organization:

+ +

defines security safeguards to be employed to protect against supply chain threats to the information system, system component, or information system service; and

+ SA-12[1] +
+ +

protects against supply chain threats to the information system, system component, or information system service by employing organization-defined security safeguards as part of a comprehensive, defense-in-breadth information security strategy.

+ SA-12[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining safeguards for and protecting against supply chain threats

+ TEST +
+ + ACQUISITION STRATEGIES / TOOLS / METHODS + SA-12 (1) + +

The organization employs for the purchase of the information system, system component, or information system service from suppliers.

+
+ +

The use of acquisition and procurement processes by organizations early in the system development life cycle provides an important vehicle to protect the supply chain. Organizations use available all-source intelligence analysis to inform the tailoring of acquisition strategies, tools, and methods. There are a number of different tools and techniques available (e.g., obscuring the end use of an information system or system component, using blind or filtered buys). Organizations also consider creating incentives for suppliers who: (i) implement required security safeguards; (ii) promote transparency into their organizational processes and security practices; (iii) provide additional vetting of the processes and security practices of subordinate suppliers, critical information system components, and services; (iv) restrict purchases from specific suppliers or countries; and (v) provide contract language regarding the prohibition of tainted or counterfeit components. In addition, organizations consider minimizing the time between purchase decisions and required delivery to limit opportunities for adversaries to corrupt information system components or products. Finally, organizations can use trusted/controlled distribution, delivery, and warehousing options to reduce supply chain risk (e.g., requiring tamper-evident packaging of information system components during shipping and warehousing).

+ +
+ +

Determine if the organization:

+ +

defines the following to be employed for the purchase of the information system, system component, or information system service from suppliers:

+ SA-12(1)[1] + +

tailored acquisition strategies;

+ SA-12(1)[1][a] +
+ +

contract tools;

+ SA-12(1)[1][b] +
+ +

procurement methods; and

+ SA-12(1)[1][c] +
+
+ +

employs organization-defined tailored acquisition strategies, contract tools, and procurement methods for the purchase of the information system, system component, or information system service from suppliers.

+ SA-12(1)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods

+ TEST +
+ + organization-defined tailored acquisition strategies, contract tools, and procurement methods + organization-defined tailored acquisition strategies, contract tools, and procurement methods + +
+ + SUPPLIER REVIEWS + SA-12 (2) + +

The organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.

+
+ +

Supplier reviews include, for example: (i) analysis of supplier processes used to design, develop, test, implement, verify, deliver, and support information systems, system components, and information system services; and (ii) assessment of supplier training and experience in developing systems, components, or services with the required security capability. These reviews provide organizations with increased levels of visibility into supplier activities during the system development life cycle to promote more effective supply chain risk management. Supplier reviews can also help to determine whether primary suppliers have security safeguards in place and a practice for vetting subordinate suppliers, for example, second- and third-tier suppliers, and any subcontractors.

+
+ +

Determine if the organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for conducting supplier reviews

+ TEST +
+
+ + TRUSTED SHIPPING AND WAREHOUSING + SA-12 (3) + +

Incorporated into SA-12 (1).

+
+ +
+ + DIVERSITY OF SUPPLIERS + SA-12 (4) + +

Incorporated into SA-12 (13).

+
+ +
+ + LIMITATION OF HARM + SA-12 (5) + +

The organization employs to limit harm from potential adversaries identifying and targeting the organizational supply chain.

+
+ +

Supply chain risk is part of the advanced persistent threat (APT). Security safeguards and countermeasures to reduce the probability of adversaries successfully identifying and targeting the supply chain include, for example: (i) avoiding the purchase of custom configurations to reduce the risk of acquiring information systems, components, or products that have been corrupted via supply chain actions targeted at specific organizations; (ii) employing a diverse set of suppliers to limit the potential harm from any given supplier in the supply chain; (iii) employing approved vendor lists with standing reputations in industry, and (iv) using procurement carve outs (i.e., exclusions to commitments or obligations).

+
+ +

Determine if the organization:

+ +

defines security safeguards to be employed to limit harm from potential adversaries identifying and targeting the organizational supply chain; and

+ SA-12(5)[1] +
+ +

employs organization-defined security safeguards to limit harm from potential adversaries identifying and targeting the organizational supply chain.

+ SA-12(5)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining and employing safeguards to limit harm from adversaries of the organizational supply chain

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + +
+ + MINIMIZING PROCUREMENT TIME + SA-12 (6) + +

Incorporated into SA-12 (1).

+
+ +
+ + ASSESSMENTS PRIOR TO SELECTION / ACCEPTANCE / UPDATE + SA-12 (7) + +

The organization conducts an assessment of the information system, system component, or information system service prior to selection, acceptance, or update.

+
+ +

Assessments include, for example, testing, evaluations, reviews, and analyses. Independent, third-party entities or organizational personnel conduct assessments of systems, components, products, tools, and services. Organizations conduct assessments to uncover unintentional vulnerabilities and intentional vulnerabilities including, for example, malicious code, malicious processes, defective software, and counterfeits. Assessments can include, for example, static analyses, dynamic analyses, simulations, white, gray, and black box testing, fuzz testing, penetration testing, and ensuring that components or services are genuine (e.g., using tags, cryptographic hash verifications, or digital signatures). Evidence generated during security assessments is documented for follow-on actions carried out by organizations.

+ + +
+ +

Determine if the organization conducts an assessment of the information system, system component, or information system service prior to:

+ +

selection;

+ SA-12(7)[1] +
+ +

acceptance; or

+ SA-12(7)[2] +
+ +

update.

+ SA-12(7)[3] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for conducting assessments prior to selection, acceptance, or update

+ TEST +
+
+ + USE OF ALL-SOURCE INTELLIGENCE + SA-12 (8) + +

The organization uses all-source intelligence analysis of suppliers and potential suppliers of the information system, system component, or information system service.

+
+ +

All-source intelligence analysis is employed by organizations to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of intelligence products and/or organizations and activities that incorporate all sources of information, most frequently including human intelligence, imagery intelligence, measurement and signature intelligence, signals intelligence, and open source data in the production of finished intelligence. Where available, such information is used to analyze the risk of both intentional and unintentional vulnerabilities from development, manufacturing, and delivery processes, people, and the environment. This review is performed on suppliers at multiple tiers in the supply chain sufficient to manage risks.

+ +
+ +

Determine if the organization uses all-source intelligence analysis of:

+ +

suppliers of the information system, system component, or information system service; and

+ SA-12(8)[1] +
+ +

potential suppliers of the information system, system component, or information system service.

+ SA-12(8)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for use of an all-source analysis of suppliers and potential suppliers

+ TEST +
+
+ + OPERATIONS SECURITY + SA-12 (9) + +

The organization employs in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.

+
+ +

Supply chain information includes, for example: user identities; uses for information systems, information system components, and information system services; supplier identities; supplier processes; security requirements; design specifications; testing and evaluation results; and system/component configurations. This control enhancement expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process of identifying critical information and subsequently analyzing friendly actions attendant to operations and other activities to: (i) identify those actions that can be observed by potential adversaries; (ii) determine indicators that adversaries might obtain that could be interpreted or pieced together to derive critical information in sufficient time to cause harm to organizations; (iii) implement safeguards or countermeasures to eliminate or reduce to an acceptable level, exploitable vulnerabilities; and (iv) consider how aggregated information may compromise the confidentiality of users or uses of the supply chain. OPSEC may require organizations to withhold critical mission/business information from suppliers and may include the use of intermediaries to hide the end use, or users, of information systems, system components, or information system services.

+
+ +

Determine if the organization:

+ +

defines Operations Security (OPSEC) safeguards to be employed in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service; and

+ SA-12(9)[1] +
+ +

employs organization-defined OPSEC safeguards in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.

+ SA-12(9)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining and employing OPSEC safeguards

+ TEST +
+ + organization-defined Operations Security (OPSEC) safeguards + organization-defined Operations Security (OPSEC) safeguards + +
+ + VALIDATE AS GENUINE AND NOT ALTERED + SA-12 (10) + +

The organization employs to validate that the information system or system component received is genuine and has not been altered.

+
+ +

For some information system components, especially hardware, there are technical means to help determine if the components are genuine or have been altered. Security safeguards used to validate the authenticity of information systems and information system components include, for example, optical/nanotechnology tagging and side-channel analysis. For hardware, detailed bill of material information can highlight the elements with embedded logic complete with component and production location.

+
+ +

Determine if the organization:

+ +

defines security safeguards to be employed to validate that the information system or system component received is genuine and has not been altered; and

+ SA-12(10)[1] +
+ +

employs organization-defined security safeguards to validate that the information system or system components received is genuine and has not been altered.

+ SA-12(10)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining and employing validation safeguards

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + +
+ + PENETRATION TESTING / ANALYSIS OF ELEMENTS, PROCESSES, AND ACTORS + SA-12 (11) + +

The organization employs [Selection (one or more): organizational analysis, independent third-party analysis, organizational penetration testing, independent third-party penetration testing] of associated with the information system, system component, or information system service.

+
+ +

This control enhancement addresses analysis and/or testing of the supply chain, not just delivered items. Supply chain elements are information technology products or product components that contain programmable logic and that are critically important to information system functions. Supply chain processes include, for example: (i) hardware, software, and firmware development processes; (ii) shipping/handling procedures; (iii) personnel and physical security programs; (iv) configuration management tools/measures to maintain provenance; or (v) any other programs, processes, or procedures associated with the production/distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions.

+ +
+ +

Determine if the organization:

+ +

defines supply chain:

+ SA-12(11)[1] + +

elements to be analyzed and/or tested;

+ SA-12(11)[1][a] +
+ +

processes to be analyzed and/or tested;

+ SA-12(11)[1][b] +
+ +

actors to be analyzed and/or tested;

+ SA-12(11)[1][c] +
+
+ +

employs one or more of the following to analyze and/or test organization-defined supply chain elements, processes, and actors associated with the information system, system component, or information system service:

+ SA-12(11)[2] + +

organizational analysis;

+ SA-12(11)[2][a] +
+ +

independent third party analysis;

+ SA-12(11)[2][b] +
+ +

organizational penetration testing; and/or

+ SA-12(11)[2][c] +
+ +

independent third-party penetration testing.

+ SA-12(11)[2][d] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining and employing methods of analysis/testing of supply chain elements, processes, and actors

+ TEST +
+ + organization-defined supply chain elements, processes, and actors + organization-defined supply chain elements, processes, and actors + +
+ + INTER-ORGANIZATIONAL AGREEMENTS + SA-12 (12) + +

The organization establishes inter-organizational agreements and procedures with entities involved in the supply chain for the information system, system component, or information system service.

+
+ +

The establishment of inter-organizational agreements and procedures provides for notification of supply chain compromises. Early notification of supply chain compromises that can potentially adversely affect or have adversely affected organizational information systems, including critical system components, is essential for organizations to provide appropriate responses to such incidents.

+
+ +

Determine if the organization establishes, with entities involved in the supply chain for the information system, system component, or information system service,:

+ +

inter-organizational agreements; and

+ SA-12(12)[1] +
+ +

inter-organizational procedures.

+ SA-12(12)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities

+ TEST +
+
+ + CRITICAL INFORMATION SYSTEM COMPONENTS + SA-12 (13) + +

The organization employs to ensure an adequate supply of .

+
+ +

Adversaries can attempt to impede organizational operations by disrupting the supply of critical information system components or corrupting supplier operations. Safeguards to ensure adequate supplies of critical information system components include, for example: (i) the use of multiple suppliers throughout the supply chain for the identified critical components; and (ii) stockpiling of spare components to ensure operation during mission-critical times.

+
+ +

Determine if the organization:

+ +

defines critical information system components for which security safeguards are to be employed to ensure an adequate supply of such components;

+ SA-12(13)[1] +
+ +

defines security safeguards to be employed to ensure an adequate supply of organization-defined critical information components; and

+ SA-12(13)[2] +
+ +

employs organization-defined security safeguards to ensure an adequate supply of organization-defined critical information system components.

+ SA-12(13)[3] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining and employing security safeguards to ensure an adequate supply of critical information system components

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined critical information system components + organization-defined critical information system components + +
+ + IDENTITY AND TRACEABILITY + SA-12 (14) + +

The organization establishes and retains unique identification of for the information system, system component, or information system service.

+
+ +

Knowing who and what is in the supply chains of organizations is critical to gaining visibility into what is happening within such supply chains, as well as monitoring and identifying high-risk events and activities. Without reasonable visibility and traceability into supply chains (i.e., elements, processes, and actors), it is very difficult for organizations to understand and therefore manage risk, and to reduce the likelihood of adverse events. Uniquely identifying acquirer and integrator roles, organizations, personnel, mission and element processes, testing and evaluation procedures, delivery mechanisms, support mechanisms, communications/delivery paths, and disposal/final disposition activities as well as the components and tools used, establishes a foundational identity structure for assessment of supply chain activities. For example, labeling (using serial numbers) and tagging (using radio-frequency identification [RFID] tags) individual supply chain elements including software packages, modules, and hardware devices, and processes associated with those elements can be used for this purpose. Identification methods are sufficient to support the provenance in the event of a supply chain issue or adverse supply chain event.

+
+ +

Determine if the organization:

+ +

defines the following for the establishment and retention of unique identification:

+ SA-12(14)[1] + +

supply chain elements;

+ SA-12(14)[1][a] +
+ +

supply chain processes;

+ SA-12(14)[1][b] +
+ +

supply chain actors; and

+ SA-12(14)[1][c] +
+
+ +

establishes and retains unique identification of organization-defined supply chain elements, processes, and actors for the information system, system component, or information system service.

+ SA-12(14)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors

+ TEST +
+ + organization-defined supply chain elements, processes, and actors + organization-defined supply chain elements, processes, and actors + +
+ + PROCESSES TO ADDRESS WEAKNESSES OR DEFICIENCIES + SA-12 (15) + +

The organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.

+
+ +

Evidence generated during independent or organizational assessments of supply chain elements (e.g., penetration testing, audits, verification/validation activities) is documented and used in follow-on processes implemented by organizations to respond to the risks related to the identified weaknesses and deficiencies. Supply chain elements include, for example, supplier development processes and supplier distribution systems.

+
+ +

Determine if the organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for addressing weaknesses or deficiencies in supply chain elements

+ TEST +
+
+ + + NIST Special Publication 800-161 + + + NIST Interagency Report 7622 + + +
+ + TRUSTWORTHINESS + + organization-defined information system, information system component, or information system service + organization-defined information system, information system component, or information system service + + + organization-defined assurance overlay + organization-defined assurance overlay + + SA-13 + P0 + +

The organization:

+ +

Describes the trustworthiness required in the supporting its critical missions/business functions; and

+ SA-13a. +
+ +

Implements to achieve such trustworthiness.

+ SA-13b. +
+
+ +

This control helps organizations to make explicit trustworthiness decisions when designing, developing, and implementing information systems that are needed to conduct critical organizational missions/business functions. Trustworthiness is a characteristic/property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information it processes, stores, or transmits. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Trustworthy systems are important to mission/business success. Two factors affecting the trustworthiness of information systems include: (i) security functionality (i.e., the security features, functions, and/or mechanisms employed within the system and its environment of operation); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application). Developers, implementers, operators, and maintainers of organizational information systems can increase the level of assurance (and trustworthiness), for example, by employing well-defined security policy models, structured and rigorous hardware, software, and firmware development techniques, sound system/security engineering principles, and secure configuration settings (defined by a set of assurance-related security controls in Appendix E). Assurance is also based on the assessment of evidence produced during the system development life cycle. Critical missions/business functions are supported by high-impact systems and the associated assurance requirements for such systems. The additional assurance controls in Table E-4 in Appendix E (designated as optional) can be used to develop and implement high-assurance solutions for specific information systems and system components using the concept of overlays described in Appendix I. Organizations select assurance overlays that have been developed, validated, and approved for community adoption (e.g., cross-organization, governmentwide), limiting the development of such overlays on an organization-by-organization basis. Organizations can conduct criticality analyses as described in SA-14, to determine the information systems, system components, or information system services that require high-assurance solutions. Trustworthiness requirements and assurance overlays can be described in the security plans for organizational information systems.

+ + + + + +
+ +

Determine if the organization:

+ + SA-13(a) + +

defines information system, system component, or information system service for which the trustworthiness required is to be described;

+ SA-13(a)[1] +
+ +

describes the trustworthiness required in organization-defined information system, information system component, or information system service supporting its critical mission/business functions;

+ SA-13(a)[2] +
+
+ + SA-13(b) + +

defines an assurance overlay to be implemented to achieve such trustworthiness; and

+ SA-13(b)[1] +
+ +

organization implements the organization-defined assurance overlay to achieve such trustworthiness.

+ SA-13(b)[2] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ + + FIPS Publication 199 + + + FIPS Publication 200 + + + NIST Special Publication 800-53 + + + NIST Special Publication 800-53A + + + NIST Special Publication 800-60 + + + NIST Special Publication 800-64 + + +
+ + CRITICALITY ANALYSIS + + organization-defined information systems, information system components, or information system services + organization-defined information systems, information system components, or information system services + + + organization-defined decision points in the system development life cycle + organization-defined decision points in the system development life cycle + + SA-14 + P0 + +

The organization identifies critical information system components and functions by performing a criticality analysis for at .

+
+ +

Criticality analysis is a key tenet of supply chain risk management and informs the prioritization of supply chain protection activities such as attack surface reduction, use of all-source intelligence, and tailored acquisition strategies. Information system engineers can conduct an end-to-end functional decomposition of an information system to identify mission-critical functions and components. The functional decomposition includes the identification of core organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and beyond the information system boundary. Information system components that allow for unmediated access to critical components or functions are considered critical due to the inherent vulnerabilities such components create. Criticality is assessed in terms of the impact of the function or component failure on the ability of the component to complete the organizational missions supported by the information system. A criticality analysis is performed whenever an architecture or design is being developed or modified, including upgrades.

+ + + + + + + + + +
+ +

Determine if the organization:

+ +

defines information systems, information system components, or information system services requiring a criticality analysis to identify critical information system components and functions;

+ SA-14[1] +
+ +

defines decision points in the system development life cycle when a criticality analysis is to be performed for organization-defined information systems, information system components, or information system services; and

+ SA-14[2] +
+ +

identifies critical information system components and functions by performing a criticality analysis for organization-defined information systems, information system components, or information system services at organization-defined decisions points in the system development life cycle.

+ SA-14[3] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ + CRITICAL COMPONENTS WITH NO VIABLE ALTERNATIVE SOURCING + SA-14 (1) + +

Incorporated into SA-20.

+
+ +
+
+ + DEVELOPMENT PROCESS, STANDARDS, AND TOOLS + + organization-defined frequency + organization-defined frequency + + + organization-defined security requirements + organization-defined security requirements + + SA-15 + P2 + HIGH + +

The organization:

+ +

Requires the developer of the information system, system component, or information system service to follow a documented development process that:

+ SA-15a. + +

Explicitly addresses security requirements;

+ SA-15a.1. +
+ +

Identifies the standards and tools used in the development process;

+ SA-15a.2. +
+ +

Documents the specific tool options and tool configurations used in the development process; and

+ SA-15a.3. +
+ +

Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and

+ SA-15a.4. +
+
+ +

Reviews the development process, standards, tools, and tool options/configurations to determine if the process, standards, tools, and tool options/configurations selected and employed can satisfy .

+ SA-15b. +
+
+ +

Development tools include, for example, programming languages and computer-aided design (CAD) systems. Reviews of development processes can include, for example, the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes enables accurate supply chain risk assessment and mitigation, and requires robust configuration control throughout the life cycle (including design, development, transport, delivery, integration, and maintenance) to track authorized changes and prevent unauthorized changes.

+ + +
+ +

Determine if the organization:

+ +

requires the developer of the information system, system component, or information system service to follow a documented development process that:

+ SA-15(a) + +

explicitly addresses security requirements;

+ SA-15(a)(1) +
+ +

identifies the standards and tools used in the development process;

+ SA-15(a)(2) +
+ + SA-15(a)(3) + +

documents the specific tool options used in the development process;

+ SA-15(a)(3)[1] +
+ +

documents the specific tool configurations used in the development process;

+ SA-15(a)(3)[2] +
+
+ + SA-15(a)(4) + +

documents changes to the process and/or tools used in the development;

+ SA-15(a)(4)[1] +
+ +

manages changes to the process and/or tools used in the development;

+ SA-15(a)(4)[2] +
+ +

ensures the integrity of changes to the process and/or tools used in the development;

+ SA-15(a)(4)[3] +
+
+
+ + SA-15(b) + +

defines a frequency to review the development process, standards, tools, and tool options/configurations;

+ SA-15(b)[1] +
+ +

defines security requirements to be satisfied by the process, standards, tools, and tool option/configurations selected and employed; and

+ SA-15(b)[2] +
+ + SA-15(b)[3] + +

reviews the development process with the organization-defined frequency to determine if the process selected and employed can satisfy organization-defined security requirements;

+ SA-15(b)[3][a] +
+ +

reviews the development standards with the organization-defined frequency to determine if the standards selected and employed can satisfy organization-defined security requirements;

+ SA-15(b)[3][b] +
+ +

reviews the development tools with the organization-defined frequency to determine if the tools selected and employed can satisfy organization-defined security requirements; and

+ SA-15(b)[3][c] +
+ +

reviews the development tool options/configurations with the organization-defined frequency to determine if the tool options/configurations selected and employed can satisfy organization-defined security requirements.

+ SA-15(b)[3][d] +
+
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ + QUALITY METRICS + SA-15 (1) + +

The organization requires the developer of the information system, system component, or information system service to:

+ +

Define quality metrics at the beginning of the development process; and

+ SA-15 (1)(a) +
+ +

Provide evidence of meeting the quality metrics [Selection (one or more): ; ; upon delivery].

+ SA-15 (1)(b) +
+
+ +

Organizations use quality metrics to establish minimum acceptable levels of information system quality. Metrics may include quality gates which are collections of completion criteria or sufficiency standards representing the satisfactory execution of particular phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or an explicit determination that the warnings have no impact on the effectiveness of required security capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. These metrics can include defining the severity thresholds of vulnerabilities, for example, requiring no known vulnerabilities in the delivered information system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High.

+
+ +

Determine if the organization:

+ +

requires the developer of the information system, system component, or information system service to define quality metrics at the beginning of the development process;

+ SA-15(1)(a) +
+ + SA-15(1)(b) + +

defines a frequency to provide evidence of meeting the quality metrics;

+ SA-15(1)(b)[1] +
+ +

defines program review milestones to provide evidence of meeting the quality metrics;

+ SA-15(1)(b)[2] +
+ +

requires the developer of the information system, system component, or information system service to provide evidence of meeting the quality metrics one or more of the following:

+ SA-15(1)(b)[3] + +

with the organization-defined frequency;

+ SA-15(1)(b)[3][a] +
+ +

in accordance with the organization-defined program review milestones; and/or

+ SA-15(1)(b)[3][b] +
+ +

upon delivery of the information system, system component, or information system service.

+ SA-15(1)(b)[3][c] +
+
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ + organization-defined frequency + organization-defined frequency + + + organization-defined program review milestones + organization-defined program review milestones + +
+ + SECURITY TRACKING TOOLS + SA-15 (2) + +

The organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.

+
+ +

Information system development teams select and deploy security tracking tools, including, for example, vulnerability/work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with system development processes.

+
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+
+ + CRITICALITY ANALYSIS + SA-15 (3) + +

The organization requires the developer of the information system, system component, or information system service to perform a criticality analysis at and at .

+
+ +

This control enhancement provides developer input to the criticality analysis performed by organizations in SA-14. Developer input is essential to such analysis because organizations may not have access to detailed design documentation for information system components that are developed as commercial off-the-shelf (COTS) information technology products (e.g., functional specifications, high-level designs, low-level designs, and source code/hardware schematics).

+ + +
+ +

Determine if the organization:

+ +

defines the breadth of criticality analysis to be performed by the developer of the information system, system component, or information system service;

+ SA-15(3)[1] +
+ +

defines the depth of criticality analysis to be performed by the developer of the information system, system component, or information system service;

+ SA-15(3)[2] +
+ +

defines decision points in the system development life cycle when a criticality analysis is to be performed for the information system, system component, or information system service; and

+ SA-15(3)[3] +
+ +

requires the developer of the information system, system component, or information system service to perform a criticality analysis at the organization-defined breadth/depth and at organization-defined decision points in the system development life cycle.

+ SA-15(3)[4] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for performing criticality analysis

+ TEST +
+ + organization-defined breadth/depth + organization-defined breadth/depth + + + organization-defined decision points in the system development life cycle + organization-defined decision points in the system development life cycle + +
+ + THREAT MODELING / VULNERABILITY ANALYSIS + SA-15 (4) + +

The organization requires that developers perform threat modeling and a vulnerability analysis for the information system at that:

+ +

Uses ;

+ SA-15 (4)(a) +
+ +

Employs ; and

+ SA-15 (4)(b) +
+ +

Produces evidence that meets .

+ SA-15 (4)(c) +
+
+ + + + +

Determine if the organization:

+ +

defines the breadth of threat modeling and vulnerability analysis to be performed by developers for the information system;

+ SA-15(4)[1] +
+ +

defines the depth of threat modeling and vulnerability analysis to be performed by developers for the information system;

+ SA-15(4)[2] +
+ +

defines information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels to be used in threat modeling and vulnerability analysis;

+ SA-15(4)[3] +
+ +

defines tools and methods to be employed in threat modeling and vulnerability analysis;

+ SA-15(4)[4] +
+ +

defines acceptance criteria for evidence produced from threat modeling and vulnerability analysis;

+ SA-15(4)[5] +
+ +

requires that developers perform threat modeling and a vulnerability analysis for the information system at the organization-defined breadth/depth that:

+ SA-15(4)[6] + +

uses organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels;

+ SA-15(4)[6](a) +
+ +

employs organization-defined tools and methods; and

+ SA-15(4)[6](b) +
+ +

produces evidence that meets organization-defined acceptance criteria.

+ SA-15(4)[6](c) +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for performing development threat modeling and vulnerability analysis

+ TEST +
+ + organization-defined breadth/depth + organization-defined breadth/depth + + + organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels + organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels + + + organization-defined tools and methods + organization-defined tools and methods + + + organization-defined acceptance criteria + organization-defined acceptance criteria + +
+ + ATTACK SURFACE REDUCTION + SA-15 (5) + +

The organization requires the developer of the information system, system component, or information system service to reduce attack surfaces to .

+
+ +

Attack surface reduction is closely aligned with developer threat and vulnerability analyses and information system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within information systems, information system components, and information system services. Attack surface reduction includes, for example, applying the principle of least privilege, employing layered defenses, applying the principle of least functionality (i.e., restricting ports, protocols, functions, and services), deprecating unsafe functions, and eliminating application programming interfaces (APIs) that are vulnerable to cyber attacks.

+ +
+ +

Determine if the organization:

+ +

defines thresholds to which attack surfaces are to be reduced; and

+ SA-15(5)[1] +
+ +

requires the developer of the information system, system component, or information system service to reduce attack surfaces to organization-defined thresholds.

+ SA-15(5)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining attack surface reduction thresholds

+ TEST +
+ + organization-defined thresholds + organization-defined thresholds + +
+ + CONTINUOUS IMPROVEMENT + SA-15 (6) + +

The organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.

+
+ +

Developers of information systems, information system components, and information system services consider the effectiveness/efficiency of current development processes for meeting quality objectives and addressing security capabilities in current threat environments.

+
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+
+ + AUTOMATED VULNERABILITY ANALYSIS + SA-15 (7) + +

The organization requires the developer of the information system, system component, or information system service to:

+ +

Perform an automated vulnerability analysis using ;

+ SA-15 (7)(a) +
+ +

Determine the exploitation potential for discovered vulnerabilities;

+ SA-15 (7)(b) +
+ +

Determine potential risk mitigations for delivered vulnerabilities; and

+ SA-15 (7)(c) +
+ +

Deliver the outputs of the tools and results of the analysis to .

+ SA-15 (7)(d) +
+
+ + + + +

Determine if the organization:

+ + SA-15(7)(a) + +

defines tools to be used to perform automated vulnerability analysis of the information system, system component, or information system service;

+ SA-15(7)(a)[1] +
+ +

requires the developer of the information system, system component, or information system service to perform an automated vulnerability analysis using organization-defined tools;

+ SA-15(7)(a)[2] +
+
+ +

requires the developer of the information system, system component, or information system service to determine the exploitation potential for discovered vulnerabilities;

+ SA-15(7)(b) +
+ +

requires the developer of the information system, system component, or information system service to determine potential risk mitigations for delivered vulnerabilities;

+ SA-15(7)(c) +
+ + SA-15(7)(d) + +

defines personnel or roles to whom the output of the tools and results of the analysis are to be delivered; and

+ SA-15(7)(d)[1] +
+ +

requires the developer of the information system, system component, or information system service to deliver the outputs of the tools and results of the analysis to organization-defined personnel or roles.

+ SA-15(7)(d)[2] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for vulnerability analysis of information systems, system components, or information system services under development

+ TEST +
+ + organization-defined tools + organization-defined tools + + + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + REUSE OF THREAT / VULNERABILITY INFORMATION + SA-15 (8) + +

The organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.

+
+ +

Analysis of vulnerabilities found in similar software applications can inform potential design or implementation issues for information systems under development. Similar information systems or system components may exist within developer organizations. Authoritative vulnerability information is available from a variety of public and private sector sources including, for example, the National Vulnerability Database.

+
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+
+ + USE OF LIVE DATA + SA-15 (9) + +

The organization approves, documents, and controls the use of live data in development and test environments for the information system, system component, or information system service.

+
+ +

The use of live data in preproduction environments can result in significant risk to organizations. Organizations can minimize such risk by using test or dummy data during the development and testing of information systems, information system components, and information system services.

+
+ +

Determine if the organization, for the information system, system component, or information system service:

+ +

approves the use of live data in development and test environments;

+ SA-15(9)[1] +
+ +

documents the use of live data in development and test environments; and

+ SA-15(9)[2] +
+ +

controls the use of live data in development and test environments.

+ SA-15(9)[3] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for approving, documenting, and controlling the use of live data in development and test environments

+ TEST +
+
+ + INCIDENT RESPONSE PLAN + SA-15 (10) + +

The organization requires the developer of the information system, system component, or information system service to provide an incident response plan.

+
+ +

The incident response plan for developers of information systems, system components, and information system services is incorporated into organizational incident response plans to provide the type of incident response information not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf (COTS) information technology products.

+ +
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to provide an incident response plan.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+
+ + ARCHIVE INFORMATION SYSTEM / COMPONENT + SA-15 (11) + +

The organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.

+
+ +

Archiving relevant documentation from the development process can provide a readily available baseline of information that can be helpful during information system/component upgrades or modifications.

+
+ +

Determine if the organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+
+
+ + DEVELOPER-PROVIDED TRAINING + + organization-defined training + organization-defined training + + SA-16 + P2 + HIGH + +

The organization requires the developer of the information system, system component, or information system service to provide on the correct use and operation of the implemented security functions, controls, and/or mechanisms.

+
+ +

This control applies to external and internal (in-house) developers. Training of personnel is an essential element to ensure the effectiveness of security controls implemented within organizational information systems. Training options include, for example, classroom-style training, web-based/computer-based training, and hands-on training. Organizations can also request sufficient training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security functions, controls, or mechanisms.

+ + + +
+ +

Determine if the organization:

+ +

defines training to be provided by the developer of the information system, system component, or information system service; and

+ SA-16[1] +
+ +

requires the developer of the information system, system component, or information system service to provide organization-defined training on the correct use and operation of the implemented security functions, controls, and/or mechanisms.

+ SA-16[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+
+ + DEVELOPER SECURITY ARCHITECTURE AND DESIGN + SA-17 + P1 + HIGH + +

The organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:

+ +

Is consistent with and supportive of the organization�s security architecture which is established within and is an integrated part of the organization�s enterprise architecture;

+ SA-17a. +
+ +

Accurately and completely describes the required security functionality, and the allocation of security controls among physical and logical components; and

+ SA-17b. +
+ +

Expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.

+ SA-17c. +
+
+ +

This control is primarily directed at external developers, although it could also be used for internal (in-house) development. In contrast, PL-8 is primarily directed at internal developers to help ensure that organizations develop an information security architecture and such security architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important if/when organizations outsource the development of information systems, information system components, or information system services to external entities, and there is a requirement to demonstrate consistency with the organization�s enterprise architecture and information security architecture.

+ + + + +
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:

+ +

is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture;

+ SA-17(a) +
+ +

accurately and completely describes:

+ SA-17(b) + +

the required security functionality;

+ SA-17(b)[1] +
+ +

the allocation of security controls among physical and logical components; and

+ SA-17(b)[2] +
+
+ +

expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.

+ SA-17(c) +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ + FORMAL POLICY MODEL + SA-17 (1) + +

The organization requires the developer of the information system, system component, or information system service to:

+ +

Produce, as an integral part of the development process, a formal policy model describing the to be enforced; and

+ SA-17 (1)(a) +
+ +

Prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.

+ SA-17 (1)(b) +
+
+ +

Formal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors/policies to be formally proven. Not all components of information systems can be modeled, and generally, formal specifications are scoped to specific behaviors or policies of interest (e.g., nondiscretionary access control policies). Organizations choose the particular formal modeling language and approach based on the nature of the behaviors/policies to be described and the available tools. Formal modeling tools include, for example, Gypsy and Zed.

+
+ +

Determine if the organization:

+ + SA-17(1)(a) + +

defines elements of the organizational security policy to be enforced under a formal policy model produced by the developer as an integral part of the development process for the information system, system component, or information system service;

+ SA-17(1)(a)[1] +
+ +

requires the developer of the information system, system component, or information system service to produce, as an integral part of the development process, a formal policy model describing the organization-defined elements of organizational security policy to be enforced; and

+ SA-17(1)(a)[2] +
+
+ +

requires the developer of the information system, system component, or information system service to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.

+ SA-17(1)(b) +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ + organization-defined elements of organizational security policy + organization-defined elements of organizational security policy + +
+ + SECURITY-RELEVANT COMPONENTS + SA-17 (2) + +

The organization requires the developer of the information system, system component, or information system service to:

+ +

Define security-relevant hardware, software, and firmware; and

+ SA-17 (2)(a) +
+ +

Provide a rationale that the definition for security-relevant hardware, software, and firmware is complete.

+ SA-17 (2)(b) +
+
+ +

Security-relevant hardware, software, and firmware represent the portion of the information system, component, or service that must be trusted to perform correctly in order to maintain required security properties.

+ +
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to:

+ + SA-17(2)(a) + +

define security-relevant hardware;

+ SA-17(2)(a)[1] +
+ +

define security-relevant software;

+ SA-17(2)(a)[2] +
+ +

define security-relevant firmware; and

+ SA-17(2)(a)[3] +
+
+ +

provide a rationale that the definition for security-relevant hardware, software, and firmware components is complete.

+ SA-17(2)(b) +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+
+ + FORMAL CORRESPONDENCE + SA-17 (3) + +

The organization requires the developer of the information system, system component, or information system service to:

+ +

Produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;

+ SA-17 (3)(a) +
+ +

Show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;

+ SA-17 (3)(b) +
+ +

Show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;

+ SA-17 (3)(c) +
+ +

Show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and

+ SA-17 (3)(d) +
+ +

Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.

+ SA-17 (3)(e) +
+
+ +

Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal information system description, and that the formal system description is correctly implemented by a description of some lower level, for example a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Consistency between the formal top-level specification and the implementation may require the use of an informal demonstration due to limitations in the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.

+ +
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to:

+ +

produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:

+ SA-17(3)(a) + +

exceptions;

+ SA-17(3)(a)[1] +
+ +

error messages;

+ SA-17(3)(a)[2] +
+ +

effects;

+ SA-17(3)(a)[3] +
+
+ +

show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;

+ SA-17(3)(b) +
+ +

show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;

+ SA-17(3)(c) +
+ +

show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and

+ SA-17(3)(d) +
+ +

describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.

+ SA-17(3)(e) +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+
+ + INFORMAL CORRESPONDENCE + SA-17 (4) + +

The organization requires the developer of the information system, system component, or information system service to:

+ +

Produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;

+ SA-17 (4)(a) +
+ +

Show via [Selection: informal demonstration, convincing argument with formal methods as feasible] that the descriptive top-level specification is consistent with the formal policy model;

+ SA-17 (4)(b) +
+ +

Show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;

+ SA-17 (4)(c) +
+ +

Show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and

+ SA-17 (4)(d) +
+ +

Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.

+ SA-17 (4)(e) +
+
+ +

Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.

+ +
+ +

Determine if the organization requires the developer of the information system, system component, or information system service to:

+ +

produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:

+ SA-17(4)(a) + +

exceptions;

+ SA-17(4)(a)[1] +
+ +

error messages;

+ SA-17(4)(a)[2] +
+ +

effects;

+ SA-17(4)(a)[3] +
+
+ +

show via informal demonstration and/or convincing argument with formal methods as feasible that the descriptive top-level specification is consistent with the formal policy model;

+ SA-17(4)(b) +
+ +

show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;

+ SA-17(4)(c) +
+ +

show that the descriptive top-level specification is an accurate description of the interfaces to the security-relevant hardware, software, and firmware; and

+ SA-17(4)(d) +
+ +

describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.

+ SA-17(4)(e) +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+
+ + CONCEPTUALLY SIMPLE DESIGN + SA-17 (5) + +

The organization requires the developer of the information system, system component, or information system service to:

+ +

Design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and

+ SA-17 (5)(a) +
+ +

Internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.

+ SA-17 (5)(b) +
+
+ + + + +

Determine if the organization requires the developer of the information system, system component, or information system service to:

+ +

design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and

+ SA-17(5)(a) +
+ +

internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.

+ SA-17(5)(b) +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+
+ + STRUCTURE FOR TESTING + SA-17 (6) + +

The organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.

+
+ + + + +

Determine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+
+ + STRUCTURE FOR LEAST PRIVILEGE + SA-17 (7) + +

The organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.

+
+ + + + + +

Determine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+
+
+ + TAMPER RESISTANCE AND DETECTION + SA-18 + P0 + +

The organization implements a tamper protection program for the information system, system component, or information system service.

+
+ +

Anti-tamper technologies and techniques provide a level of protection for critical information systems, system components, and information technology products against a number of related threats including modification, reverse engineering, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting information systems, components, and products during distribution and when in use.

+ + + +
+ +

Determine if the organization implements a tamper protection program for the information system, system component, or information system service.

+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for implementation of the tamper protection program

+ TEST +
+ + MULTIPLE PHASES OF SDLC + SA-18 (1) + +

The organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including design, development, integration, operations, and maintenance.

+
+ +

Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations employ obfuscation and self-checking, for example, to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. Customization of information systems and system components can make substitutions easier to detect and therefore limit damage.

+ +
+ +

Determine if the organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including:

+ +

design;

+ SA-18(1)[1] +
+ +

development;

+ SA-18(1)[2] +
+ +

integration;

+ SA-18(1)[3] +
+ +

operations; and

+ SA-18(1)[4] +
+ +

maintenance.

+ SA-18(1)[5] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for employing anti-tamper technologies

+ TEST +
+
+ + INSPECTION OF INFORMATION SYSTEMS, COMPONENTS, OR DEVICES + SA-18 (2) + +

The organization inspects [Selection (one or more): at random; at , upon ] to detect tampering.

+
+ +

This control enhancement addresses both physical and logical tampering and is typically applied to mobile devices, notebook computers, or other system components taken out of organization-controlled areas. Indications of need for inspection include, for example, when individuals return from travel to high-risk locations.

+ +
+ +

Determine if the organization:

+ +

defines information systems, system components, or devices to be inspected to detect tampering;

+ SA-18(2)[1] +
+ +

defines the frequency to inspect organization-defined information systems, system components, or devices to detect tampering;

+ SA-18(2)[2] +
+ +

defines indications of need for inspection of organization-defined information systems, system components, or devices to detect tampering;

+ SA-18(2)[3] +
+ +

inspects organization-defined information systems, system components, or devices to detect tampering, selecting one or more of the following:

+ SA-18(2)[4] + +

at random;

+ SA-18(2)[4][a] +
+ +

with the organization-defined frequency; and/or

+ SA-18(2)[4][b] +
+ +

upon organization-defined indications of need for inspection.

+ SA-18(2)[4][c] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for inspecting information systems, system components, or devices to detect tampering

+ TEST +
+ + organization-defined information systems, system components, or devices + organization-defined information systems, system components, or devices + + + organization-defined frequency + organization-defined frequency + + + organization-defined indications of need for inspection + organization-defined indications of need for inspection + +
+
+ + COMPONENT AUTHENTICITY + + organization-defined external reporting organizations + organization-defined external reporting organizations + + + organization-defined personnel or roles + organization-defined personnel or roles + + SA-19 + P0 + +

The organization:

+ +

Develops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system; and

+ SA-19a. +
+ +

Reports counterfeit information system components to [Selection (one or more): source of counterfeit component; ; ].

+ SA-19b. +
+
+ +

Sources of counterfeit components include, for example, manufacturers, developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include, for example, US-CERT.

+ + + +
+ +

Determine if the organization:

+ +

develops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system;

+ SA-19(a) +
+ + SA-19(b) + +

defines external reporting organizations to whom counterfeit information system components are to be reported;

+ SA-19(b)[1] +
+ +

defines personnel or roles to whom counterfeit information system components are to be reported;

+ SA-19(b)[2] +
+ +

reports counterfeit information system components to one or more of the following:

+ SA-19(b)[3] + +

the source of counterfeit component;

+ SA-19(b)[3][a] +
+ +

the organization-defined external reporting organizations; and/or

+ SA-19(b)[3][b] +
+ +

the organization-defined personnel or roles.

+ SA-19(b)[3][c] +
+
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for anti-counterfeit detection, prevention, and reporting

+ TEST +
+ + ANTI-COUNTERFEIT TRAINING + SA-19 (1) + +

The organization trains to detect counterfeit information system components (including hardware, software, and firmware).

+
+ +

Determine if the organization:

+ +

defines personnel or roles to be trained to detect counterfeit information system components (including hardware, software, and firmware); and

+ SA-19(1)[1] +
+ +

trains organization-defined personnel or roles to detect counterfeit information system components (including hardware, software, and firmware).

+ SA-19(1)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for anti-counterfeit training

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + CONFIGURATION CONTROL FOR COMPONENT SERVICE / REPAIR + SA-19 (2) + +

The organization maintains configuration control over awaiting service/repair and serviced/repaired components awaiting return to service.

+
+ +

Determine if the organization:

+ +

defines information system components requiring configuration control to be maintained when awaiting service/repair;

+ SA-19(2)[1] +
+ +

defines information system components requiring configuration control to be maintained when awaiting return to service; and

+ SA-19(2)[2] +
+ +

maintains configuration control over organization-defined information system components awaiting service/repairs and serviced/repaired components awaiting return to service.

+ SA-19(2)[3] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for configuration management

+ TEST +
+ + organization-defined information system components + organization-defined information system components + +
+ + COMPONENT DISPOSAL + SA-19 (3) + +

The organization disposes of information system components using .

+
+ +

Proper disposal of information system components helps to prevent such components from entering the gray market.

+
+ +

Determine if the organization:

+ +

defines techniques and methods to dispose of information system components; and

+ SA-19(3)[1] +
+ +

disposes of information system components using organization-defined techniques and methods.

+ SA-19(3)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational techniques and methods for information system component disposal

+ TEST +
+ + organization-defined techniques and methods + organization-defined techniques and methods + +
+ + ANTI-COUNTERFEIT SCANNING + SA-19 (4) + +

The organization scans for counterfeit information system components .

+
+ +

Determine if the organization:

+ +

defines a frequency to scan for counterfeit information system components; and

+ SA-19(4)[1] +
+ +

scans for counterfeit information system components with the organization-defined frequency.

+ SA-19(4)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for anti-counterfeit scanning

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+
+ + CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS + + organization-defined critical information system components + organization-defined critical information system components + + SA-20 + P0 + +

The organization re-implements or custom develops .

+
+ +

Organizations determine that certain information system components likely cannot be trusted due to specific threats to and vulnerabilities in those components, and for which there are no viable security controls to adequately mitigate the resulting risk. Re-implementation or custom development of such components helps to satisfy requirements for higher assurance. This is accomplished by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to re-implement or custom develop critical information system components, additional safeguards can be employed (e.g., enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files.

+ + + +
+ +

Determine if the organization:

+ +

defines critical information system components to be re-implemented or custom developed; and

+ SA-20[1] +
+ +

re-implements or custom develops organization-defined information system components.

+ SA-20[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for re-implementing or customized development of critical information system components

+ TEST +
+
+ + DEVELOPER SCREENING + + organization-defined information system, system component, or information system service + organization-defined information system, system component, or information system service + + + organization-defined official government duties + organization-defined official government duties + + + organization-defined additional personnel screening criteria + organization-defined additional personnel screening criteria + + SA-21 + P0 + +

The organization requires that the developer of :

+ +

Have appropriate access authorizations as determined by assigned ; and

+ SA-21a. +
+ +

Satisfy .

+ SA-21b. +
+
+ +

Because the information system, system component, or information system service may be employed in critical activities essential to the national and/or economic security interests of the United States, organizations have a strong interest in ensuring that the developer is trustworthy. The degree of trust required of the developer may need to be consistent with that of the individuals accessing the information system/component/service once deployed. Examples of authorization and personnel screening criteria include clearance, satisfactory background checks, citizenship, and nationality. Trustworthiness of developers may also include a review and analysis of company ownership and any relationships the company has with entities potentially affecting the quality/reliability of the systems, components, or services being developed.

+ + +
+ +

Determine if the organization:

+ +

defines the information system, system component, or information system service for which the developer is to be screened;

+ SA-21[1] +
+ +

defines official government duties to be used to determine appropriate access authorizations for the developer;

+ SA-21[2] +
+ +

defines additional personnel screening criteria to be satisfied by the developer;

+ SA-21[3] +
+ + SA-21[4] + +

requires that the developer of organization-defined information system, system component, or information system service have appropriate access authorizations as determined by assigned organization-defined official government duties; and

+ SA-21[4][a] +
+ +

requires that the developer of organization-defined information system, system component, or information system service satisfy organization-defined additional personnel screening criteria.

+ SA-21[4][b] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for developer screening

+ TEST +
+ + VALIDATION OF SCREENING + SA-21 (1) + +

The organization requires the developer of the information system, system component, or information system service take to ensure that the required access authorizations and screening criteria are satisfied.

+
+ +

Satisfying required access authorizations and personnel screening criteria includes, for example, providing a listing of all the individuals authorized to perform development activities on the selected information system, system component, or information system service so that organizations can validate that the developer has satisfied the necessary authorization and screening requirements.

+
+ +

Determine if the organization:

+ +

defines actions to be taken by the developer of the information system, system component, or information system service to ensure that the required access authorizations and screening criteria are satisfied; and

+ SA-21(1)[1] +
+ +

requires the developer of the information system, system component, or information system service take organization-defined actions to ensure that the required access authorizations and screening criteria are satisfied.

+ SA-21(1)[2] +
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for developer screening

+ TEST +
+ + organization-defined actions + organization-defined actions + +
+
+ + UNSUPPORTED SYSTEM COMPONENTS + SA-22 + P0 + +

The organization:

+ +

Replaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer; and

+ SA-22a. +
+ +

Provides justification and documents approval for the continued use of unsupported system components required to satisfy mission/business needs.

+ SA-22b. +
+
+ +

Support for information system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components (e.g., when vendors are no longer providing critical software patches), provide a substantial opportunity for adversaries to exploit new weaknesses discovered in the currently installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission/business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.

+ + +
+ +

Determine if the organization:

+ +

replaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer;

+ SA-22(a) +
+ + SA-22(b) + +

provides justification for the continued use of unsupported system components required to satisfy mission/business needs; and

+ SA-22(b)[1] +
+ +

documents approval for the continued use of unsupported system components required to satisfy mission/business needs.

+ SA-22(b)[2] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for replacing unsupported system components

+ TEST +
+ + ALTERNATIVE SOURCES FOR CONTINUED SUPPORT + SA-22 (1) + +

The organization provides [Selection (one or more): in-house support; ] for unsupported information system components.

+
+ +

This control enhancement addresses the need to provide continued support for selected information system components that are no longer supported by the original developers, vendors, or manufacturers when such components remain essential to mission/business operations. Organizations can establish in-house support, for example, by developing customized patches for critical software components or secure the services of external providers who through contractual relationships, provide ongoing support for the designated unsupported components. Such contractual relationships can include, for example, Open Source Software value-added vendors.

+
+ +

Determine if the organization:

+ +

defines support from external providers to be provided for unsupported information system components;

+ SA-22(1)[1] +
+ +

provides and/or obtains support for unsupported information system components from one or more of the following:

+ SA-22(1)[2] + +

in-house support; and/or

+ SA-22(1)[2][a] +
+ +

organization-defined support from external providers.

+ SA-22(1)[2][b] +
+
+
+ +

System and services acquisition policy

+ EXAMINE +
+ +

Organizational personnel with system and services acquisition responsibilities

+ INTERVIEW +
+ +

Organizational processes for supporting system components no longer supported by original developers, vendors, or manufacturers

+ TEST +
+ + organization-defined support from external providers + organization-defined support from external providers + +
+
+
+ + SYSTEM AND COMMUNICATIONS PROTECTION + + SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + SC-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ SC-1a. + +

A system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ SC-1a.1. +
+ +

Procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls; and

+ SC-1a.2. +
+
+ +

Reviews and updates the current:

+ SC-1b. + +

System and communications protection policy ; and

+ SC-1b.1. +
+ +

System and communications protection procedures .

+ SC-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + SC-1(a)(1) + +

develops and documents a system and communications protection policy that addresses:

+ SC-1(a)(1)[1] + +

purpose;

+ SC-1(a)(1)[1][a] +
+ +

scope;

+ SC-1(a)(1)[1][b] +
+ +

roles;

+ SC-1(a)(1)[1][c] +
+ +

responsibilities;

+ SC-1(a)(1)[1][d] +
+ +

management commitment;

+ SC-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ SC-1(a)(1)[1][f] +
+ +

compliance;

+ SC-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the system and communications protection policy is to be disseminated;

+ SC-1(a)(1)[2] +
+ +

disseminates the system and communications protection policy to organization-defined personnel or roles;

+ SC-1(a)(1)[3] +
+
+ + SC-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls;

+ SC-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ SC-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ SC-1(a)(2)[3] +
+
+ + SC-1(b)(1) + +

defines the frequency to review and update the current system and communications protection policy;

+ SC-1(b)(1)[1] +
+ +

reviews and updates the current system and communications protection policy with the organization-defined frequency;

+ SC-1(b)(1)[2] +
+
+ + SC-1(b)(2) + +

defines the frequency to review and update the current system and communications protection procedures; and

+ SC-1(b)(2)[1] +
+ +

reviews and updates the current system and communications protection procedures with the organization-defined frequency.

+ SC-1(b)(2)[2] +
+
+
+ +

System and communications protection policy and procedures

+ EXAMINE +
+ +

Organizational personnel with system and communications protection responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-100 + + +
+ + APPLICATION PARTITIONING + SC-2 + P1 + MODERATE + HIGH + +

The information system separates user functionality (including user interface services) from information system management functionality.

+
+ +

Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical. Organizations implement separation of system management-related functionality from user functionality by using different computers, different central processing units, different instances of operating systems, different network addresses, virtualization techniques, or combinations of these or other methods, as appropriate. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other information system resources. Separation of system and user functionality may include isolating administrative interfaces on different domains and with additional access controls.

+ + + +
+ +

Determine if the information system separates user functionality (including user interface services) from information system management functionality.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Separation of user functionality from information system management functionality

+ TEST +
+ + INTERFACES FOR NON-PRIVILEGED USERS + SC-2 (1) + +

The information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.

+
+ +

This control enhancement ensures that administration options (e.g., administrator privileges) are not available to general users (including prohibiting the use of the grey-out option commonly used to eliminate accessibility to such information). Such restrictions include, for example, not presenting administration options until users establish sessions with administrator privileges.

+ +
+ +

Determine if the information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Separation of user functionality from information system management functionality

+ TEST +
+
+
+ + SECURITY FUNCTION ISOLATION + SC-3 + P1 + HIGH + +

The information system isolates security functions from nonsecurity functions.

+
+ +

The information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains). Such isolation controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Information systems implement code separation (i.e., separation of security functions from nonsecurity functions) in a number of ways, including, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that serve to protect the code on disk, and address space protections that protect executing code. Information systems restrict access to security functions through the use of access control mechanisms and by implementing least privilege capabilities. While the ideal is for all of the code within the security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception.

+ + + + + + + + + +
+ +

Determine if the information system isolates security functions from nonsecurity functions.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Separation of security functions from nonsecurity functions within the information system

+ TEST +
+ + HARDWARE SEPARATION + SC-3 (1) + +

The information system utilizes underlying hardware separation mechanisms to implement security function isolation.

+
+ +

Underlying hardware separation mechanisms include, for example, hardware ring architectures, commonly implemented within microprocessors, and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable).

+
+ +

Determine if the information system utilizes underlying hardware separation mechanisms to implement security function isolation.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Separation of security functions from nonsecurity functions within the information system

+ TEST +
+
+ + ACCESS / FLOW CONTROL FUNCTIONS + SC-3 (2) + +

The information system isolates security functions enforcing access and information flow control from nonsecurity functions and from other security functions.

+
+ +

Security function isolation occurs as a result of implementation; the functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include, for example, auditing, intrusion detection, and anti-virus functions.

+
+ +

Determine if the information system isolates security functions enforcing:

+ +

access control from nonsecurity functions;

+ SC-3(2)[1] +
+ +

information flow control from nonsecurity functions;

+ SC-3(2)[2] +
+ +

access control from other security functions; and

+ SC-3(2)[3] +
+ +

information flow control from other security functions.

+ SC-3(2)[4] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Isolation of security functions enforcing access and information flow control

+ TEST +
+
+ + MINIMIZE NONSECURITY FUNCTIONALITY + SC-3 (3) + +

The organization minimizes the number of nonsecurity functions included within the isolation boundary containing security functions.

+
+ +

In those instances where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize the nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or maliciousness in such software, by virtue of being within the boundary, can impact the security functions of organizational information systems. The design objective is that the specific portions of information systems providing information security are of minimal size/complexity. Minimizing the number of nonsecurity functions in the security-relevant components of information systems allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing nonsecurity functions within the isolation boundaries, the amount of code that must be trusted to enforce security policies is reduced, thus contributing to understandability.

+
+ +

Determine if the organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing an isolation boundary

+ TEST +
+
+ + MODULE COUPLING AND COHESIVENESS + SC-3 (4) + +

The organization implements security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules.

+
+ +

The reduction in inter-module interactions helps to constrain security functions and to manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between the different functions within a particular module. Good software engineering practices rely on modular decomposition, layering, and minimization to reduce and manage complexity, thus producing software modules that are highly cohesive and loosely coupled.

+
+ +

Determine if the organization implements security functions as largely independent modules that:

+ +

maximize internal cohesiveness within modules; and

+ SC-3(4)[1] +
+ +

minimize coupling between modules.

+ SC-3(4)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for maximizing internal cohesiveness within modules and minimizing coupling between modules

+ TEST +
+
+ + LAYERED STRUCTURES + SC-3 (5) + +

The organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.

+
+ +

The implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) further enables the isolation of security functions and management of complexity.

+
+ +

Determine if the organization implements security functions as a layered structure:

+ +

minimizing interactions between layers of the design; and

+ SC-3(5)[1] +
+ +

avoiding any dependence by lower layers on the functionality or correctness of higher layers.

+ SC-3(5)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for implementing security functions as a layered structure that minimizes interactions between layers and avoids dependence by lower layers on functionality/correctness of higher layers

+ TEST +
+
+
+ + INFORMATION IN SHARED RESOURCES + SC-4 + P1 + MODERATE + HIGH + +

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

+
+ +

This control prevents information, including encrypted representations of information, produced by the actions of prior users/roles (or the actions of processes acting on behalf of prior users/roles) from being available to any current users/roles (or current processes) that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those resources have been released back to information systems. The control of information in shared resources is also commonly referred to as object reuse and residual information protection. This control does not address: (i) information remanence which refers to residual representation of data that has been nominally erased or removed; (ii) covert channels (including storage and/or timing channels) where shared resources are manipulated to violate information flow restrictions; or (iii) components within information systems for which there are only single users/roles.

+ + + +
+ +

Determine if the information system prevents unauthorized and unintended information transfer via shared system resources.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms preventing unauthorized and unintended transfer of information via shared system resources

+ TEST +
+ + SECURITY LEVELS + SC-4 (1) + +

Incorporated into SC-4.

+
+ +
+ + PERIODS PROCESSING + SC-4 (2) + +

The information system prevents unauthorized information transfer via shared resources in accordance with when system processing explicitly switches between different information classification levels or security categories.

+
+ +

This control enhancement applies when there are explicit changes in information processing levels during information system operations, for example, during multilevel processing and periods processing with information at different classification levels or security categories. Organization-defined procedures may include, for example, approved sanitization processes for electronically stored information.

+
+ +

Determine if:

+ +

the organization defines procedures to be employed to ensure unauthorized information transfer via shared resources is prevented when system processing explicitly switches between different information classification levels or security categories; and

+ SC-4(2)[1] +
+ +

the information system prevents unauthorized information transfer via shared resources in accordance with organization-defined procedures when system processing explicitly switches between different information classification levels or security categories.

+ SC-4(2)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms preventing unauthorized transfer of information via shared system resources

+ TEST +
+ + organization-defined procedures + organization-defined procedures + +
+
+ + DENIAL OF SERVICE PROTECTION + + organization-defined types of denial of service attacks or references to sources for such information + organization-defined types of denial of service attacks or references to sources for such information + + + organization-defined security safeguards + organization-defined security safeguards + + SC-5 + P1 + LOW + MODERATE + HIGH + +

The information system protects against or limits the effects of the following types of denial of service attacks: by employing .

+
+ +

A variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect information system components on internal organizational networks from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may also reduce the susceptibility to denial of service attacks.

+ + +
+ +

Determine if:

+ +

the organization defines types of denial of service attacks or reference to source of such information for the information system to protect against or limit the effects;

+ SC-5[1] +
+ +

the organization defines security safeguards to be employed by the information system to protect against or limit the effects of organization-defined types of denial of service attacks; and

+ SC-5[2] +
+ +

the information system protects against or limits the effects of the organization-defined denial or service attacks (or reference to source for such information) by employing organization-defined security safeguards.

+ SC-5[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms protecting against or limiting the effects of denial of service attacks

+ TEST +
+ + RESTRICT INTERNAL USERS + SC-5 (1) + +

The information system restricts the ability of individuals to launch against other information systems.

+
+ +

Restricting the ability of individuals to launch denial of service attacks requires that the mechanisms used for such attacks are unavailable. Individuals of concern can include, for example, hostile insiders or external adversaries that have successfully breached the information system and are using the system as a platform to launch cyber attacks on third parties. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., network, wireless spectrum). Organizations can also limit the ability of individuals to use excessive information system resources. Protection against individuals having the ability to launch denial of service attacks may be implemented on specific information systems or on boundary devices prohibiting egress to potential target systems.

+
+ +

Determine if:

+ +

the organization defines denial of service attacks for which the information system is required to restrict the ability of individuals to launch such attacks against other information systems; and

+ SC-5(1)[1] +
+ +

the information system restricts the ability of individuals to launch organization-defined denial of service attacks against other information systems.

+ SC-5(1)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms restricting the ability to launch denial of service attacks against other information systems

+ TEST +
+ + organization-defined denial of service attacks + organization-defined denial of service attacks + +
+ + EXCESS CAPACITY / BANDWIDTH / REDUNDANCY + SC-5 (2) + +

The information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding denial of service attacks.

+
+ +

Managing excess capacity ensures that sufficient capacity is available to counter flooding attacks. Managing excess capacity may include, for example, establishing selected usage priorities, quotas, or partitioning.

+
+ +

Determine if the information system, to limit the effects of information flooding denial of service attacks, manages:

+ +

excess capacity;

+ SC-5(2)[1] +
+ +

bandwidth; or

+ SC-5(2)[2] +
+ +

other redundancy.

+ SC-5(2)[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing management of information system bandwidth, capacity, and redundancy to limit the effects of information flooding denial of service attacks

+ TEST +
+
+ + DETECTION / MONITORING + SC-5 (3) + +

The organization:

+ +

Employs to detect indicators of denial of service attacks against the information system; and

+ SC-5 (3)(a) +
+ +

Monitors to determine if sufficient resources exist to prevent effective denial of service attacks.

+ SC-5 (3)(b) +
+
+ +

Organizations consider utilization and capacity of information system resources when managing risk from denial of service due to malicious attacks. Denial of service attacks can originate from external or internal sources. Information system resources sensitive to denial of service include, for example, physical disk storage, memory, and CPU cycles. Common safeguards to prevent denial of service attacks related to storage utilization and capacity include, for example, instituting disk quotas, configuring information systems to automatically alert administrators when specific storage capacity thresholds are reached, using file compression technologies to maximize available storage space, and imposing separate partitions for system and user data.

+ + +
+ +

Determine if the organization:

+ + SC-5(3)(a) + +

defines monitoring tools to be employed to detect indicators of denial of service attacks against the information system;

+ SC-5(3)(a)[1] +
+ +

employs organization-defined monitoring tools to detect indicators of denial of service attacks against the information system;

+ SC-5(3)(a)[2] +
+
+ + SC-5(3)(b) + +

defines information system resources to be monitored to determine if sufficient resources exist to prevent effective denial of service attacks; and

+ SC-5(3)(b)[1] +
+ +

monitors organization-defined information system resources to determine if sufficient resources exist to prevent effective denial of service attacks.

+ SC-5(3)(b)[2] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms/tools implementing information system monitoring for denial of service attacks

+ TEST +
+ + organization-defined monitoring tools + organization-defined monitoring tools + + + organization-defined information system resources + organization-defined information system resources + +
+
+ + RESOURCE AVAILABILITY + + organization-defined resources + organization-defined resources + + + organization-defined security safeguards + organization-defined security safeguards + + SC-6 + P0 + +

The information system protects the availability of resources by allocating by [Selection (one or more); priority; quota; ].

+
+ +

Priority protection helps prevent lower-priority processes from delaying or interfering with the information system servicing any higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to information system components for which there are only single users/roles.

+
+ +

Determine if:

+ +

the organization defines resources to be allocated to protect the availability of resources;

+ SC-6[1] +
+ +

the organization defines security safeguards to be employed to protect the availability of resources;

+ SC-6[2] +
+ +

the information system protects the availability of resources by allocating organization-defined resources by one or more of the following:

+ SC-6[3] + +

priority;

+ SC-6[3][a] +
+ +

quota; and/or

+ SC-6[3][b] +
+ +

organization-defined safeguards.

+ SC-6[3][c] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing resource allocation capability

+ TEST +
+
+ + BOUNDARY PROTECTION + SC-7 + P1 + LOW + MODERATE + HIGH + +

The information system:

+ +

Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system;

+ SC-7a. +
+ +

Implements subnetworks for publicly accessible system components that are [Selection: physically; logically] separated from internal organizational networks; and

+ SC-7b. +
+ +

Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.

+ SC-7c. +
+
+ +

Managed interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions.

+ + + + + + + + + +
+ +

Determine if the information system:

+ + SC-7(a) + +

monitors communications at the external boundary of the information system;

+ SC-7(a)[1] +
+ +

monitors communications at key internal boundaries within the system;

+ SC-7(a)[2] +
+ +

controls communications at the external boundary of the information system;

+ SC-7(a)[3] +
+ +

controls communications at key internal boundaries within the system;

+ SC-7(a)[4] +
+
+ +

implements subnetworks for publicly accessible system components that are either:

+ SC-7(b) + +

physically separated from internal organizational networks; and/or

+ SC-7(b)[1] +
+ +

logically separated from internal organizational networks; and

+ SC-7(b)[2] +
+
+ +

connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.

+ SC-7(c) +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing boundary protection capability

+ TEST +
+ + PHYSICALLY SEPARATED SUBNETWORKS + SC-7 (1) + +

Incorporated into SC-7.

+
+ +
+ + PUBLIC ACCESS + SC-7 (2) + +

Incorporated into SC-7.

+
+ +
+ + ACCESS POINTS + SC-7 (3) + MODERATE + HIGH + +

The organization limits the number of external network connections to the information system.

+
+ +

Limiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection (TIC) initiative is an example of limiting the number of external network connections.

+
+ +

Determine if the organization limits the number of external network connections to the information system.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing boundary protection capability

+ TEST +
+
+ + EXTERNAL TELECOMMUNICATIONS SERVICES + SC-7 (4) + MODERATE + HIGH + +

The organization:

+ +

Implements a managed interface for each external telecommunication service;

+ SC-7 (4)(a) +
+ +

Establishes a traffic flow policy for each managed interface;

+ SC-7 (4)(b) +
+ +

Protects the confidentiality and integrity of the information being transmitted across each interface;

+ SC-7 (4)(c) +
+ +

Documents each exception to the traffic flow policy with a supporting mission/business need and duration of that need; and

+ SC-7 (4)(d) +
+ +

Reviews exceptions to the traffic flow policy and removes exceptions that are no longer supported by an explicit mission/business need.

+ SC-7 (4)(e) +
+
+ + + + +

Determine if the organization:

+ +

implements a managed interface for each external telecommunication service;

+ SC-7(4)(a) +
+ +

establishes a traffic flow policy for each managed interface;

+ SC-7(4)(b) +
+ +

protects the confidentiality and integrity of the information being transmitted across each interface;

+ SC-7(4)(c) +
+ +

documents each exception to the traffic flow policy with:

+ SC-7(4)(d) + +

a supporting mission/business need;

+ SC-7(4)(d)[1] +
+ +

duration of that need;

+ SC-7(4)(d)[2] +
+
+ + SC-7(4)(e) + +

defines a frequency to review exceptions to traffic flow policy;

+ SC-7(4)(e)[1] +
+ +

reviews exceptions to the traffic flow policy with the organization-defined frequency; and

+ SC-7(4)(e)[2] +
+ +

removes traffic flow policy exceptions that are no longer supported by an explicit mission/business need

+ SC-7(4)(e)[3] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for documenting and reviewing exceptions to the traffic flow policy

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+ + DENY BY DEFAULT / ALLOW BY EXCEPTION + SC-7 (5) + MODERATE + HIGH + +

The information system at managed interfaces denies network communications traffic by default and allows network communications traffic by exception (i.e., deny all, permit by exception).

+
+ +

This control enhancement applies to both inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those connections which are essential and approved are allowed.

+
+ +

Determine if the information system, at managed interfaces:

+ +

denies network traffic by default; and

+ SC-7(5)[1] +
+ +

allows network traffic by exception.

+ SC-7(5)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing traffic management at managed interfaces

+ TEST +
+
+ + RESPONSE TO RECOGNIZED FAILURES + SC-7 (6) + +

Incorporated into SC-7 (18).

+
+ +
+ + PREVENT SPLIT TUNNELING FOR REMOTE DEVICES + SC-7 (7) + MODERATE + HIGH + +

The information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.

+
+ +

This control enhancement is implemented within remote devices (e.g., notebook computers) through configuration settings to disable split tunneling in those devices, and by preventing those configuration settings from being readily configurable by users. This control enhancement is implemented within the information system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local information system resources such as printers/file servers. However, split tunneling would in effect allow unauthorized external connections, making the system more vulnerable to attack and to exfiltration of organizational information. The use of VPNs for remote connections, when adequately provisioned with appropriate security controls, may provide the organization with sufficient assurance that it can effectively treat such connections as non-remote connections from the confidentiality and integrity perspective. VPNs thus provide a means for allowing non-remote communications paths from remote devices. The use of an adequately provisioned VPN does not eliminate the need for preventing split tunneling.

+
+ +

Determine if the information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing boundary protection capability

+ TEST +
+
+ + ROUTE TRAFFIC TO AUTHENTICATED PROXY SERVERS + SC-7 (8) + HIGH + +

The information system routes to through authenticated proxy servers at managed interfaces.

+
+ +

External networks are networks outside of organizational control. A proxy server is a server (i.e., information system or application) that acts as an intermediary for clients requesting information system resources (e.g., files, connections, web pages, or services) from other organizational servers. Client requests established through an initial connection to the proxy server are evaluated to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers support logging individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites.

+ + +
+ +

Determine if:

+ +

the organization defines internal communications traffic to be routed to external networks;

+ SC-7(8)[1] +
+ +

the organization defines external networks to which organization-defined internal communications traffic is to be routed; and

+ SC-7(8)[2] +
+ +

the information system routes organization-defined internal communications traffic to organization-defined external networks through authenticated proxy servers at managed interfaces.

+ SC-7(8)[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing traffic management through authenticated proxy servers at managed interfaces

+ TEST +
+ + organization-defined internal communications traffic + organization-defined internal communications traffic + + + organization-defined external networks + organization-defined external networks + +
+ + RESTRICT THREATENING OUTGOING COMMUNICATIONS TRAFFIC + SC-7 (9) + +

The information system:

+ +

Detects and denies outgoing communications traffic posing a threat to external information systems; and

+ SC-7 (9)(a) +
+ +

Audits the identity of internal users associated with denied communications.

+ SC-7 (9)(b) +
+
+ +

Detecting outgoing communications traffic from internal actions that may pose threats to external information systems is sometimes termed extrusion detection. Extrusion detection at information system boundaries as part of managed interfaces includes the analysis of incoming and outgoing communications traffic searching for indications of internal threats to the security of external systems. Such threats include, for example, traffic indicative of denial of service attacks and traffic containing malicious code.

+ + + + + + +
+ +

Determine if the information system:

+ + SC-7(9)(a) + +

detects outgoing communications traffic posing a threat to external information systems; and

+ SC-7(9)(a)[1] +
+ +

denies outgoing communications traffic posing a threat to external information systems; and

+ SC-7(9)(a)[2] +
+
+ +

audits the identity of internal users associated with denied communications.

+ SC-7(9)(b) +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing boundary protection capability

+ TEST +
+
+ + PREVENT UNAUTHORIZED EXFILTRATION + SC-7 (10) + +

The organization prevents the unauthorized exfiltration of information across managed interfaces.

+
+ +

Safeguards implemented by organizations to prevent unauthorized exfiltration of information from information systems include, for example: (i) strict adherence to protocol formats; (ii) monitoring for beaconing from information systems; (iii) monitoring for steganography; (iv) disconnecting external network interfaces except when explicitly needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic profile analysis to detect deviations from the volume/types of traffic expected within organizations or call backs to command and control centers. Devices enforcing strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to protocol formats and specification at the application layer and serve to identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. This control enhancement is closely associated with cross-domain solutions and system guards enforcing information flow requirements.

+ +
+ +

Determine if the organization prevents the unauthorized exfiltration of information across managed interfaces.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing boundary protection capability

+ TEST +
+
+ + RESTRICT INCOMING COMMUNICATIONS TRAFFIC + SC-7 (11) + +

The information system only allows incoming communications from to be routed to .

+
+ +

This control enhancement provides determinations that source and destination address pairs represent authorized/allowed communications. Such determinations can be based on several factors including, for example, the presence of source/destination address pairs in lists of authorized/allowed communications, the absence of address pairs in lists of unauthorized/disallowed pairs, or meeting more general rules for authorized/allowed source/destination pairs.

+ +
+ +

Determine if:

+ +

the organization defines internal communications traffic to be routed to external networks;

+ SC-7(11)[1] +
+ +

the organization defines authorized destinations only to which that incoming communications from organization-defined authorized sources may be routed; and

+ SC-7(11)[2] +
+ +

the information system only allows incoming communications from organization-defined authorized sources to be routed to organization-defined authorized destinations.

+ SC-7(11)[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing boundary protection capabilities with respect to source/destination address pairs

+ TEST +
+ + organization-defined authorized sources + organization-defined authorized sources + + + organization-defined authorized destinations + organization-defined authorized destinations + +
+ + HOST-BASED PROTECTION + SC-7 (12) + +

The organization implements at .

+
+ +

Host-based boundary protection mechanisms include, for example, host-based firewalls. Information system components employing host-based boundary protection mechanisms include, for example, servers, workstations, and mobile devices.

+
+ +

Determine if the organization:

+ +

defines host-based boundary protection mechanisms;

+ SC-7(12)[1] +
+ +

defines information system components where organization-defined host-based boundary protection mechanisms are to be implemented; and

+ SC-7(12)[2] +
+ +

implements organization-defined host-based boundary protection mechanisms at organization-defined information system components.

+ SC-7(12)[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing host-based boundary protection capabilities

+ TEST +
+ + organization-defined host-based boundary protection mechanisms + organization-defined host-based boundary protection mechanisms + + + organization-defined information system components + organization-defined information system components + +
+ + ISOLATION OF SECURITY TOOLS / MECHANISMS / SUPPORT COMPONENTS + SC-7 (13) + +

The organization isolates from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.

+
+ +

Physically separate subnetworks with managed interfaces are useful, for example, in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques of organizations.

+ + + +
+ +

Determine if the organization:

+ +

defines information security tools, mechanisms, and support components to be isolated from other internal information system components; and

+ SC-7(13)[1] +
+ +

isolates organization-defined information security tools, mechanisms, and support components from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.

+ SC-7(13)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing isolation of information security tools, mechanisms, and support components

+ TEST +
+ + organization-defined information security tools, mechanisms, and support components + organization-defined information security tools, mechanisms, and support components + +
+ + PROTECTS AGAINST UNAUTHORIZED PHYSICAL CONNECTIONS + SC-7 (14) + +

The organization protects against unauthorized physical connections at .

+
+ +

Information systems operating at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within organizational facilities. In practice, it is possible that these separate information systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items.

+ + +
+ +

Determine if the organization:

+ +

defines managed interfaces to be protected against unauthorized physical connections; and

+ SC-7(14)[1] +
+ +

protects against unauthorized physical connections at organization-defined managed interfaces.

+ SC-7(14)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing protection against unauthorized physical connections

+ TEST +
+ + organization-defined managed interfaces + organization-defined managed interfaces + +
+ + ROUTE PRIVILEGED NETWORK ACCESSES + SC-7 (15) + +

The information system routes all networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.

+
+ + + + + + + +

Determine if the information system routes all networked, privileged accesses through a dedicated, managed interface for the purposes of:

+ +

access control; and

+ SC-7(15)[1] +
+ +

auditing.

+ SC-7(15)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing the routing of networked, privileged access through dedicated managed interfaces

+ TEST +
+
+ + PREVENT DISCOVERY OF COMPONENTS / DEVICES + SC-7 (16) + +

The information system prevents discovery of specific system components composing a managed interface.

+
+ +

This control enhancement protects network addresses of information system components that are part of managed interfaces from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery (e.g., network address not published or entered in domain name systems), requiring prior knowledge for access. Another obfuscation technique is to periodically change network addresses.

+
+ +

Determine if the information system prevents discovery of specific system components composing a managed interface.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing the prevention of discovery of system components at managed interfaces

+ TEST +
+
+ + AUTOMATED ENFORCEMENT OF PROTOCOL FORMATS + SC-7 (17) + +

The information system enforces adherence to protocol formats.

+
+ +

Information system components that enforce protocol formats include, for example, deep packet inspection firewalls and XML gateways. Such system components verify adherence to protocol formats/specifications (e.g., IEEE) at the application layer and identify significant vulnerabilities that cannot be detected by devices operating at the network or transport layers.

+ +
+ +

Determine if the information system enforces adherence to protocol formats.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing enforcement of adherence to protocol formats

+ TEST +
+
+ + FAIL SECURE + SC-7 (18) + HIGH + +

The information system fails securely in the event of an operational failure of a boundary protection device.

+
+ +

Fail secure is a condition achieved by employing information system mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces (e.g., routers, firewalls, guards, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones), information systems do not enter into unsecure states where intended security properties no longer hold. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases.

+ + +
+ +

Determine if the information system fails securely in the event of an operational failure of a boundary protection device.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing secure failure

+ TEST +
+
+ + BLOCKS COMMUNICATION FROM NON-ORGANIZATIONALLY CONFIGURED HOSTS + SC-7 (19) + +

The information system blocks both inbound and outbound communications traffic between that are independently configured by end users and external service providers.

+
+ +

Communication clients independently configured by end users and external service providers include, for example, instant messaging clients. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions.

+
+ +

Determine if the organization:

+ +

defines communication clients that are independently configured by end users and external service providers; and

+ SC-7(19)[1] +
+ +

blocks, between organization-defined communication clients that are independently configured by end users and external service providers,:

+ SC-7(19)[2] + +

inbound communications traffic; and

+ SC-7(19)[2][a] +
+ +

outbound communications traffic.

+ SC-7(19)[2][b] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing the blocking of inbound and outbound communications traffic between communication clients independently configured by end users and external service providers

+ TEST +
+ + organization-defined communication clients + organization-defined communication clients + +
+ + DYNAMIC ISOLATION / SEGREGATION + SC-7 (20) + +

The information system provides the capability to dynamically isolate/segregate from other components of the system.

+
+ +

The capability to dynamically isolate or segregate certain internal components of organizational information systems is useful when it is necessary to partition or separate certain components of dubious origin from those components possessing greater trustworthiness. Component isolation reduces the attack surface of organizational information systems. Isolation of selected information system components is also a means of limiting the damage from successful cyber attacks when those attacks occur.

+
+ +

Determine if:

+ +

the organization defines information system components to be dynamically isolated/segregated from other components of the system; and

+ SC-7(20)[1] +
+ +

the information system provides the capability to dynamically isolate/segregate organization-defined information system components from other components of the system.

+ SC-7(20)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing the capability to dynamically isolate/segregate information system components

+ TEST +
+ + organization-defined information system components + organization-defined information system components + +
+ + ISOLATION OF INFORMATION SYSTEM COMPONENTS + SC-7 (21) + HIGH + +

The organization employs boundary protection mechanisms to separate supporting .

+
+ +

Organizations can isolate information system components performing different missions and/or business functions. Such isolation limits unauthorized information flows among system components and also provides the opportunity to deploy greater levels of protection for selected components. Separating system components with boundary protection mechanisms provides the capability for increased protection of individual components and to more effectively control information flows between those components. This type of enhanced protection limits the potential harm from cyber attacks and errors. The degree of separation provided varies depending upon the mechanisms chosen. Boundary protection mechanisms include, for example, routers, gateways, and firewalls separating system components into physically separate networks or subnetworks, cross-domain devices separating subnetworks, virtualization techniques, and encrypting information flows among system components using distinct encryption keys.

+ + +
+ +

Determine if the organization:

+ +

defines information system components to be separated by boundary protection mechanisms;

+ SC-7(21)[1] +
+ +

defines missions and/or business functions to be supported by organization-defined information system components separated by boundary protection mechanisms; and

+ SC-7(21)[2] +
+ +

employs boundary protection mechanisms to separate organization-defined information system components supporting organization-defined missions and/or business functions.

+ SC-7(21)[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing the capability to separate information system components supporting organizational missions and/or business functions

+ TEST +
+ + organization-defined information system components + organization-defined information system components + + + organization-defined missions and/or business functions + organization-defined missions and/or business functions + +
+ + SEPARATE SUBNETS FOR CONNECTING TO DIFFERENT SECURITY DOMAINS + SC-7 (22) + +

The information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.

+
+ +

Decomposition of information systems into subnets helps to provide the appropriate level of protection for network connections to different security domains containing information with different security categories or classification levels.

+
+ +

Determine if the information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing separate network addresses/different subnets

+ TEST +
+
+ + DISABLE SENDER FEEDBACK ON PROTOCOL VALIDATION FAILURE + SC-7 (23) + +

The information system disables feedback to senders on protocol format validation failure.

+
+ +

Disabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information which would otherwise be unavailable.

+
+ +

Determine if the information system disables feedback to senders on protocol format validation failure.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing the disabling of feedback to senders on protocol format validation failure

+ TEST +
+
+ + + FIPS Publication 199 + + + NIST Special Publication 800-41 + + + NIST Special Publication 800-77 + + +
+ + TRANSMISSION CONFIDENTIALITY AND INTEGRITY + SC-8 + P1 + MODERATE + HIGH + +

The information system protects the [Selection (one or more): confidentiality; integrity] of transmitted information.

+
+ +

This control applies to both internal and external networks and all types of information system components from which information can be transmitted (e.g., servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication paths outside the physical protection of a controlled boundary are exposed to the possibility of interception and modification. Protecting the confidentiality and/or integrity of organizational information can be accomplished by physical means (e.g., by employing protected distribution systems) or by logical means (e.g., employing encryption techniques). Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services (i.e., services which can be highly specialized to individual customer needs), may find it difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality/integrity. In such situations, organizations determine what types of confidentiality/integrity services are available in standard, commercial telecommunication service packages. If it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, organizations implement appropriate compensating security controls or explicitly accept the additional risk.

+ + +
+ +

Determine if the information system protects one or more of the following:

+ +

confidentiality of transmitted information; and/or

+ SC-8[1] +
+ +

integrity of transmitted information.

+ SC-8[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing transmission confidentiality and/or integrity

+ TEST +
+ + CRYPTOGRAPHIC OR ALTERNATE PHYSICAL PROTECTION + SC-8 (1) + MODERATE + HIGH + +

The information system implements cryptographic mechanisms to [Selection (one or more): prevent unauthorized disclosure of information; detect changes to information] during transmission unless otherwise protected by .

+
+ +

Encrypting information for transmission protects information from unauthorized disclosure and modification. Cryptographic mechanisms implemented to protect information integrity include, for example, cryptographic hash functions which have common application in digital signatures, checksums, and message authentication codes. Alternative physical security safeguards include, for example, protected distribution systems.

+ +
+ +

Determine if:

+ +

the organization defines physical safeguards to be implemented to protect information during transmission when cryptographic mechanisms are not implemented; and

+ SC-8(1)[1] +
+ +

the information system implements cryptographic mechanisms to do one or more of the following during transmission unless otherwise protected by organization-defined alternative physical safeguards:

+ SC-8(1)[2] + +

prevent unauthorized disclosure of information; and/or

+ SC-8(1)[2][a] +
+ +

detect changes to information.

+ SC-8(1)[2][b] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity

+ TEST +
+ + organization-defined alternative physical safeguards + organization-defined alternative physical safeguards + +
+ + PRE / POST TRANSMISSION HANDLING + SC-8 (2) + +

The information system maintains the [Selection (one or more): confidentiality; integrity] of information during preparation for transmission and during reception.

+
+ +

Information can be either unintentionally or maliciously disclosed or modified during preparation for transmission or during reception including, for example, during aggregation, at protocol transformation points, and during packing/unpacking. These unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.

+ +
+ +

Determine if the information system maintains one or more of the following:

+ +

confidentiality of information during preparation for transmission;

+ SC-8(2)[1] +
+ +

confidentiality of information during reception; and/or

+ SC-8(2)[2] +
+ +

integrity of information during preparation for transmission;

+ SC-8(2)[3] +
+ +

integrity of information during reception.

+ SC-8(2)[4] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing transmission confidentiality and/or integrity

+ TEST +
+
+ + CRYPTOGRAPHIC PROTECTION FOR MESSAGE EXTERNALS + SC-8 (3) + +

The information system implements cryptographic mechanisms to protect message externals unless otherwise protected by .

+
+ +

This control enhancement addresses protection against unauthorized disclosure of information. Message externals include, for example, message headers/routing information. This control enhancement prevents the exploitation of message externals and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Header/routing information is sometimes transmitted unencrypted because the information is not properly identified by organizations as having significant value or because encrypting the information can result in lower network performance and/or higher costs. Alternative physical safeguards include, for example, protected distribution systems.

+ + +
+ +

Determine if:

+ +

the organization defines alternative physical safeguards to be implemented to protect message externals; and

+ SC-8(3)[1] +
+ +

the information system implements cryptographic mechanisms to protect message externals unless otherwise protected by organization-defined alternative physical safeguards.

+ SC-8(3)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity for message externals

+ TEST +
+ + organization-defined alternative physical safeguards + organization-defined alternative physical safeguards + +
+ + CONCEAL / RANDOMIZE COMMUNICATIONS + SC-8 (4) + +

The information system implements cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by .

+
+ +

This control enhancement addresses protection against unauthorized disclosure of information. Communication patterns include, for example, frequency, periods, amount, and predictability. Changes to communications patterns can reveal information having intelligence value especially when combined with other available information related to missions/business functions supported by organizational information systems. This control enhancement prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed/random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical safeguards include, for example, protected distribution systems.

+ + +
+ +

Determine if:

+ +

the organization defines alternative physical safeguards to be implemented to protect against unauthorized disclosure of communication patterns;

+ SC-8(4)[1] +
+ +

the information system, unless otherwise protected by organization-defined alternative physical safeguards, implements cryptographic mechanisms to:

+ SC-8(4)[2] + +

conceal communication patterns; or

+ SC-8(4)[2][a] +
+ +

randomize communication patterns.

+ SC-8(4)[2][b] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Cryptographic mechanisms supporting and/or implementing concealment or randomization of communications patterns

+ TEST +
+ + organization-defined alternative physical safeguards + organization-defined alternative physical safeguards + +
+ + + FIPS Publication 140-2 + + + FIPS Publication 197 + + + NIST Special Publication 800-52 + + + NIST Special Publication 800-77 + + + NIST Special Publication 800-81 + + + NIST Special Publication 800-113 + + + CNSS Policy 15 + + + NSTISSI No. 7003 + + +
+ + TRANSMISSION CONFIDENTIALITY + SC-9 + +

Incorporated into SC-8.

+
+ +
+ + NETWORK DISCONNECT + + organization-defined time period + organization-defined time period + + SC-10 + P2 + MODERATE + HIGH + +

The information system terminates the network connection associated with a communications session at the end of the session or after of inactivity.

+
+ +

This control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. Time periods of inactivity may be established by organizations and include, for example, time periods by type of network access or for specific network accesses.

+
+ +

Determine if:

+ +

the organization defines a time period of inactivity after which the information system terminates a network connection associated with a communications session; and

+ SC-10[1] +
+ +

the information system terminates the network connection associated with a communication session at the end of the session or after the organization-defined time period of inactivity.

+ SC-10[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing network disconnect capability

+ TEST +
+
+ + TRUSTED PATH + + organization-defined security functions to include at a minimum, information system authentication and re-authentication + organization-defined security functions to include at a minimum, information system authentication and re-authentication + + SC-11 + P0 + +

The information system establishes a trusted communications path between the user and the following security functions of the system: .

+
+ +

Trusted paths are mechanisms by which users (through input devices) can communicate directly with security functions of information systems with the requisite assurance to support information security policies. The mechanisms can be activated only by users or the security functions of organizational information systems. User responses via trusted paths are protected from modifications by or disclosure to untrusted applications. Organizations employ trusted paths for high-assurance connections between security functions of information systems and users (e.g., during system logons). Enforcement of trusted communications paths is typically provided via an implementation that meets the reference monitor concept.

+ + +
+ +

Determine if:

+ +

the organization defines security functions of the information system;

+ SC-11[1] +
+ +

the organization-defined security functions include at a minimum, information system authentication and re-authentication; and

+ SC-11[2] +
+ +

the information system establishes a trusted communications path between the user and the organization-defined security functions of the system.

+ SC-11[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing trusted communications paths

+ TEST +
+ + LOGICAL ISOLATION + SC-11 (1) + +

The information system provides a trusted communications path that is logically isolated and distinguishable from other paths.

+
+ +

Determine if the information system provides a trusted communications path that is:

+ +

logically isolated; and

+ SC-11(1)[1] +
+ +

distinguishable from other paths.

+ SC-11(1)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing trusted communications paths

+ TEST +
+
+
+ + CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT + + organization-defined requirements for key generation, distribution, storage, access, and destruction + organization-defined requirements for key generation, distribution, storage, access, and destruction + + SC-12 + P1 + LOW + MODERATE + HIGH + +

The organization establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with .

+
+ +

Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance, specifying appropriate options, levels, and parameters. Organizations manage trust stores to ensure that only approved trust anchors are in such trust stores. This includes certificates with visibility external to organizational information systems and certificates related to the internal operations of systems.

+ + +
+ +

Determine if the organization:

+ +

defines requirements for cryptographic key:

+ SC-12[1] + +

generation;

+ SC-12[1][a] +
+ +

distribution;

+ SC-12[1][b] +
+ +

storage;

+ SC-12[1][c] +
+ +

access;

+ SC-12[1][d] +
+ +

destruction; and

+ SC-12[1][e] +
+
+ +

establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with organization-defined requirements for key generation, distribution, storage, access, and destruction.

+ SC-12[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing cryptographic key establishment and management

+ TEST +
+ + AVAILABILITY + SC-12 (1) + HIGH + +

The organization maintains availability of information in the event of the loss of cryptographic keys by users.

+
+ +

Escrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys (e.g., due to forgotten passphrase).

+
+ +

Determine if the organization maintains availability of information in the event of the loss of cryptographic keys by users.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing cryptographic key establishment and management

+ TEST +
+
+ + SYMMETRIC KEYS + SC-12 (2) + +

The organization produces, controls, and distributes symmetric cryptographic keys using [Selection: NIST FIPS-compliant; NSA-approved] key management technology and processes.

+
+ +

Determine if the organization produces, controls, and distributes symmetric cryptographic keys using one of the following:

+ +

NIST FIPS-compliant key management technology and processes; or

+ SC-12(2)[1] +
+ +

NSA-approved key management technology and processes.

+ SC-12(2)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing symmetric cryptographic key establishment and management

+ TEST +
+
+ + ASYMMETRIC KEYS + SC-12 (3) + +

The organization produces, controls, and distributes asymmetric cryptographic keys using [Selection: NSA-approved key management technology and processes; approved PKI Class 3 certificates or prepositioned keying material; approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user�s private key].

+
+ +

Determine if the organization produces, controls, and distributes asymmetric cryptographic keys using one of the following:

+ +

NSA-approved key management technology and processes;

+ SC-12(3)[1] +
+ +

approved PKI Class 3 certificates or prepositioned keying material; or

+ SC-12(3)[2] +
+ +

approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user’s private key.

+ SC-12(3)[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing asymmetric cryptographic key establishment and management

+ TEST +
+
+ + PKI CERTIFICATES + SC-12 (4) + +

Incorporated into SC-12.

+
+ +
+ + PKI CERTIFICATES / HARDWARE TOKENS + SC-12 (5) + +

Incorporated into SC-12.

+
+ +
+ + + NIST Special Publication 800-56 + + + NIST Special Publication 800-57 + + +
+ + CRYPTOGRAPHIC PROTECTION + + organization-defined cryptographic uses and type of cryptography required for each use + organization-defined cryptographic uses and type of cryptography required for each use + + SC-13 + P1 + LOW + MODERATE + HIGH + +

The information system implements in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.

+
+ +

Cryptography can be employed to support a variety of security solutions including, for example, the protection of classified and Controlled Unclassified Information, the provision of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances for such information but lack the necessary formal access approvals. Cryptography can also be used to support random number generation and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. This control does not impose any requirements on organizations to use cryptography. However, if cryptography is required based on the selection of other security controls, organizations define each type of cryptographic use and the type of cryptography required (e.g., protection of classified information: NSA-approved cryptography; provision of digital signatures: FIPS-validated cryptography).

+ + + + + + + + + + + + + + + + + + + + +
+ +

Determine if:

+ +

the organization defines cryptographic uses; and

+ SC-13[1] +
+ +

the organization defines the type of cryptography required for each use; and

+ SC-13[2] +
+ +

the information system implements the organization-defined cryptographic uses and type of cryptography required for each use in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.

+ SC-13[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing cryptographic protection

+ TEST +
+ + FIPS-VALIDATED CRYPTOGRAPHY + SC-13 (1) + +

Incorporated into SC-13.

+
+ +
+ + NSA-APPROVED CRYPTOGRAPHY + SC-13 (2) + +

Incorporated into SC-13.

+
+ +
+ + INDIVIDUALS WITHOUT FORMAL ACCESS APPROVALS + SC-13 (3) + +

Incorporated into SC-13.

+
+ +
+ + DIGITAL SIGNATURES + SC-13 (4) + +

Incorporated into SC-13.

+
+ +
+ + + FIPS Publication 140 + + + http://csrc.nist.gov/cryptval + + + http://www.cnss.gov + + +
+ + PUBLIC ACCESS PROTECTIONS + SC-14 + +

Capability provided by AC-2, AC-3, AC-5, AC-6, SI-3, SI-4, SI-5, SI-7, SI-10.

+
+ + + + + + + + + +
+ + COLLABORATIVE COMPUTING DEVICES + + organization-defined exceptions where remote activation is to be allowed + organization-defined exceptions where remote activation is to be allowed + + SC-15 + P1 + LOW + MODERATE + HIGH + +

The information system:

+ +

Prohibits remote activation of collaborative computing devices with the following exceptions: ; and

+ SC-15a. +
+ +

Provides an explicit indication of use to users physically present at the devices.

+ SC-15b. +
+
+ +

Collaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated.

+ +
+ +

Determine if:

+ + SC-15(a) + +

the organization defines exceptions where remote activation of collaborative computing devices is to be allowed;

+ SC-15(a)[1] +
+ +

the information system prohibits remote activation of collaborative computing devices, except for organization-defined exceptions where remote activation is to be allowed; and

+ SC-15(a)[2] +
+
+ +

the information system provides an explicit indication of use to users physically present at the devices.

+ SC-15(b) +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing management of remote activation of collaborative computing devices

+ TEST +
+ + PHYSICAL DISCONNECT + SC-15 (1) + +

The information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.

+
+ +

Failing to physically disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to physically disconnect from such devices after a collaborative computing session helps to ensure that participants actually carry out the disconnect activity without having to go through complex and tedious procedures.

+
+ +

Determine if the information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing physical disconnect of collaborative computing devices

+ TEST +
+
+ + BLOCKING INBOUND / OUTBOUND COMMUNICATIONS TRAFFIC + SC-15 (2) + +

Incorporated into SC-7.

+
+ +
+ + DISABLING / REMOVAL IN SECURE WORK AREAS + SC-15 (3) + +

The organization disables or removes collaborative computing devices from in .

+
+ +

Failing to disable or remove collaborative computing devices from information systems or information system components can result in subsequent compromises of organizational information including, for example, eavesdropping on conversations.

+
+ +

Determine if the organization:

+ +

defines information systems or information system components from which collaborative computing devices are to be disabled or removed;

+ SC-15(3)[1] +
+ +

defines secure work areas where collaborative computing devices are to be disabled or removed from information systems or information system components placed in such work areas; and

+ SC-15(3)[2] +
+ +

disables or removes collaborative computing devices from organization-defined information systems or information system components in organization-defined secure work areas.

+ SC-15(3)[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing the capability to disable collaborative computing devices

+ TEST +
+ + organization-defined information systems or information system components + organization-defined information systems or information system components + + + organization-defined secure work areas + organization-defined secure work areas + +
+ + EXPLICITLY INDICATE CURRENT PARTICIPANTS + SC-15 (4) + +

The information system provides an explicit indication of current participants in .

+
+ +

This control enhancement helps to prevent unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants.

+
+ +

Determine if:

+ +

the organization defines online meetings and teleconferences for which an explicit indication of current participants is to be provided; and

+ SC-15(4)[1] +
+ +

the information system provides an explicit indication of current participants in organization-defined meetings and teleconferences.

+ SC-15(4)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing the capability to indicate participants on collaborative computing devices

+ TEST +
+ + organization-defined online meetings and teleconferences + organization-defined online meetings and teleconferences + +
+
+ + TRANSMISSION OF SECURITY ATTRIBUTES + + organization-defined security attributes + organization-defined security attributes + + SC-16 + P0 + +

The information system associates with information exchanged between information systems and between system components.

+
+ +

Security attributes can be explicitly or implicitly associated with the information contained in organizational information systems or system components.

+ + + +
+ +

Determine if:

+ +

the organization defines security attributes to be associated with information exchanged:

+ SC-16[1] + +

between information systems;

+ SC-16[1][a] +
+ +

between system components;

+ SC-16[1][b] +
+
+ +

the information system associates organization-defined security attributes with information exchanged:

+ SC-16[2] + +

between information systems; and

+ SC-16[2][a] +
+ +

between system components.

+ SC-16[2][b] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing transmission of security attributes between information systems

+ TEST +
+ + INTEGRITY VALIDATION + SC-16 (1) + +

The information system validates the integrity of transmitted security attributes.

+
+ +

This control enhancement ensures that the verification of the integrity of transmitted information includes security attributes.

+ + +
+ +

Determine if the information system validates the integrity of transmitted security attributes.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing validation of the integrity of transmitted security attributes

+ TEST +
+
+
+ + PUBLIC KEY INFRASTRUCTURE CERTIFICATES + + organization-defined certificate policy + organization-defined certificate policy + + SC-17 + P1 + MODERATE + HIGH + +

The organization issues public key certificates under an or obtains public key certificates from an approved service provider.

+
+ +

For all certificates, organizations manage information system trust stores to ensure only approved trust anchors are in the trust stores. This control addresses both certificates with visibility external to organizational information systems and certificates related to the internal operations of systems, for example, application-specific time services.

+ +
+ +

Determine if the organization:

+ +

defines a certificate policy for issuing public key certificates;

+ SC-17[1] +
+ +

issues public key certificates:

+ SC-17[2] + +

under an organization-defined certificate policy: or

+ SC-17[2][a] +
+ +

obtains public key certificates from an approved service provider.

+ SC-17[2][b] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing the management of public key infrastructure certificates

+ TEST +
+ + + OMB Memorandum 05-24 + + + NIST Special Publication 800-32 + + + NIST Special Publication 800-63 + + +
+ + MOBILE CODE + SC-18 + P2 + MODERATE + HIGH + +

The organization:

+ +

Defines acceptable and unacceptable mobile code and mobile code technologies;

+ SC-18a. +
+ +

Establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and

+ SC-18b. +
+ +

Authorizes, monitors, and controls the use of mobile code within the information system.

+ SC-18c. +
+
+ +

Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices (e.g., smart phones). Mobile code policy and procedures address preventing the development, acquisition, or introduction of unacceptable mobile code within organizational information systems.

+ + + + + +
+ +

Determine if the organization:

+ +

defines acceptable and unacceptable mobile code and mobile code technologies;

+ SC-18(a) +
+ + SC-18(b) + +

establishes usage restrictions for acceptable mobile code and mobile code technologies;

+ SC-18(b)[1] +
+ +

establishes implementation guidance for acceptable mobile code and mobile code technologies;

+ SC-18(b)[2] +
+
+ + SC-18(c) + +

authorizes the use of mobile code within the information system;

+ SC-18(c)[1] +
+ +

monitors the use of mobile code within the information system; and

+ SC-18(c)[2] +
+ +

controls the use of mobile code within the information system.

+ SC-18(c)[3] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational process for controlling, authorizing, monitoring, and restricting mobile code

+ TEST +
+ + IDENTIFY UNACCEPTABLE CODE / TAKE CORRECTIVE ACTIONS + SC-18 (1) + +

The information system identifies and takes .

+
+ +

Corrective actions when unacceptable mobile code is detected include, for example, blocking, quarantine, or alerting administrators. Blocking includes, for example, preventing transmission of word processing files with embedded macros when such macros have been defined to be unacceptable mobile code.

+
+ +

Determine if:

+ +

the organization defines unacceptable mobile code to be identified by the information system;

+ SC-18(1)[1] +
+ +

the organization defines correctives actions to be taken when the information system identifies organization-defined unacceptable mobile code;

+ SC-18(1)[2] +
+ +

the information system:

+ SC-18(1)[3] + +

identifies organization-defined unacceptable mobile code; and

+ SC-18(1)[3][a] +
+ +

takes organization-defined corrective actions.

+ SC-18(1)[3][b] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing mobile code detection, inspection, and corrective capability

+ TEST +
+ + organization-defined unacceptable mobile code + organization-defined unacceptable mobile code + + + organization-defined corrective actions + organization-defined corrective actions + +
+ + ACQUISITION / DEVELOPMENT / USE + SC-18 (2) + +

The organization ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets .

+
+ +

Determine if the organization:

+ +

defines requirements for:

+ SC-18(2)[1] + +

the acquisition of mobile code;

+ SC-18(2)[1][a] +
+ +

the development of mobile code;

+ SC-18(2)[1][b] +
+ +

the use of mobile code; and

+ SC-18(2)[1][c] +
+
+ +

ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets organization-defined mobile code requirements.

+ SC-18(2)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for the acquisition, development, and use of mobile code

+ TEST +
+ + organization-defined mobile code requirements + organization-defined mobile code requirements + +
+ + PREVENT DOWNLOADING / EXECUTION + SC-18 (3) + +

The information system prevents the download and execution of .

+
+ +

Determine if:

+ +

the organization defines unacceptable mobile code to be prevented from downloading and execution;

+ SC-18(3)[1] +
+ +

the information system prevents the:

+ SC-18(3)[2] + +

download of organization-defined unacceptable mobile code; and

+ SC-18(3)[2][a] +
+ +

execution of organization-defined unacceptable mobile code.

+ SC-18(3)[2][b] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms preventing download and execution of unacceptable mobile code

+ TEST +
+ + organization-defined unacceptable mobile code + organization-defined unacceptable mobile code + +
+ + PREVENT AUTOMATIC EXECUTION + SC-18 (4) + +

The information system prevents the automatic execution of mobile code in and enforces prior to executing the code.

+
+ +

Actions enforced before executing mobile code, include, for example, prompting users prior to opening electronic mail attachments. Preventing automatic execution of mobile code includes, for example, disabling auto execute features on information system components employing portable storage devices such as Compact Disks (CDs), Digital Video Disks (DVDs), and Universal Serial Bus (USB) devices.

+
+ +

Determine if:

+ +

the organization defines software applications in which the automatic execution of mobile code is to be prohibited;

+ SC-18(4)[1] +
+ +

the organization defines actions to be enforced by the information system prior to executing mobile code;

+ SC-18(4)[2] +
+ +

the information system prevents the automatic execution of mobile code in the organization-defined software applications; and

+ SC-18(4)[3] +
+ +

the information system enforces organization-defined actions prior to executing the code.

+ SC-18(4)[4] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms preventing automatic execution of unacceptable mobile code

+ TEST +
+ + organization-defined software applications + organization-defined software applications + + + organization-defined actions + organization-defined actions + +
+ + ALLOW EXECUTION ONLY IN CONFINED ENVIRONMENTS + SC-18 (5) + +

The organization allows execution of permitted mobile code only in confined virtual machine environments.

+
+ +

Determine if the organization allows execution of permitted mobile code only in confined virtual machine environments.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms allowing execution of permitted mobile code in confined virtual machine environments

+ TEST +
+
+ + + NIST Special Publication 800-28 + + + DoD Instruction 8552.01 + + +
+ + VOICE OVER INTERNET PROTOCOL + SC-19 + P1 + MODERATE + HIGH + +

The organization:

+ +

Establishes usage restrictions and implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously; and

+ SC-19a. +
+ +

Authorizes, monitors, and controls the use of VoIP within the information system.

+ SC-19b. +
+
+ + + + + + +

Determine if the organization:

+ + SC-19(a) + +

establishes usage restrictions for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously;

+ SC-19(a)[1] +
+ +

establishes implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously;

+ SC-19(a)[2] +
+
+ + SC-19(b) + +

authorizes the use of VoIP within the information system;

+ SC-19(b)[1] +
+ +

monitors the use of VoIP within the information system; and

+ SC-19(b)[2] +
+ +

controls the use of VoIP within the information system.

+ SC-19(b)[3] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational process for authorizing, monitoring, and controlling VoIP

+ TEST +
+ + + NIST Special Publication 800-58 + + +
+ + SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE) + SC-20 + P1 + LOW + MODERATE + HIGH + +

The information system:

+ +

Provides additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and

+ SC-20a. +
+ +

Provides the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace.

+ SC-20b. +
+
+ +

This control enables external clients including, for example, remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. Additional artifacts include, for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples of authoritative data. The means to indicate the security status of child zones includes, for example, the use of delegation signer resource records in the DNS. The DNS security controls reflect (and are referenced from) OMB Memorandum 08-23. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data.

+ + + + + + +
+ +

Determine if the information system:

+ +

provides additional data origin and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries;

+ SC-20(a) +
+ +

provides the means to, when operating as part of a distributed, hierarchical namespace:

+ SC-20(b) + +

indicate the security status of child zones; and

+ SC-20(b)[1] +
+ +

enable verification of a chain of trust among parent and child domains (if the child supports secure resolution services).

+ SC-20(b)[2] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing secure name/address resolution service

+ TEST +
+ + CHILD SUBSPACES + SC-20 (1) + +

Incorporated into SC-20.

+
+ +
+ + DATA ORIGIN / INTEGRITY + SC-20 (2) + +

The information system provides data origin and integrity protection artifacts for internal name/address resolution queries.

+
+ +

Determine if the information system provides data origin and integrity protection artifacts for internal name/address resolution queries.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing data origin and integrity protection for internal name/address resolution service queries

+ TEST +
+
+ + + OMB Memorandum 08-23 + + + NIST Special Publication 800-81 + + +
+ + SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER) + SC-21 + P1 + LOW + MODERATE + HIGH + +

The information system requests and performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources.

+
+ +

Each client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Information systems that provide name and address resolution services for local clients include, for example, recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.

+ + +
+ +

Determine if the information system:

+ +

requests data origin authentication on the name/address resolution responses the system receives from authoritative sources;

+ SC-21[1] +
+ +

requests data integrity verification on the name/address resolution responses the system receives from authoritative sources;

+ SC-21[2] +
+ +

performs data origin authentication on the name/address resolution responses the system receives from authoritative sources; and

+ SC-21[3] +
+ +

performs data integrity verification on the name/address resolution responses the system receives from authoritative sources.

+ SC-21[4] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services

+ TEST +
+ + DATA ORIGIN / INTEGRITY + SC-21 (1) + +

Incorporated into SC-21.

+
+ +
+ + + NIST Special Publication 800-81 + + +
+ + ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE + SC-22 + P1 + LOW + MODERATE + HIGH + +

The information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation.

+
+ +

Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. To eliminate single points of failure and to enhance redundancy, organizations employ at least two authoritative domain name system servers, one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in particular roles (e.g., by address ranges, explicit lists).

+ + + + +
+ +

Determine if the information systems that collectively provide name/address resolution service for an organization:

+ +

are fault tolerant; and

+ SC-22[1] +
+ +

implement internal/external role separation.

+ SC-22[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing name/address resolution service for fault tolerance and role separation

+ TEST +
+ + + NIST Special Publication 800-81 + + +
+ + SESSION AUTHENTICITY + SC-23 + P1 + MODERATE + HIGH + +

The information system protects the authenticity of communications sessions.

+
+ +

This control addresses communications protection at the session, versus packet level (e.g., sessions in service-oriented architectures providing web-based services) and establishes grounds for confidence at both ends of communications sessions in ongoing identities of other parties and in the validity of information transmitted. Authenticity protection includes, for example, protecting against man-in-the-middle attacks/session hijacking and the insertion of false information into sessions.

+ + + +
+ +

Determine if the information system protects the authenticity of communications sessions.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing session authenticity

+ TEST +
+ + INVALIDATE SESSION IDENTIFIERS AT LOGOUT + SC-23 (1) + +

The information system invalidates session identifiers upon user logout or other session termination.

+
+ +

This control enhancement curtails the ability of adversaries from capturing and continuing to employ previously valid session IDs.

+
+ +

Determine if the information system invalidates session identifiers upon user logout or other session termination.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing session identifier invalidation upon session termination

+ TEST +
+
+ + USER-INITIATED LOGOUTS / MESSAGE DISPLAYS + SC-23 (2) + +

Incorporated into AC-12 (1).

+
+ +
+ + UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION + SC-23 (3) + +

The information system generates a unique session identifier for each session with and recognizes only session identifiers that are system-generated.

+
+ +

This control enhancement curtails the ability of adversaries from reusing previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers helps to protect against brute-force attacks to determine future session identifiers.

+ +
+ +

Determine if:

+ +

the organization defines randomness requirements for generating a unique session identifier for each session;

+ SC-23(3)[1] +
+ +

the information system generates a unique session identifier for each session with organization-defined randomness requirements; and

+ SC-23(3)[2] +
+ +

the information system recognizes only session identifiers that are system-generated.

+ SC-23(3)[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing generating and monitoring unique session identifiers

+ TEST +
+ + organization-defined randomness requirements + organization-defined randomness requirements + +
+ + UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION + SC-23 (4) + +

Incorporated into SC-23 (3).

+
+ +
+ + ALLOWED CERTIFICATE AUTHORITIES + SC-23 (5) + +

The information system only allows the use of for verification of the establishment of protected sessions.

+
+ +

Reliance on certificate authorities (CAs) for the establishment of secure sessions includes, for example, the use of Secure Socket Layer (SSL) and/or Transport Layer Security (TLS) certificates. These certificates, after verification by the respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers.

+ +
+ +

Determine if:

+ +

the organization defines certificate authorities to be allowed for verification of the establishment of protected sessions; and

+ SC-23(5)[1] +
+ +

the information system only allows the use of organization-defined certificate authorities for verification of the establishment of protected sessions.

+ SC-23(5)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing management of certificate authorities

+ TEST +
+ + organization-defined certificate authorities + organization-defined certificate authorities + +
+ + + NIST Special Publication 800-52 + + + NIST Special Publication 800-77 + + + NIST Special Publication 800-95 + + +
+ + FAIL IN KNOWN STATE + + organization-defined known-state + organization-defined known-state + + + organization-defined types of failures + organization-defined types of failures + + + organization-defined system state information + organization-defined system state information + + SC-24 + P1 + HIGH + +

The information system fails to a for preserving in failure.

+
+ +

Failure in a known state addresses security concerns in accordance with the mission/business needs of organizations. Failure in a known secure state helps to prevent the loss of confidentiality, integrity, or availability of information in the event of failures of organizational information systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission/business processes.

+ + + + + +
+ +

Determine if:

+ +

the organization defines a known-state to which the information system is to fail in the event of a system failure;

+ SC-24[1] +
+ +

the organization defines types of failures for which the information system is to fail to an organization-defined known-state;

+ SC-24[2] +
+ +

the organization defines system state information to be preserved in the event of a system failure;

+ SC-24[3] +
+ +

the information system fails to the organization-defined known-state for organization-defined types of failures; and

+ SC-24[4] +
+ +

the information system preserves the organization-defined system state information in the event of a system failure.

+ SC-24[5] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing fail-in-known state capability

+ TEST +
+
+ + THIN NODES + + organization-defined information system components + organization-defined information system components + + SC-25 + P0 + +

The organization employs with minimal functionality and information storage.

+
+ +

The deployment of information system components with reduced/minimal functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every user endpoint, and may reduce the exposure of information, information systems, and services to cyber attacks.

+ +
+ +

Determine if the organization:

+ +

defines information system components to be employed with minimal functionality and information storage; and

+ SC-25[1] +
+ +

employs organization-defined information system components with minimal functionality and information storage.

+ SC-25[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing thin nodes

+ TEST +
+
+ + HONEYPOTS + SC-26 + P0 + +

The information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.

+
+ +

A honeypot is set up as a decoy to attract adversaries and to deflect their attacks away from the operational systems supporting organizational missions/business function. Depending upon the specific usage of the honeypot, consultation with the Office of the General Counsel before deployment may be needed.

+ + + + +
+ +

Determine if the information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing honey pots

+ TEST +
+ + DETECTION OF MALICIOUS CODE + SC-26 (1) + +

Incorporated into SC-35.

+
+ +
+
+ + PLATFORM-INDEPENDENT APPLICATIONS + + organization-defined platform-independent applications + organization-defined platform-independent applications + + SC-27 + P0 + +

The information system includes: .

+
+ +

Platforms are combinations of hardware and software used to run software applications. Platforms include: (i) operating systems; (ii) the underlying computer architectures, or (iii) both. Platform-independent applications are applications that run on multiple platforms. Such applications promote portability and reconstitution on different platforms, increasing the availability of critical functions within organizations while information systems with specific operating systems are under attack.

+ +
+ +

Determine if:

+ +

the organization defines platform-independent applications; and

+ SC-27[1] +
+ +

the information system includes organization-defined platform-independent applications.

+ SC-27[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing platform-independent applications

+ TEST +
+
+ + PROTECTION OF INFORMATION AT REST + + organization-defined information at rest + organization-defined information at rest + + SC-28 + P1 + MODERATE + HIGH + +

The information system protects the [Selection (one or more): confidentiality; integrity] of .

+
+ +

This control addresses the confidentiality and integrity of information at rest and covers user information and system information. Information at rest refers to the state of information when it is located on storage devices as specific components of information systems. System-related information requiring protection includes, for example, configurations or rule sets for firewalls, gateways, intrusion detection/prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. Organizations may also employ other security controls including, for example, secure off-line storage in lieu of online storage when adequate protection of information at rest cannot otherwise be achieved and/or continuous monitoring to identify malicious code at rest.

+ + + + + + + + + + + +
+ +

Determine if:

+ +

the organization defines information at rest requiring one or more of the following:

+ SC-28[1] + +

confidentiality protection; and/or

+ SC-28[1][a] +
+ +

integrity protection;

+ SC-28[1][b] +
+
+ +

the information system protects:

+ SC-28[2] + +

the confidentiality of organization-defined information at rest; and/or

+ SC-28[2][a] +
+ +

the integrity of organization-defined information at rest.

+ SC-28[2][b] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest

+ TEST +
+ + CRYPTOGRAPHIC PROTECTION + SC-28 (1) + +

The information system implements cryptographic mechanisms to prevent unauthorized disclosure and modification of on .

+
+ +

Selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to significant concentrations of digital media in organizational areas designated for media storage and also to limited quantities of media generally associated with information system components in operational environments (e.g., portable storage devices, mobile devices). Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields). Organizations employing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.

+ + +
+ +

Determine if:

+ +

the organization defines information requiring cryptographic protection;

+ SC-28(1)[1] +
+ +

the organization defines information system components with organization-defined information requiring cryptographic protection; and

+ SC-28(1)[2] +
+ +

the information system employs cryptographic mechanisms to prevent unauthorized disclosure and modification of organization-defined information on organization-defined information system components.

+ SC-28(1)[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Cryptographic mechanisms implementing confidentiality and integrity protections for information at rest

+ TEST +
+ + organization-defined information + organization-defined information + + + organization-defined information system components + organization-defined information system components + +
+ + OFF-LINE STORAGE + SC-28 (2) + +

The organization removes from online storage and stores off-line in a secure location .

+
+ +

Removing organizational information from online information system storage to off-line storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to off-line storage in lieu of protecting such information in online storage.

+
+ +

Determine if the organization:

+ +

defines information to be removed from online storage and stored off-line in a secure location; and

+ SC-28(2)[1] +
+ +

removes organization-defined information from online storage; and

+ SC-28(2)[2] +
+ +

stores such information off-line in a secure location.

+ SC-28(2)[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing removal of information from online storage

+ TEST +
+ + organization-defined information + organization-defined information + +
+ + + NIST Special Publication 800-56 + + + NIST Special Publication 800-57 + + + NIST Special Publication 800-111 + + +
+ + HETEROGENEITY + + organization-defined information system components + organization-defined information system components + + SC-29 + P0 + +

The organization employs a diverse set of information technologies for in the implementation of the information system.

+
+ +

Increasing the diversity of information technologies within organizational information systems reduces the impact of potential exploitations of specific technologies and also defends against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one information system component will be equally effective against other system components, thus further increasing the adversary work factor to successfully complete planned cyber attacks. An increase in diversity may add complexity and management overhead which could ultimately lead to mistakes and unauthorized configurations.

+ + + +
+ +

Determine if the organization:

+ +

defines information system components requiring a diverse set of information technologies to be employed in the implementation of the information system; and

+ SC-29[1] +
+ +

employs a diverse set of information technologies for organization-defined information system components in the implementation of the information system.

+ SC-29[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing employment of a diverse set of information technologies

+ TEST +
+ + VIRTUALIZATION TECHNIQUES + SC-29 (1) + +

The organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed .

+
+ +

While frequent changes to operating systems and applications pose configuration management challenges, the changes can result in an increased work factor for adversaries in order to carry out successful cyber attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems/applications, provide virtual changes that impede attacker success while reducing configuration management efforts. In addition, virtualization techniques can assist organizations in isolating untrustworthy software and/or software of dubious provenance into confined execution environments.

+
+ +

Determine if the organization:

+ +

defines a frequency to change the diversity of operating systems and applications deployed using virtualization techniques; and

+ SC-29(1)[1] +
+ +

employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed with the organization-defined frequency.

+ SC-29(1)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing employment of a diverse set of information technologies

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+
+ + CONCEALMENT AND MISDIRECTION + + organization-defined concealment and misdirection techniques + organization-defined concealment and misdirection techniques + + + organization-defined information systems + organization-defined information systems + + + organization-defined time periods + organization-defined time periods + + SC-30 + P0 + +

The organization employs for at to confuse and mislead adversaries.

+
+ +

Concealment and misdirection techniques can significantly reduce the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. For example, virtualization techniques provide organizations with the ability to disguise information systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. Increased use of concealment/misdirection techniques including, for example, randomness, uncertainty, and virtualization, may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment/misdirection techniques may also provide organizations additional time to successfully perform core missions and business functions. Because of the time and effort required to support concealment/misdirection techniques, it is anticipated that such techniques would be used by organizations on a very limited basis.

+ + + +
+ +

Determine if the organization:

+ +

defines concealment and misdirection techniques to be employed to confuse and mislead adversaries potentially targeting organizational information systems;

+ SC-30[1] +
+ +

defines information systems for which organization-defined concealment and misdirection techniques are to be employed;

+ SC-30[2] +
+ +

defines time periods to employ organization-defined concealment and misdirection techniques for organization-defined information systems; and

+ SC-30[3] +
+ +

employs organization-defined concealment and misdirection techniques for organization-defined information systems at organization-defined time periods to confuse and mislead adversaries.

+ SC-30[4] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing concealment and misdirection techniques

+ TEST +
+ + VIRTUALIZATION TECHNIQUES + SC-30 (1) + +

Incorporated into SC-29 (1).

+
+ +
+ + RANDOMNESS + SC-30 (2) + +

The organization employs to introduce randomness into organizational operations and assets.

+
+ +

Randomness introduces increased levels of uncertainty for adversaries regarding the actions organizations take in defending against cyber attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations supporting critical missions/business functions. Uncertainty may also cause adversaries to hesitate before initiating or continuing attacks. Misdirection techniques involving randomness include, for example, performing certain routine actions at different times of day, employing different information technologies (e.g., browsers, search engines), using different suppliers, and rotating roles and responsibilities of organizational personnel.

+
+ +

Determine if the organization:

+ +

defines techniques to be employed to introduce randomness into organizational operations and assets; and

+ SC-30(2)[1] +
+ +

employs organization-defined techniques to introduce randomness into organizational operations and assets.

+ SC-30(2)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing randomness as a concealment and misdirection technique

+ TEST +
+ + organization-defined techniques + organization-defined techniques + +
+ + CHANGE PROCESSING / STORAGE LOCATIONS + SC-30 (3) + +

The organization changes the location of [Selection: ; at random time intervals]].

+
+ +

Adversaries target critical organizational missions/business functions and the information resources supporting those missions and functions while at the same time, trying to minimize exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational information systems targeted by adversaries, make such systems more susceptible to cyber attacks with less adversary cost and effort to be successful. Changing organizational processing and storage locations (sometimes referred to as moving target defense) addresses the advanced persistent threat (APT) using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the information resources (i.e., processing and/or storage) supporting critical missions and business functions. Changing locations of processing activities and/or storage sites introduces uncertainty into the targeting activities by adversaries. This uncertainty increases the work factor of adversaries making compromises or breaches to organizational information systems much more difficult and time-consuming, and increases the chances that adversaries may inadvertently disclose aspects of tradecraft while attempting to locate critical organizational resources.

+
+ +

Determine if the organization:

+ +

defines processing and/or storage locations to be changed at time intervals specified by the organization;

+ SC-30(3)[1] +
+ +

defines a frequency to change the location of organization-defined processing and/or storage; and

+ SC-30(3)[2] +
+ +

changes the location of organization-defined processing and/or storage at one of the following:

+ SC-30(3)[3] + +

organization-defined time intervals; or

+ SC-30(3)[3][a] +
+ +

random time intervals.

+ SC-30(3)[3][b] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing changing processing and/or storage locations

+ TEST +
+ + organization-defined processing and/or storage + organization-defined processing and/or storage + + + organization-defined time frequency + organization-defined time frequency + +
+ + MISLEADING INFORMATION + SC-30 (4) + +

The organization employs realistic, but misleading information in with regard to its security state or posture.

+
+ +

This control enhancement misleads potential adversaries regarding the nature and extent of security safeguards deployed by organizations. As a result, adversaries may employ incorrect (and as a result ineffective) attack techniques. One way of misleading adversaries is for organizations to place misleading information regarding the specific security controls deployed in external information systems that are known to be accessed or targeted by adversaries. Another technique is the use of deception nets (e.g., honeynets, virtualized environments) that mimic actual aspects of organizational information systems but use, for example, out-of-date software configurations.

+
+ +

Determine if the organization:

+ +

defines information system components in which to employ realistic, but misleading information regarding its security state or posture; and

+ SC-30(4)[1] +
+ +

employs realistic, but misleading information in organization-defined information system components with regard to its security state or posture.

+ SC-30(4)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing employment of realistic, but misleading information about the security posture of information system components

+ TEST +
+ + organization-defined information system components + organization-defined information system components + +
+ + CONCEALMENT OF SYSTEM COMPONENTS + SC-30 (5) + +

The organization employs to hide or conceal .

+
+ +

By hiding, disguising, or otherwise concealing critical information system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means for organizations to hide and/or conceal information system components include, for example, configuration of routers or the use of honeynets or virtualization techniques.

+
+ +

Determine if the organization:

+ +

defines techniques to be employed to hide or conceal information system components;

+ SC-30(5)[1] +
+ +

defines information system components to be hidden or concealed using organization-defined techniques; and

+ SC-30(5)[2] +
+ +

employs organization-defined techniques to hide or conceal organization-defined information system components.

+ SC-30(5)[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing techniques for concealment of system components

+ TEST +
+ + organization-defined techniques + organization-defined techniques + + + organization-defined information system components + organization-defined information system components + +
+
+ + COVERT CHANNEL ANALYSIS + SC-31 + P0 + +

The organization:

+ +

Performs a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for covert [Selection (one or more): storage; timing] channels; and

+ SC-31a. +
+ +

Estimates the maximum bandwidth of those channels.

+ SC-31b. +
+
+ +

Developers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of information systems containing export-controlled information and having connections to external networks (i.e., networks not controlled by organizations). Covert channel analysis is also meaningful for multilevel secure (MLS) information systems, multiple security level (MSL) systems, and cross-domain systems.

+ + + +
+ +

Determine if the organization:

+ +

performs a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for one or more of the following:

+ SC-31(a) + +

covert storage channels; and/or

+ SC-31(a)[1] +
+ +

covert timing channels; and

+ SC-31(a)[2] +
+
+ +

estimates the maximum bandwidth of those channels.

+ SC-31(b) +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational process for conducting covert channel analysis

+ TEST +
+ + TEST COVERT CHANNELS FOR EXPLOITABILITY + SC-31 (1) + +

The organization tests a subset of the identified covert channels to determine which channels are exploitable.

+
+ +

Determine if the organization tests a subset of identified covert channels to determine which channels are exploitable.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational process for testing covert channels

+ TEST +
+
+ + MAXIMUM BANDWIDTH + SC-31 (2) + +

The organization reduces the maximum bandwidth for identified covert [Selection (one or more); storage; timing] channels to .

+
+ +

Information system developers are in the best position to reduce the maximum bandwidth for identified covert storage and timing channels.

+
+ +

Determine if the organization:

+ +

defines values to be employed as the maximum bandwidth allowed for identified covert channels; and

+ SC-31(2)[1] +
+ +

reduces the maximum bandwidth to organization-defined values for one or more of the following identified:

+ SC-31(2)[2] + +

covert storage channels; and/or

+ SC-31(2)[2][a] +
+ +

covert timing channels.

+ SC-31(2)[2][b] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational process for conducting covert channel analysis

+ TEST +
+ + organization-defined values + organization-defined values + +
+ + MEASURE BANDWIDTH IN OPERATIONAL ENVIRONMENTS + SC-31 (3) + +

The organization measures the bandwidth of in the operational environment of the information system.

+
+ +

This control enhancement addresses covert channel bandwidth in operational environments versus developmental environments. Measuring covert channel bandwidth in operational environments helps organizations to determine how much information can be covertly leaked before such leakage adversely affects organizational missions/business functions. Covert channel bandwidth may be significantly different when measured in those settings that are independent of the particular environments of operation (e.g., laboratories or development environments).

+
+ +

Determine if the organization:

+ +

defines subset of identified covert channels whose bandwidth is to be measured in the operational environment of the information system; and

+ SC-31(3)[1] +
+ +

measures the bandwidth of the organization-defined subset of identified covert channels in the operational environment of the information system.

+ SC-31(3)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational process for conducting covert channel analysis

+ TEST +
+ + organization-defined subset of identified covert channels + organization-defined subset of identified covert channels + +
+
+ + INFORMATION SYSTEM PARTITIONING + + organization-defined information system components + organization-defined information system components + + + organization-defined circumstances for physical separation of components + organization-defined circumstances for physical separation of components + + SC-32 + P0 + +

The organization partitions the information system into residing in separate physical domains or environments based on .

+
+ +

Information system partitioning is a part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components from physically distinct components in separate racks in the same room, to components in separate rooms for the more critical components, to more significant geographical separation of the most critical components. Security categorization can guide the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned information system components.

+ + + + + +
+ +

Determine if the organization:

+ +

defines circumstances for physical separation of information system components into information system partitions;

+ SC-32[1] +
+ +

defines information system components to reside in separate physical domains or environments based on organization-defined circumstances for physical separation of components; and

+ SC-32[2] +
+ +

partitions the information system into organization-defined information system components residing in separate physical domains or environments based on organization-defined circumstances for physical separation of components.

+ SC-32[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing physical separation of information system components

+ TEST +
+ + + FIPS Publication 199 + + +
+ + TRANSMISSION PREPARATION INTEGRITY + SC-33 + +

Incorporated into SC-8.

+
+ +
+ + NON-MODIFIABLE EXECUTABLE PROGRAMS + + organization-defined information system components + organization-defined information system components + + + organization-defined applications + organization-defined applications + + SC-34 + P0 + +

The information system at :

+ +

Loads and executes the operating environment from hardware-enforced, read-only media; and

+ SC-34a. +
+ +

Loads and executes from hardware-enforced, read-only media.

+ SC-34b. +
+
+ +

The term operating environment is defined as the specific code that hosts applications, for example, operating systems, executives, or monitors including virtual machine monitors (i.e., hypervisors). It can also include certain applications running directly on hardware platforms. Hardware-enforced, read-only media include, for example, Compact Disk-Recordable (CD-R)/Digital Video Disk-Recordable (DVD-R) disk drives and one-time programmable read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. The use of reprogrammable read-only memory can be accepted as read-only media provided: (i) integrity can be adequately protected from the point of initial writing to the insertion of the memory into the information system; and (ii) there are reliable hardware protections against reprogramming the memory while installed in organizational information systems.

+ + +
+ +

Determine if:

+ +

the organization defines information system components for which the operating environment and organization-defined applications are to be loaded and executed from hardware-enforced, read-only media;

+ SC-34[1] +
+ +

the organization defines applications to be loaded and executed from hardware-enforced, read-only media;

+ SC-34[2] +
+ +

the information system, at organization-defined information system components:

+ SC-34[3] + +

loads and executes the operating environment from hardware-enforced, read-only media; and

+ SC-34[3](a) +
+ +

loads and executes organization-defined applications from hardware-enforced, read-only media.

+ SC-34[3](b) +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing loading and executing the operating environment from hardware-enforced, read-only media

+ TEST +
+ + NO WRITABLE STORAGE + SC-34 (1) + +

The organization employs with no writeable storage that is persistent across component restart or power on/off.

+
+ +

This control enhancement: (i) eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated information system components; and (ii) applies to both fixed and removable storage, with the latter being addressed directly or as specific restrictions imposed through access controls for mobile devices.

+ + +
+ +

Determine if the organization:

+ +

defines information system components to be employed with no writeable storage; and

+ SC-34(1)[1] +
+ +

employs organization-defined information system components with no writeable storage that is persistent across component restart or power on/off.

+ SC-34(1)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing employment of components with no writeable storage

+ TEST +
+ + organization-defined information system components + organization-defined information system components + +
+ + INTEGRITY PROTECTION / READ-ONLY MEDIA + SC-34 (2) + +

The organization protects the integrity of information prior to storage on read-only media and controls the media after such information has been recorded onto the media.

+
+ +

Security safeguards prevent the substitution of media into information systems or the reprogramming of programmable read-only media prior to installation into the systems. Security safeguards include, for example, a combination of prevention, detection, and response.

+ + + + + + + + + + +
+ +

Determine if the organization:

+ +

protects the integrity of the information prior to storage on read-only media; and

+ SC-34(2)[1] +
+ +

controls the media after such information has been recorded onto the media.

+ SC-34(2)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing capability for protecting information integrity on read-only media prior to storage and after information has been recorded onto the media

+ TEST +
+
+ + HARDWARE-BASED PROTECTION + SC-34 (3) + +

The organization:

+ +

Employs hardware-based, write-protect for ; and

+ SC-34 (3)(a) +
+ +

Implements specific procedures for to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.

+ SC-34 (3)(b) +
+
+ +

Determine if the organization:

+ + SC-34(3)(a) + +

defines information system firmware components for which hardware-based, write-protection is to be employed;

+ SC-34(3)(a)[1] +
+ +

employs hardware-based, write-protection for organization-defined information system firmware components;

+ SC-34(3)(a)[2] +
+
+ + SC-34(3)(b) + +

defines individuals authorized to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode; and

+ SC-34(3)(b)[1] +
+ +

implements specific procedures for organization-defined authorized individuals to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.

+ SC-34(3)(b)[2] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for modifying firmware

+ TEST +
+ + organization-defined information system firmware components + organization-defined information system firmware components + + + organization-defined authorized individuals + organization-defined authorized individuals + +
+
+ + HONEYCLIENTS + SC-35 + P0 + +

The information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.

+
+ +

Honeyclients differ from honeypots in that the components actively probe the Internet in search of malicious code (e.g., worms) contained on external websites. As with honeypots, honeyclients require some supporting isolation measures (e.g., virtualization) to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational information systems.

+ + + + +
+ +

Determine if the information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing honeyclients

+ TEST +
+
+ + DISTRIBUTED PROCESSING AND STORAGE + + organization-defined processing and storage + organization-defined processing and storage + + SC-36 + P0 + +

The organization distributes across multiple physical locations.

+
+ +

Distributing processing and storage across multiple physical locations provides some degree of redundancy or overlap for organizations, and therefore increases the work factor of adversaries to adversely impact organizational operations, assets, and individuals. This control does not assume a single primary processing or storage location, and thus allows for parallel processing and storage.

+ + +
+ +

Determine if the organization:

+ +

defines processing and storage to be distributed across multiple physical locations; and

+ SC-36[1] +
+ +

distributes organization-defined processing and storage across multiple physical locations.

+ SC-36[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for distributing processing and storage across multiple physical locations

+ TEST +
+ + POLLING TECHNIQUES + SC-36 (1) + +

The organization employs polling techniques to identify potential faults, errors, or compromises to .

+
+ +

Distributed processing and/or storage may be employed to reduce opportunities for adversaries to successfully compromise the confidentiality, integrity, or availability of information and information systems. However, distribution of processing and/or storage components does not prevent adversaries from compromising one (or more) of the distributed components. Polling compares the processing results and/or storage content from the various distributed components and subsequently voting on the outcomes. Polling identifies potential faults, errors, or compromises in distributed processing and/or storage components.

+ +
+ +

Determine if the organization:

+ +

defines distributed processing and storage components for which polling techniques are to be employed to identify potential faults, errors, or compromises; and

+ SC-36(1)[1] +
+ +

employs polling techniques to identify potential faults, errors, or compromises to organization-defined distributed processing and storage components.

+ SC-36(1)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing polling techniques

+ TEST +
+ + organization-defined distributed processing and storage components + organization-defined distributed processing and storage components + +
+
+ + OUT-OF-BAND CHANNELS + + organization-defined out-of-band channels + organization-defined out-of-band channels + + + organization-defined information, information system components, or devices + organization-defined information, information system components, or devices + + + organization-defined individuals or information systems + organization-defined individuals or information systems + + SC-37 + P0 + +

The organization employs for the physical delivery or electronic transmission of to .

+
+ +

Out-of-band channels include, for example, local (nonnetwork) accesses to information systems, network paths physically separate from network paths used for operational traffic, or nonelectronic paths such as the US Postal Service. This is in contrast with using the same channels (i.e., in-band channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability/exposure as in-band channels, and hence the confidentiality, integrity, or availability compromises of in-band channels will not compromise the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of many organizational items including, for example, identifiers/authenticators, configuration management changes for hardware, firmware, or software, cryptographic key management information, security updates, system/data backups, maintenance information, and malicious code protection updates.

+ + + + + + + + + + + +
+ +

Determine if the organization:

+ +

defines out-of-band channels to be employed for the physical delivery or electronic transmission of information, information system components, or devices to individuals or information systems;

+ SC-37[1] +
+ +

defines information, information system components, or devices for which physical delivery or electronic transmission of such information, information system components, or devices to individuals or information systems requires employment of organization-defined out-of-band channels;

+ SC-37[2] +
+ +

defines individuals or information systems to which physical delivery or electronic transmission of organization-defined information, information system components, or devices is to be achieved via employment of organization-defined out-of-band channels; and

+ SC-37[3] +
+ +

employs organization-defined out-of-band channels for the physical delivery or electronic transmission of organization-defined information, information system components, or devices to organization-defined individuals or information systems.

+ SC-37[4] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for use of out-of-band channels

+ TEST +
+ + ENSURE DELIVERY / TRANSMISSION + SC-37 (1) + +

The organization employs to ensure that only receive the .

+
+ +

Techniques and/or methods employed by organizations to ensure that only designated information systems or individuals receive particular information, system components, or devices include, for example, sending authenticators via courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt.

+
+ +

Determine if the organization:

+ +

defines security safeguards to be employed to ensure that only designated individuals or information systems receive specific information, information system components, or devices;

+ SC-37(1)[1] +
+ +

defines individuals or information systems designated to receive specific information, information system components, or devices;

+ SC-37(1)[2] +
+ +

defines information, information system components, or devices that only organization-defined individuals or information systems are designated to receive; and

+ SC-37(1)[3] +
+ +

employs organization-defined security safeguards to ensure that only organization-defined individuals or information systems receive the organization-defined information, information system components, or devices.

+ SC-37(1)[4] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for use of out-of-band channels

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined individuals or information systems + organization-defined individuals or information systems + + + organization-defined information, information system components, or devices + organization-defined information, information system components, or devices + +
+
+ + OPERATIONS SECURITY + + organization-defined operations security safeguards + organization-defined operations security safeguards + + SC-38 + P0 + +

The organization employs to protect key organizational information throughout the system development life cycle.

+
+ +

Operations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: (i) identification of critical information (e.g., the security categorization process); (ii) analysis of threats; (iii) analysis of vulnerabilities; (iv) assessment of risks; and (v) the application of appropriate countermeasures. OPSEC safeguards are applied to both organizational information systems and the environments in which those systems operate. OPSEC safeguards help to protect the confidentiality of key information including, for example, limiting the sharing of information with suppliers and potential suppliers of information system components, information technology products and services, and with other non-organizational elements and individuals. Information critical to mission/business success includes, for example, user identities, element uses, suppliers, supply chain processes, functional and security requirements, system design specifications, testing protocols, and security control implementation details.

+ + + +
+ +

Determine if the organization:

+ +

defines operations security safeguards to be employed to protect key organizational information throughout the system development life cycle; and

+ SC-38[1] +
+ +

employs organization-defined operations security safeguards to protect key organizational information throughout the system development life cycle.

+ SC-38[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for protecting organizational information throughout the SDLC

+ TEST +
+
+ + PROCESS ISOLATION + SC-39 + P1 + LOW + MODERATE + HIGH + +

The information system maintains a separate execution domain for each executing process.

+
+ +

Information systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each information system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. This capability is available in most commercial operating systems that employ multi-state processor technologies.

+ + + + + + + + +
+ +

Determine if the information system maintains a separate execution domain for each executing process.

+
+ +

Information system design documentation

+ EXAMINE +
+ +

Information system developers/integrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing separate execution domains for each executing process

+ TEST +
+ + HARDWARE SEPARATION + SC-39 (1) + +

The information system implements underlying hardware separation mechanisms to facilitate process separation.

+
+ +

Hardware-based separation of information system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Underlying hardware separation mechanisms include, for example, hardware memory management.

+
+ +

Determine if the information system implements underlying hardware separation mechanisms to facilitate process separation.

+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Information system capability implementing underlying hardware separation mechanisms for process separation

+ TEST +
+
+ + THREAD ISOLATION + SC-39 (2) + +

The information system maintains a separate execution domain for each thread in .

+
+ +

Determine if the information system:

+ +

defines multi-threaded processing for which a separate execution domain is to be maintained for each thread in multi-threaded processing; and

+ SC-39(2)[1] +
+ +

maintains a separate execution domain for each thread in organization-defined multi-threaded processing.

+ SC-39(2)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Information system capability implementing a separate execution domain for each thread in multi-threaded processing

+ TEST +
+ + organization-defined multi-threaded processing + organization-defined multi-threaded processing + +
+
+ + WIRELESS LINK PROTECTION + + organization-defined wireless links + organization-defined wireless links + + + organization-defined types of signal parameter attacks or references to sources for such attacks + organization-defined types of signal parameter attacks or references to sources for such attacks + + SC-40 + P0 + +

The information system protects external and internal from .

+
+ +

This control applies to internal and external wireless communication links that may be visible to individuals who are not authorized information system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or to spoof users of organizational information systems. This control reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement this control.

+ + +
+ +

Determine if:

+ +

the organization defines:

+ SC-40[1] + +

internal wireless links to be protected from particular types of signal parameter attacks;

+ SC-40[1][a] +
+ +

external wireless links to be protected from particular types of signal parameter attacks;

+ SC-40[1][b] +
+
+ +

the organization defines types of signal parameter attacks or references to sources for such attacks that are based upon exploiting the signal parameters of organization-defined internal and external wireless links; and

+ SC-40[2] +
+ +

the information system protects internal and external organization-defined wireless links from organization-defined types of signal parameter attacks or references to sources for such attacks.

+ SC-40[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing protection of wireless links

+ TEST +
+ + ELECTROMAGNETIC INTERFERENCE + SC-40 (1) + +

The information system implements cryptographic mechanisms that achieve against the effects of intentional electromagnetic interference.

+
+ +

This control enhancement protects against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The control enhancement may also coincidentally help to mitigate the effects of unintentional jamming due to interference from legitimate transmitters sharing the same spectrum. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine levels of wireless link availability and performance/cryptography needed.

+ + +
+ +

Determine if:

+ +

the organization defines level of protection to be employed against the effects of intentional electromagnetic interference; and

+ SC-40(1)[1] +
+ +

the information system employs cryptographic mechanisms that achieve organization-defined level of protection against the effects of intentional electromagnetic interference.

+ SC-40(1)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Cryptographic mechanisms enforcing protections against effects of intentional electromagnetic interference

+ TEST +
+ + organization-defined level of protection + organization-defined level of protection + +
+ + REDUCE DETECTION POTENTIAL + SC-40 (2) + +

The information system implements cryptographic mechanisms to reduce the detection potential of wireless links to .

+
+ +

This control enhancement is needed for covert communications and protecting wireless transmitters from being geo-located by their transmissions. The control enhancement ensures that spread spectrum waveforms used to achieve low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine the levels to which wireless links should be undetectable.

+ + +
+ +

Determine if:

+ +

the organization defines level of reduction to be achieved to reduce the detection potential of wireless links; and

+ SC-40(2)[1] +
+ +

the information system implements cryptographic mechanisms to reduce the detection potential of wireless links to organization-defined level of reduction.

+ SC-40(2)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Cryptographic mechanisms enforcing protections to reduce detection of wireless links

+ TEST +
+ + organization-defined level of reduction + organization-defined level of reduction + +
+ + IMITATIVE OR MANIPULATIVE COMMUNICATIONS DECEPTION + SC-40 (3) + +

The information system implements cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.

+
+ +

This control enhancement ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based upon signal parameters alone.

+ + +
+ +

Determine if the information system implements cryptographic mechanisms to:

+ +

identify wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters; and

+ SC-40(3)[1] +
+ +

reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.

+ SC-40(3)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Cryptographic mechanisms enforcing wireless link protections against imitative or manipulative communications deception

+ TEST +
+
+ + SIGNAL PARAMETER IDENTIFICATION + SC-40 (4) + +

The information system implements cryptographic mechanisms to prevent the identification of by using the transmitter signal parameters.

+
+ +

Radio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission/user identification. This control enhancement protects against the unique identification of wireless transmitters for purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. This control enhancement helps assure mission success when anonymity is required.

+ + +
+ +

Determine if:

+ +

the organization defines wireless transmitters for which cryptographic mechanisms are to be implemented to prevent identification of such transmitters by using the transmitter signal parameters; and

+ SC-40(4)[1] +
+ +

the information system implements cryptographic mechanisms to prevent the identification of organization-defined wireless transmitters by using the transmitter signal parameters.

+ SC-40(4)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Cryptographic mechanisms preventing the identification of wireless transmitters

+ TEST +
+ + organization-defined wireless transmitters + organization-defined wireless transmitters + +
+
+ + PORT AND I/O DEVICE ACCESS + + organization-defined connection ports or input/output devices + organization-defined connection ports or input/output devices + + + organization-defined information systems or information system components + organization-defined information systems or information system components + + SC-41 + P0 + +

The organization physically disables or removes on .

+
+ +

Connection ports include, for example, Universal Serial Bus (USB) and Firewire (IEEE 1394). Input/output (I/O) devices include, for example, Compact Disk (CD) and Digital Video Disk (DVD) drives. Physically disabling or removing such connection ports and I/O devices helps prevent exfiltration of information from information systems and the introduction of malicious code into systems from those ports/devices.

+
+ +

Determine if the organization:

+ +

defines connection ports or input/output devices to be physically disabled or removed on information systems or information system components;

+ SC-41[1] +
+ +

defines information systems or information system components with organization-defined connection ports or input/output devices that are to be physically disabled or removed; and

+ SC-41[2] +
+ +

physically disables or removes organization-defined connection ports or input/output devices on organization-defined information systems or information system components.

+ SC-41[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing disabling of connection ports or input/output devices

+ TEST +
+
+ + SENSOR CAPABILITY AND DATA + + organization-defined exceptions where remote activation of sensors is allowed + organization-defined exceptions where remote activation of sensors is allowed + + + organization-defined class of users + organization-defined class of users + + SC-42 + P0 + +

The information system:

+ +

Prohibits the remote activation of environmental sensing capabilities with the following exceptions: ; and

+ SC-42a. +
+ +

Provides an explicit indication of sensor use to .

+ SC-42b. +
+
+ +

This control often applies to types of information systems or system components characterized as mobile devices, for example, smart phones, tablets, and E-readers. These systems often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include, for example, cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the specific movements of an individual.

+
+ +

Determine if:

+ + SC-42(a) + +

the organization defines exceptions where remote activation of sensors is to be allowed;

+ SC-42(a)[1] +
+ +

the information system prohibits the remote activation of sensors, except for organization-defined exceptions where remote activation of sensors is to be allowed;

+ SC-42(a)[2] +
+
+ + SC-42(b) + +

the organization defines the class of users to whom an explicit indication of sensor use is to be provided; and

+ SC-42(b)[1] +
+ +

the information system provides an explicit indication of sensor use to the organization-defined class of users.

+ SC-42(b)[2] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing access controls for remote activation of information system sensor capabilities

+ TEST +
+ + REPORTING TO AUTHORIZED INDIVIDUALS OR ROLES + SC-42 (1) + +

The organization ensures that the information system is configured so that data or information collected by the is only reported to authorized individuals or roles.

+
+ +

In situations where sensors are activated by authorized individuals (e.g., end users), it is still possible that the data/information collected by the sensors will be sent to unauthorized entities.

+
+ +

Determine if the organization:

+ +

defines sensors to be used to collect data or information only reported to authorized individuals or roles; and

+ SC-42(1)[1] +
+ +

ensures that the information system is configured so that data or information collected by the organization-defined sensors is only reported to authorized individuals or roles.

+ SC-42(1)[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms restricting reporting of sensor information only to those authorized

+ TEST +
+ + organization-defined sensors + organization-defined sensors + +
+ + AUTHORIZED USE + SC-42 (2) + +

The organization employs the following measures: , so that data or information collected by is only used for authorized purposes.

+
+ +

Information collected by sensors for a specific authorized purpose potentially could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track movements of individuals. Measures to mitigate such activities include, for example, additional training to ensure that authorized parties do not abuse their authority, or (in the case where sensor data/information is maintained by external parties) contractual restrictions on the use of the data/information.

+
+ +

Determine if the organization:

+ +

defines measures to be employed so that data or information collected by sensors is only used for authorized purposes;

+ SC-42(2)[1] +
+ +

defines sensors to be used to collect data or information for authorized purposes only; and

+ SC-42(2)[2] +
+ +

employs organization-defined measures so that data or information collected by organization-defined sensors is only used for authorized purposes.

+ SC-42(2)[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing measures to ensure sensor information is only used for authorized purposes

+ TEST +
+ + organization-defined measures + organization-defined measures + + + organization-defined sensors + organization-defined sensors + +
+ + PROHIBIT USE OF DEVICES + SC-42 (3) + +

The organization prohibits the use of devices possessing in .

+
+ +

For example, organizations may prohibit individuals from bringing cell phones or digital cameras into certain facilities or specific controlled areas within facilities where classified information is stored or sensitive conversations are taking place.

+
+ +

Determine if the organization:

+ +

defines environmental sensing capabilities to be prohibited from use in facilities, areas, or systems;

+ SC-42(3)[1] +
+ +

defines facilities, areas, or systems where the use of devices possessing organization-defined environmental sensing capabilities is to be prohibited; and

+ SC-42(3)[2] +
+ +

prohibits the use of devices possessing organization-defined environmental sensing capabilities in organization-defined facilities, areas, or systems.

+ SC-42(3)[3] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ + organization-defined environmental sensing capabilities + organization-defined environmental sensing capabilities + + + organization-defined facilities, areas, or systems + organization-defined facilities, areas, or systems + +
+
+ + USAGE RESTRICTIONS + + organization-defined information system components + organization-defined information system components + + SC-43 + P0 + +

The organization:

+ +

Establishes usage restrictions and implementation guidance for based on the potential to cause damage to the information system if used maliciously; and

+ SC-43a. +
+ +

Authorizes, monitors, and controls the use of such components within the information system.

+ SC-43b. +
+
+ +

Information system components include hardware, software, or firmware components (e.g., Voice Over Internet Protocol, mobile code, digital copiers, printers, scanners, optical devices, wireless technologies, mobile devices).

+ + +
+ +

Determine if the organization:

+ + SC-43(a) + +

defines information system components for which usage restrictions and implementation guidance are to be established;

+ SC-43(a)[1] +
+ +

establishes, for organization-defined information system components:

+ SC-43(a)[2] + +

usage restrictions based on the potential to cause damage to the information system if used maliciously;

+ SC-43(a)[2][a] +
+ +

implementation guidance based on the potential to cause damage to the information system if used maliciously;

+ SC-43(a)[2][b] +
+
+
+ + SC-43(b) + +

authorizes the use of such components within the information system;

+ SC-43(b)[1] +
+ +

monitors the use of such components within the information system; and

+ SC-43(b)[2] +
+ +

controls the use of such components within the information system.

+ SC-43(b)[3] +
+
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for authorizing, monitoring, and controlling use of components with usage restrictions

+ TEST +
+
+ + DETONATION CHAMBERS + + organization-defined information system, system component, or location + organization-defined information system, system component, or location + + SC-44 + P0 + +

The organization employs a detonation chamber capability within .

+
+ +

Detonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator (URL) requests in the safety of an isolated environment or virtualized sandbox. These protected and isolated execution environments provide a means of determining whether the associated attachments/applications contain malicious code. While related to the concept of deception nets, the control is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, it is intended to quickly identify malicious code and reduce the likelihood that the code is propagated to user environments of operation (or prevent such propagation completely).

+ + + + +
+ +

Determine if the organization:

+ +

defines information system, system component, or location where a detonation chamber capability is to be employed; and

+ SC-44[1] +
+ +

employs a detonation chamber capability within organization-defined information system, system component, or location.

+ SC-44[2] +
+
+ +

System and communications protection policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing detonation chamber capability

+ TEST +
+
+
+ + SYSTEM AND INFORMATION INTEGRITY + + SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + + organization-defined frequency + organization-defined frequency + + SI-1 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Develops, documents, and disseminates to :

+ SI-1a. + +

A system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

+ SI-1a.1. +
+ +

Procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls; and

+ SI-1a.2. +
+
+ +

Reviews and updates the current:

+ SI-1b. + +

System and information integrity policy ; and

+ SI-1b.1. +
+ +

System and information integrity procedures .

+ SI-1b.2. +
+
+
+ +

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

+ +
+ +

Determine if the organization:

+ + SI-1(a)(1) + +

develops and documents a system and information integrity policy that addresses:

+ SI-1(a)(1)[1] + +

purpose;

+ SI-1(a)(1)[1][a] +
+ +

scope;

+ SI-1(a)(1)[1][b] +
+ +

roles;

+ SI-1(a)(1)[1][c] +
+ +

responsibilities;

+ SI-1(a)(1)[1][d] +
+ +

management commitment;

+ SI-1(a)(1)[1][e] +
+ +

coordination among organizational entities;

+ SI-1(a)(1)[1][f] +
+ +

compliance;

+ SI-1(a)(1)[1][g] +
+
+ +

defines personnel or roles to whom the system and information integrity policy is to be disseminated;

+ SI-1(a)(1)[2] +
+ +

disseminates the system and information integrity policy to organization-defined personnel or roles;

+ SI-1(a)(1)[3] +
+
+ + SI-1(a)(2) + +

develops and documents procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls;

+ SI-1(a)(2)[1] +
+ +

defines personnel or roles to whom the procedures are to be disseminated;

+ SI-1(a)(2)[2] +
+ +

disseminates the procedures to organization-defined personnel or roles;

+ SI-1(a)(2)[3] +
+
+ + SI-1(b)(1) + +

defines the frequency to review and update the current system and information integrity policy;

+ SI-1(b)(1)[1] +
+ +

reviews and updates the current system and information integrity policy with the organization-defined frequency;

+ SI-1(b)(1)[2] +
+
+ + SI-1(b)(2) + +

defines the frequency to review and update the current system and information integrity procedures; and

+ SI-1(b)(2)[1] +
+ +

reviews and updates the current system and information integrity procedures with the organization-defined frequency.

+ SI-1(b)(2)[2] +
+
+
+ +

System and information integrity policy and procedures

+ EXAMINE +
+ +

Organizational personnel with system and information integrity responsibilities

+ INTERVIEW +
+ + + NIST Special Publication 800-12 + + + NIST Special Publication 800-100 + + +
+ + FLAW REMEDIATION + + organization-defined time period + organization-defined time period + + SI-2 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Identifies, reports, and corrects information system flaws;

+ SI-2a. +
+ +

Tests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;

+ SI-2b. +
+ +

Installs security-relevant software and firmware updates within of the release of the updates; and

+ SI-2c. +
+ +

Incorporates flaw remediation into the organizational configuration management process.

+ SI-2d. +
+
+ +

Organizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.

+ + + + + + + + + + + +
+ +

Determine if the organization:

+ + SI-2(a) + +

identifies information system flaws;

+ SI-2(a)[1] +
+ +

reports information system flaws;

+ SI-2(a)[2] +
+ +

corrects information system flaws;

+ SI-2(a)[3] +
+
+ + SI-2(b) + +

tests software updates related to flaw remediation for effectiveness and potential side effects before installation;

+ SI-2(b)[1] +
+ +

tests firmware updates related to flaw remediation for effectiveness and potential side effects before installation;

+ SI-2(b)[2] +
+
+ + SI-2(c) + +

defines the time period within which to install security-relevant software updates after the release of the updates;

+ SI-2(c)[1] +
+ +

defines the time period within which to install security-relevant firmware updates after the release of the updates;

+ SI-2(c)[2] +
+ +

installs software updates within the organization-defined time period of the release of the updates;

+ SI-2(c)[3] +
+ +

installs firmware updates within the organization-defined time period of the release of the updates; and

+ SI-2(c)[4] +
+
+ +

incorporates flaw remediation into the organizational configuration management process.

+ SI-2(d) +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for identifying, reporting, and correcting information system flaws

+ TEST +
+ + CENTRAL MANAGEMENT + SI-2 (1) + HIGH + +

The organization centrally manages the flaw remediation process.

+
+ +

Central management is the organization-wide management and implementation of flaw remediation processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation security controls.

+
+ +

Determine if the organization centrally manages the flaw remediation process.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for central management of the flaw remediation process

+ TEST +
+
+ + AUTOMATED FLAW REMEDIATION STATUS + SI-2 (2) + MODERATE + HIGH + +

The organization employs automated mechanisms to determine the state of information system components with regard to flaw remediation.

+
+ + + + + +

Determine if the organization:

+ +

defines a frequency to employ automated mechanisms to determine the state of information system components with regard to flaw remediation; and

+ SI-2(2)[1] +
+ +

employs automated mechanisms with the organization-defined frequency to determine the state of information system components with regard to flaw remediation.

+ SI-2(2)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms used to determine the state of information system components with regard to flaw remediation

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+ + TIME TO REMEDIATE FLAWS / BENCHMARKS FOR CORRECTIVE ACTIONS + SI-2 (3) + +

The organization:

+ +

Measures the time between flaw identification and flaw remediation; and

+ SI-2 (3)(a) +
+ +

Establishes for taking corrective actions.

+ SI-2 (3)(b) +
+
+ +

This control enhancement requires organizations to determine the current time it takes on the average to correct information system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by type of flaw and/or severity of the potential vulnerability if the flaw can be exploited.

+
+ +

Determine if the organization:

+ +

measures the time between flaw identification and flaw remediation;

+ SI-2(3)(a) +
+ + SI-2(3)(b) + +

defines benchmarks for taking corrective actions; and

+ SI-2(3)(b)[1] +
+ +

establishes organization-defined benchmarks for taking corrective actions.

+ SI-2(3)(b)[2] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for identifying, reporting, and correcting information system flaws

+ TEST +
+ + organization-defined benchmarks + organization-defined benchmarks + +
+ + AUTOMATED PATCH MANAGEMENT TOOLS + SI-2 (4) + +

Incorporated into SI-2.

+
+ +
+ + AUTOMATIC SOFTWARE / FIRMWARE UPDATES + SI-2 (5) + +

The organization installs automatically to .

+
+ +

Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates. Organizations must balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and with any mission or operational impacts that automatic updates might impose.

+
+ +

Determine if the organization:

+ + SI-2(5)[1] + +

defines information system components requiring security-relevant software updates to be automatically installed;

+ SI-2(5)[1][a] +
+ +

defines information system components requiring security-relevant firmware updates to be automatically installed;

+ SI-2(5)[1][b] +
+
+ + SI-2(5)[2] + +

defines security-relevant software updates to be automatically installed to organization-defined information system components;

+ SI-2(5)[2][a] +
+ +

defines security-relevant firmware updates to be automatically installed to organization-defined information system components;

+ SI-2(5)[2][b] +
+
+ + SI-2(5)[3] + +

installs organization-defined security-relevant software updates automatically to organization-defined information system components; and

+ SI-2(5)[3][a] +
+ +

installs organization-defined security-relevant firmware updates automatically to organization-defined information system components.

+ SI-2(5)[3][b] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms implementing automatic software/firmware updates

+ TEST +
+ + organization-defined security-relevant software and firmware updates + organization-defined security-relevant software and firmware updates + + + organization-defined information system components + organization-defined information system components + +
+ + REMOVAL OF PREVIOUS VERSIONS OF SOFTWARE / FIRMWARE + SI-2 (6) + +

The organization removes after updated versions have been installed.

+
+ +

Previous versions of software and/or firmware components that are not removed from the information system after updates have been installed may be exploited by adversaries. Some information technology products may remove older versions of software and/or firmware automatically from the information system.

+
+ +

Determine if the organization:

+ + SI-2(6)[1] + +

defines software components to be removed after updated versions have been installed;

+ SI-2(6)[1][a] +
+ +

defines firmware components to be removed after updated versions have been installed;

+ SI-2(6)[1][b] +
+
+ + SI-2(6)[2] + +

removes organization-defined software components after updated versions have been installed; and

+ SI-2(6)[2][a] +
+ +

removes organization-defined firmware components after updated versions have been installed.

+ SI-2(6)[2][b] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing removal of previous versions of software/firmware

+ TEST +
+ + organization-defined software and firmware components + organization-defined software and firmware components + +
+ + + NIST Special Publication 800-40 + + + NIST Special Publication 800-128 + + +
+ + MALICIOUS CODE PROTECTION + + organization-defined frequency + organization-defined frequency + + + organization-defined action + organization-defined action + + SI-3 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Employs malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code;

+ SI-3a. +
+ +

Updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures;

+ SI-3b. +
+ +

Configures malicious code protection mechanisms to:

+ SI-3c. + +

Perform periodic scans of the information system and real-time scans of files from external sources at [Selection (one or more); endpoint; network entry/exit points] as the files are downloaded, opened, or executed in accordance with organizational security policy; and

+ SI-3c.1. +
+ +

[Selection (one or more): block malicious code; quarantine malicious code; send alert to administrator; ] in response to malicious code detection; and

+ SI-3c.2. +
+
+ +

Addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.

+ SI-3d. +
+
+ +

Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden in files using steganography. Malicious code can be transported by different means including, for example, web accesses, electronic mail, electronic mail attachments, and portable storage devices. Malicious code insertions occur through the exploitation of information system vulnerabilities. Malicious code protection mechanisms include, for example, anti-virus signature definitions and reputation-based technologies. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Pervasive configuration management and comprehensive software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions/business functions. Traditional malicious code protection mechanisms cannot always detect such code. In these situations, organizations rely instead on other safeguards including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, and/or actions in response to detection of maliciousness when attempting to open or execute files.

+ + + + + + + + + + + + +
+ +

Determine if the organization:

+ +

employs malicious code protection mechanisms to detect and eradicate malicious code at information system:

+ SI-3(a) + +

entry points;

+ SI-3(a)[1] +
+ +

exit points;

+ SI-3(a)[2] +
+
+ +

updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures (as identified in CM-1);

+ SI-3(b) +
+ + SI-3(c) + +

defines a frequency for malicious code protection mechanisms to perform periodic scans of the information system;

+ SI-3(c)[1] +
+ +

defines action to be initiated by malicious protection mechanisms in response to malicious code detection;

+ SI-3(c)[2] +
+ + SI-3(c)[3] + +

configures malicious code protection mechanisms to:

+ SI-3(c)[3](1) + +

perform periodic scans of the information system with the organization-defined frequency;

+ SI-3(c)[3](1)[a] +
+ +

perform real-time scans of files from external sources at endpoint and/or network entry/exit points as the files are downloaded, opened, or executed in accordance with organizational security policy;

+ SI-3(c)[3](1)[b] +
+
+ +

configures malicious code protection mechanisms to do one or more of the following:

+ SI-3(c)[3](2) + +

block malicious code in response to malicious code detection;

+ SI-3(c)[3](2)[a] +
+ +

quarantine malicious code in response to malicious code detection;

+ SI-3(c)[3](2)[b] +
+ +

send alert to administrator in response to malicious code detection; and/or

+ SI-3(c)[3](2)[c] +
+ +

initiate organization-defined action in response to malicious code detection;

+ SI-3(c)[3](2)[d] +
+
+
+
+ + SI-3(d) + +

addresses the receipt of false positives during malicious code detection and eradication; and

+ SI-3(d)[1] +
+ +

addresses the resulting potential impact on the availability of the information system.

+ SI-3(d)[2] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for employing, updating, and configuring malicious code protection mechanisms

+ TEST +
+ + CENTRAL MANAGEMENT + SI-3 (1) + MODERATE + HIGH + +

The organization centrally manages malicious code protection mechanisms.

+
+ +

Central management is the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw malicious code protection security controls.

+ + +
+ +

Determine if the organization centrally manages malicious code protection mechanisms.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for central management of malicious code protection mechanisms

+ TEST +
+
+ + AUTOMATIC UPDATES + SI-3 (2) + MODERATE + HIGH + +

The information system automatically updates malicious code protection mechanisms.

+
+ +

Malicious code protection mechanisms include, for example, signature definitions. Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates.

+ +
+ +

Determine if the information system automatically updates malicious code protection mechanisms.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing automatic updates to malicious code protection capability

+ TEST +
+
+ + NON-PRIVILEGED USERS + SI-3 (3) + +

Incorporated into AC-6 (10).

+
+ +
+ + UPDATES ONLY BY PRIVILEGED USERS + SI-3 (4) + +

The information system updates malicious code protection mechanisms only when directed by a privileged user.

+
+ +

This control enhancement may be appropriate for situations where for reasons of security or operational continuity, updates are only applied when selected/approved by designated organizational personnel.

+ + +
+ +

Determine if the information system updates malicious code protection mechanisms only when directed by a privileged user.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing malicious code protection capability

+ TEST +
+
+ + PORTABLE STORAGE DEVICES + SI-3 (5) + +

Incorporated into MP-7.

+
+ +
+ + TESTING / VERIFICATION + SI-3 (6) + +

The organization:

+ +

Tests malicious code protection mechanisms by introducing a known benign, non-spreading test case into the information system; and

+ SI-3 (6)(a) +
+ +

Verifies that both detection of the test case and associated incident reporting occur.

+ SI-3 (6)(b) +
+
+ + + + + + +

Determine if the organization:

+ + SI-3(6)(a) + +

defines a frequency to test malicious code protection mechanisms;

+ SI-3(6)(a)[1] +
+ +

tests malicious code protection mechanisms with the organization-defined frequency by introducing a known benign, non-spreading test case into the information system;

+ SI-3(6)(a)[2] +
+
+ + SI-3(6)(b) + +

verifies that detection of the test case occurs; and

+ SI-3(6)(b)[1] +
+ +

verifies that associated incident reporting occurs.

+ SI-3(6)(b)[2] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing testing and verification of malicious code protection capability

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+ + NONSIGNATURE-BASED DETECTION + SI-3 (7) + +

The information system implements nonsignature-based malicious code detection mechanisms.

+
+ +

Nonsignature-based detection mechanisms include, for example, the use of heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide safeguards against malicious code for which signatures do not yet exist or for which existing signatures may not be effective. This includes polymorphic malicious code (i.e., code that changes signatures when it replicates). This control enhancement does not preclude the use of signature-based detection mechanisms.

+
+ +

Determine if the information system implements non signature-based malicious code detection mechanisms.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing nonsignature-based malicious code protection capability

+ TEST +
+
+ + DETECT UNAUTHORIZED COMMANDS + SI-3 (8) + +

The information system detects through the kernel application programming interface at and [Selection (one or more): issues a warning; audits the command execution; prevents the execution of the command].

+
+ +

This control enhancement can also be applied to critical interfaces other than kernel-based interfaces, including for example, interfaces with virtual machines and privileged applications. Unauthorized operating system commands include, for example, commands for kernel functions from information system processes that are not trusted to initiate such commands, or commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can define hardware components by specific component, component type, location in the network, or combination therein. Organizations may select different actions for different types/classes/specific instances of potentially malicious commands.

+ +
+ +

Determine if:

+ +

the organization defines unauthorized operating system commands to be detected by the information system;

+ SI-3(8)[1] +
+ +

the organization defines information system hardware components for which organization-defined unauthorized operating system commands are to be detected through the kernel application programming interface;

+ SI-3(8)[2] +
+ +

the information system detects organization-defined unauthorized operating system commands through the kernel application programming interface at organization-defined information system hardware components, and does one or more of the following:

+ SI-3(8)[3] + +

issues a warning;

+ SI-3(8)[3][a] +
+ +

audits the command execution; and/or

+ SI-3(8)[3][b] +
+ +

prevents the execution of the command.

+ SI-3(8)[3][c] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing malicious code protection capability

+ TEST +
+ + organization-defined unauthorized operating system commands + organization-defined unauthorized operating system commands + + + organization-defined information system hardware components + organization-defined information system hardware components + +
+ + AUTHENTICATE REMOTE COMMANDS + SI-3 (9) + +

The information system implements to authenticate .

+
+ +

This control enhancement protects against unauthorized commands and replay of authorized commands. This capability is important for those remote information systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or serious consequences (e.g., injury or death, property damage, loss of high-valued assets or sensitive information, or failure of important missions/business functions). Authentication safeguards for remote commands help to ensure that information systems accept and execute in the order intended, only authorized commands, and that unauthorized commands are rejected. Cryptographic mechanisms can be employed, for example, to authenticate remote commands.

+ + + +
+ +

Determine if:

+ +

the organization defines security safeguards to be implemented by the information system to authenticate organization-defined remote commands;

+ SI-3(9)[1] +
+ +

the organization defines remote commands to be authenticated by organization-defined security safeguards; and

+ SI-3(9)[2] +
+ +

the information system implements organization-defined security safeguards to authenticate organization-defined remote commands.

+ SI-3(9)[3] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing malicious code protection capability

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined remote commands + organization-defined remote commands + +
+ + MALICIOUS CODE ANALYSIS + SI-3 (10) + +

The organization:

+ +

Employs to analyze the characteristics and behavior of malicious code; and

+ SI-3 (10)(a) +
+ +

Incorporates the results from malicious code analysis into organizational incident response and flaw remediation processes.

+ SI-3 (10)(b) +
+
+ +

The application of selected malicious code analysis tools and techniques provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates more effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by using reverse engineering techniques or by monitoring the behavior of executing code.

+
+ +

Determine if the organization:

+ + SI-3(10)(a) + +

defines tools and techniques to be employed to analyze the characteristics and behavior of malicious code;

+ SI-3(10)(a)[1] +
+ +

employs organization-defined tools and techniques to analyze the characteristics and behavior of malicious code; and

+ SI-3(10)(a)[2] +
+
+ +

incorporates the results from malicious code analysis into incident response and flaw remediate processes.

+ SI-3(10)(b) +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational process for incident response

+ TEST +
+ + organization-defined tools and techniques + organization-defined tools and techniques + +
+ + + NIST Special Publication 800-83 + + +
+ + INFORMATION SYSTEM MONITORING + + organization-defined monitoring objectives + organization-defined monitoring objectives + + + organization-defined techniques and methods + organization-defined techniques and methods + + + organization-defined information system monitoring information + organization-defined information system monitoring information + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined frequency + organization-defined frequency + + SI-4 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Monitors the information system to detect:

+ SI-4a. + +

Attacks and indicators of potential attacks in accordance with ; and

+ SI-4a.1. +
+ +

Unauthorized local, network, and remote connections;

+ SI-4a.2. +
+
+ +

Identifies unauthorized use of the information system through ;

+ SI-4b. +
+ +

Deploys monitoring devices:

+ SI-4c. + +

Strategically within the information system to collect organization-determined essential information; and

+ SI-4c.1. +
+ +

At ad hoc locations within the system to track specific types of transactions of interest to the organization;

+ SI-4c.2. +
+
+ +

Protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;

+ SI-4d. +
+ +

Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;

+ SI-4e. +
+ +

Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and

+ SI-4f. +
+ +

Provides to [Selection (one or more): as needed; ].

+ SI-4g. +
+
+ +

Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless.

+ + + + + + + + + + + + + + + + + + +
+ +

Determine if the organization:

+ + SI-4(a) + + SI-4(a)(1) + +

defines monitoring objectives to detect attacks and indicators of potential attacks on the information system;

+ SI-4(a)(1)[1] +
+ +

monitors the information system to detect, in accordance with organization-defined monitoring objectives,:

+ SI-4(a)(1)[2] + +

attacks;

+ SI-4(a)(1)[2][a] +
+ +

indicators of potential attacks;

+ SI-4(a)(1)[2][b] +
+
+
+ +

monitors the information system to detect unauthorized:

+ SI-4(a)(2) + +

local connections;

+ SI-4(a)(2)[1] +
+ +

network connections;

+ SI-4(a)(2)[2] +
+ +

remote connections;

+ SI-4(a)(2)[3] +
+
+
+ + SI-4(b) + +

defines techniques and methods to identify unauthorized use of the information system;

+ SI-4(b)(1) +
+ +

identifies unauthorized use of the information system through organization-defined techniques and methods;

+ SI-4(b)(2) +
+
+ +

deploys monitoring devices:

+ SI-4(c) + +

strategically within the information system to collect organization-determined essential information;

+ SI-4(c)[1] +
+ +

at ad hoc locations within the system to track specific types of transactions of interest to the organization;

+ SI-4(c)[2] +
+
+ +

protects information obtained from intrusion-monitoring tools from unauthorized:

+ SI-4(d) + +

access;

+ SI-4(d)[1] +
+ +

modification;

+ SI-4(d)[2] +
+ +

deletion;

+ SI-4(d)[3] +
+
+ +

heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;

+ SI-4(e) +
+ +

obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations;

+ SI-4(f) +
+ + SI-4(g) + +

defines personnel or roles to whom information system monitoring information is to be provided;

+ SI-4(g)[1] +
+ +

defines information system monitoring information to be provided to organization-defined personnel or roles;

+ SI-4(g)[2] +
+ +

defines a frequency to provide organization-defined information system monitoring to organization-defined personnel or roles;

+ SI-4(g)[3] +
+ +

provides organization-defined information system monitoring information to organization-defined personnel or roles one or more of the following:

+ SI-4(g)[4] + +

as needed; and/or

+ SI-4(g)[4][a] +
+ +

with the organization-defined frequency.

+ SI-4(g)[4][b] +
+
+
+
+ +

Continuous monitoring strategy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for information system monitoring

+ TEST +
+ + SYSTEM-WIDE INTRUSION DETECTION SYSTEM + SI-4 (1) + +

The organization connects and configures individual intrusion detection tools into an information system-wide intrusion detection system.

+
+ +

Determine if the organization:

+ +

connects individual intrusion detection tools into an information system-wide intrusion detection system; and

+ SI-4(1)[1] +
+ +

configures individual intrusion detection tools into an information system-wide intrusion detection system.

+ SI-4(1)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection/information system monitoring

+ TEST +
+
+ + AUTOMATED TOOLS FOR REAL-TIME ANALYSIS + SI-4 (2) + MODERATE + HIGH + +

The organization employs automated tools to support near real-time analysis of events.

+
+ +

Automated tools include, for example, host-based, network-based, transport-based, or storage-based event monitoring tools or Security Information and Event Management (SIEM) technologies that provide real time analysis of alerts and/or notifications generated by organizational information systems.

+
+ +

Determine if the organization employs automated tools to support near real-time analysis of events.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for near real-time analysis of events

+ TEST +
+
+ + AUTOMATED TOOL INTEGRATION + SI-4 (3) + +

The organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.

+
+ +

Determine if the organization, for rapid response to attacks by enabling reconfiguration of intrusion detection tools in support of attack isolation and elimination, employs automated tools to integrate intrusion detection tools into:

+ +

access control mechanisms; and

+ SI-4(3)[1] +
+ +

flow control mechanisms.

+ SI-4(3)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection/information system monitoring

+ TEST +
+
+ + INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC + SI-4 (4) + MODERATE + HIGH + +

The information system monitors inbound and outbound communications traffic for unusual or unauthorized activities or conditions.

+
+ +

Unusual/unauthorized activities or conditions related to information system inbound and outbound communications traffic include, for example, internal traffic that indicates the presence of malicious code within organizational information systems or propagating among system components, the unauthorized exporting of information, or signaling to external information systems. Evidence of malicious code is used to identify potentially compromised information systems or information system components.

+
+ +

Determine if the organization:

+ +

defines a frequency to monitor:

+ SI-4(4)[1] + +

inbound communications traffic for unusual or unauthorized activities or conditions;

+ SI-4(4)[1][a] +
+ +

outbound communications traffic for unusual or unauthorized activities or conditions;

+ SI-4(4)[1][b] +
+
+ +

monitors, with the organization-defined frequency:

+ SI-4(4)[2] + +

inbound communications traffic for unusual or unauthorized activities or conditions; and

+ SI-4(4)[2][a] +
+ +

outbound communications traffic for unusual or unauthorized activities or conditions.

+ SI-4(4)[2][b] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection/information system monitoring

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+ + SYSTEM-GENERATED ALERTS + SI-4 (5) + MODERATE + HIGH + +

The information system alerts when the following indications of compromise or potential compromise occur: .

+
+ +

Alerts may be generated from a variety of sources, including, for example, audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the notification list can include, for example, system administrators, mission/business owners, system owners, or information system security officers.

+ + +
+ +

Determine if:

+ +

the organization defines compromise indicators for the information system;

+ SI-4(5)[1] +
+ +

the organization defines personnel or roles to be alerted when indications of compromise or potential compromise occur; and

+ SI-4(5)[2] +
+ +

the information system alerts organization-defined personnel or roles when organization-defined compromise indicators occur.

+ SI-4(5)[3] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection/information system monitoring

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined compromise indicators + organization-defined compromise indicators + +
+ + RESTRICT NON-PRIVILEGED USERS + SI-4 (6) + +

Incorporated into AC-6 (10).

+
+ +
+ + AUTOMATED RESPONSE TO SUSPICIOUS EVENTS + SI-4 (7) + +

The information system notifies of detected suspicious events and takes .

+
+ +

Least-disruptive actions may include, for example, initiating requests for human responses.

+
+ +

Determine if:

+ +

the organization defines incident response personnel (identified by name and/or by role) to be notified of detected suspicious events;

+ SI-4(7)[1] +
+ +

the organization defines least-disruptive actions to be taken by the information system to terminate suspicious events;

+ SI-4(7)[2] +
+ +

the information system notifies organization-defined incident response personnel of detected suspicious events; and

+ SI-4(7)[3] +
+ +

the information system takes organization-defined least-disruptive actions to terminate suspicious events.

+ SI-4(7)[4] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection/information system monitoring

+ TEST +
+ + organization-defined incident response personnel (identified by name and/or by role) + organization-defined incident response personnel (identified by name and/or by role) + + + organization-defined least-disruptive actions to terminate suspicious events + organization-defined least-disruptive actions to terminate suspicious events + +
+ + PROTECTION OF MONITORING INFORMATION + SI-4 (8) + +

Incorporated into SI-4.

+
+ +
+ + TESTING OF MONITORING TOOLS + SI-4 (9) + +

The organization tests intrusion-monitoring tools .

+
+ +

Testing intrusion-monitoring tools is necessary to ensure that the tools are operating correctly and continue to meet the monitoring objectives of organizations. The frequency of testing depends on the types of tools used by organizations and methods of deployment.

+ +
+ +

Determine if the organization:

+ +

defines a frequency to test intrusion-monitoring tools; and

+ SI-4(9)[1] +
+ +

tests intrusion-monitoring tools with the organization-defined frequency.

+ SI-4(9)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection/information system monitoring

+ TEST +
+ + organization-defined frequency + organization-defined frequency + +
+ + VISIBILITY OF ENCRYPTED COMMUNICATIONS + SI-4 (10) + +

The organization makes provisions so that is visible to .

+
+ +

Organizations balance the potentially conflicting needs for encrypting communications traffic and for having insight into such traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of communications traffic is paramount; for others, mission-assurance is of greater concern. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.

+
+ +

Determine if the organization:

+ +

defines encrypted communications traffic required to be visible to information system monitoring tools;

+ SI-4(10)[1] +
+ +

defines information system monitoring tools to be provided access to organization-defined encrypted communications traffic; and

+ SI-4(10)[2] +
+ +

makes provisions so that organization-defined encrypted communications traffic is visible to organization-defined information system monitoring tools.

+ SI-4(10)[3] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection/information system monitoring

+ TEST +
+ + organization-defined encrypted communications traffic + organization-defined encrypted communications traffic + + + organization-defined information system monitoring tools + organization-defined information system monitoring tools + +
+ + ANALYZE COMMUNICATIONS TRAFFIC ANOMALIES + SI-4 (11) + +

The organization analyzes outbound communications traffic at the external boundary of the information system and selected to discover anomalies.

+
+ +

Anomalies within organizational information systems include, for example, large file transfers, long-time persistent connections, unusual protocols and ports in use, and attempted communications with suspected malicious external addresses.

+
+ +

Determine if the organization:

+ +

defines interior points within the system (e.g., subnetworks, subsystems) where communications traffic is to be analyzed;

+ SI-4(11)[1] +
+ +

analyzes outbound communications traffic to discover anomalies at:

+ SI-4(11)[2] + +

the external boundary of the information system; and

+ SI-4(11)[2][a] +
+ +

selected organization-defined interior points within the system.

+ SI-4(11)[2][b] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection/information system monitoring

+ TEST +
+ + organization-defined interior points within the system (e.g., subnetworks, subsystems) + organization-defined interior points within the system (e.g., subnetworks, subsystems) + +
+ + AUTOMATED ALERTS + SI-4 (12) + +

The organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: .

+
+ +

This control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by information systems in SI-4 (5), which tend to focus on information sources internal to the systems (e.g., audit records), the sources of information for this enhancement can include other entities as well (e.g., suspicious activity reports, reports on potential insider threats).

+ + +
+ +

Determine if the organization:

+ +

defines activities that trigger alerts to security personnel based on inappropriate or unusual activities with security implications; and

+ SI-4(12)[1] +
+ +

employs automated mechanisms to alert security personnel of organization-defined activities that trigger alerts based on inappropriate or unusual activities with security implications.

+ SI-4(12)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection/information system monitoring

+ TEST +
+ + organization-defined activities that trigger alerts + organization-defined activities that trigger alerts + +
+ + ANALYZE TRAFFIC / EVENT PATTERNS + SI-4 (13) + +

The organization:

+ +

Analyzes communications traffic/event patterns for the information system;

+ SI-4 (13)(a) +
+ +

Develops profiles representing common traffic patterns and/or events; and

+ SI-4 (13)(b) +
+ +

Uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and the number of false negatives.

+ SI-4 (13)(c) +
+
+ +

Determine if the organization:

+ +

analyzes communications traffic/event patterns for the information system;

+ SI-4(13)(a) +
+ +

develops profiles representing common traffic patterns and/or events;

+ SI-4(13)(b) +
+ +

uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and false negatives.

+ SI-4(13)(c) +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection/information system monitoring

+ TEST +
+
+ + WIRELESS INTRUSION DETECTION + SI-4 (14) + +

The organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.

+
+ +

Wireless signals may radiate beyond the confines of organization-controlled facilities. Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. Scans are not limited to those areas within facilities containing information systems, but also include areas outside of facilities as needed, to verify that unauthorized wireless access points are not connected to the systems.

+ + +
+ +

Determine if the organization employs a wireless intrusion detection system to:

+ +

identify rogue wireless devices;

+ SI-4(14)[1] +
+ +

detect attack attempts to the information system; and

+ SI-4(14)[2] +
+ +

detect potential compromises/breaches to the information system.

+ SI-4(14)[3] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection

+ TEST +
+
+ + WIRELESS TO WIRELINE COMMUNICATIONS + SI-4 (15) + +

The organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.

+
+ + + + +

Determine if the organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection/information system monitoring

+ TEST +
+
+ + CORRELATE MONITORING INFORMATION + SI-4 (16) + +

The organization correlates information from monitoring tools employed throughout the information system.

+
+ +

Correlating information from different monitoring tools can provide a more comprehensive view of information system activity. The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns. Understanding the capabilities/limitations of diverse monitoring tools and how to maximize the utility of information generated by those tools can help organizations to build, operate, and maintain effective monitoring programs.

+ +
+ +

Determine if the organization correlates information from monitoring tools employed throughout the information system.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection/information system monitoring

+ TEST +
+
+ + INTEGRATED SITUATIONAL AWARENESS + SI-4 (17) + +

The organization correlates information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness.

+
+ +

This control enhancement correlates monitoring information from a more diverse set of information sources to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated cyber attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4 (16) which correlates the various cyber monitoring information, this control enhancement correlates monitoring beyond just the cyber domain. Such monitoring may help reveal attacks on organizations that are operating across multiple attack vectors.

+ +
+ +

Determine if the organization, to achieve integrated, organization-wide situational awareness, correlates information from monitoring:

+ +

physical activities;

+ SI-4(17)[1] +
+ +

cyber activities; and

+ SI-4(17)[2] +
+ +

supply chain activities.

+ SI-4(17)[3] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection/information system monitoring

+ TEST +
+
+ + ANALYZE TRAFFIC / COVERT EXFILTRATION + SI-4 (18) + +

The organization analyzes outbound communications traffic at the external boundary of the information system (i.e., system perimeter) and at to detect covert exfiltration of information.

+
+ +

Covert means that can be used for the unauthorized exfiltration of organizational information include, for example, steganography.

+
+ +

Determine if the organization:

+ +

defines interior points within the system (e.g., subsystems, subnetworks) where communications traffic is to be analyzed;

+ SI-4(18)[1] +
+ +

to detect covert exfiltration of information, analyzes outbound communications traffic at:

+ SI-4(18)[2] + +

the external boundary of the information system (i.e., system perimeter); and

+ SI-4(18)[2][a] +
+ +

organization-defined interior points within the system.

+ SI-4(18)[2][b] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for intrusion detection/information system monitoring

+ TEST +
+ + organization-defined interior points within the system (e.g., subsystems, subnetworks) + organization-defined interior points within the system (e.g., subsystems, subnetworks) + +
+ + INDIVIDUALS POSING GREATER RISK + SI-4 (19) + +

The organization implements of individuals who have been identified by as posing an increased level of risk.

+
+ +

Indications of increased risk from individuals can be obtained from a variety of sources including, for example, human resource records, intelligence agencies, law enforcement organizations, and/or other credible sources. The monitoring of individuals is closely coordinated with management, legal, security, and human resources officials within organizations conducting such monitoring and complies with federal legislation, Executive Orders, policies, directives, regulations, and standards.

+
+ +

Determine if the organization:

+ +

defines sources that identify individuals who pose an increased level of risk;

+ SI-4(19)[1] +
+ +

defines additional monitoring to be implemented on individuals who have been identified by organization-defined sources as posing an increased level of risk; and

+ SI-4(19)[2] +
+ +

implements organization-defined additional monitoring of individuals who have been identified by organization-defined sources as posing an increased level of risk.

+ SI-4(19)[3] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for information system monitoring

+ TEST +
+ + organization-defined additional monitoring + organization-defined additional monitoring + + + organization-defined sources + organization-defined sources + +
+ + PRIVILEGED USERS + SI-4 (20) + +

The organization implements of privileged users.

+
+ +

Determine if the organization:

+ +

defines additional monitoring to be implemented on privileged users; and

+ SI-4(20)[1] +
+ +

implements organization-defined additional monitoring of privileged users;

+ SI-4(20)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for information system monitoring

+ TEST +
+ + organization-defined additional monitoring + organization-defined additional monitoring + +
+ + PROBATIONARY PERIODS + SI-4 (21) + +

The organization implements of individuals during .

+
+ +

Determine if the organization:

+ +

defines additional monitoring to be implemented on individuals during probationary periods;

+ SI-4(21)[1] +
+ +

defines probationary period during which organization-defined additional monitoring of individuals is to be performed; and

+ SI-4(21)[2] +
+ +

implements organization-defined additional monitoring of individuals during organization-defined probationary period.

+ SI-4(21)[3] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for information system monitoring

+ TEST +
+ + organization-defined additional monitoring + organization-defined additional monitoring + + + organization-defined probationary period + organization-defined probationary period + +
+ + UNAUTHORIZED NETWORK SERVICES + SI-4 (22) + +

The information system detects network services that have not been authorized or approved by and [Selection (one or more): audits; alerts ].

+
+ +

Unauthorized or unapproved network services include, for example, services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services.

+ + + + +
+ +

Determine if:

+ +

the organization defines authorization or approval processes for network services;

+ SI-4(22)[1] +
+ +

the organization defines personnel or roles to be alerted upon detection of network services that have not been authorized or approved by organization-defined authorization or approval processes;

+ SI-4(22)[2] +
+ +

the information system detects network services that have not been authorized or approved by organization-defined authorization or approval processes and does one or more of the following:

+ SI-4(22)[3] + +

audits; and/or

+ SI-4(22)[3][a] +
+ +

alerts organization-defined personnel or roles.

+ SI-4(22)[3][b] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for information system monitoring

+ TEST +
+ + organization-defined authorization or approval processes + organization-defined authorization or approval processes + + + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + HOST-BASED DEVICES + SI-4 (23) + +

The organization implements at .

+
+ +

Information system components where host-based monitoring can be implemented include, for example, servers, workstations, and mobile devices. Organizations consider employing host-based monitoring mechanisms from multiple information technology product developers.

+
+ +

Determine if the organization:

+ +

defines host-based monitoring mechanisms to be implemented;

+ SI-4(23)[1] +
+ +

defines information system components where organization-defined host-based monitoring is to be implemented; and

+ SI-4(23)[2] +
+ +

implements organization-defined host-based monitoring mechanisms at organization-defined information system components.

+ SI-4(23)[3] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for information system monitoring

+ TEST +
+ + organization-defined host-based monitoring mechanisms + organization-defined host-based monitoring mechanisms + + + organization-defined information system components + organization-defined information system components + +
+ + INDICATORS OF COMPROMISE + SI-4 (24) + +

The information system discovers, collects, distributes, and uses indicators of compromise.

+
+ +

Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational information systems (at the host or network level). IOCs provide organizations with valuable information on objects or information systems that have been compromised. IOCs for the discovery of compromised hosts can include for example, the creation of registry key values. IOCs for network traffic include, for example, Universal Resource Locator (URL) or protocol elements that indicate malware command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that information systems and organizations are vulnerable to the same exploit or attack.

+
+ +

Determine if the information system:

+ +

discovers indicators of compromise;

+ SI-4(24)[1] +
+ +

collects indicators of compromise;

+ SI-4(24)[2] +
+ +

distributes indicators of compromise; and

+ SI-4(24)[3] +
+ +

uses indicators of compromise.

+ SI-4(24)[4] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

System/network administrators

+ INTERVIEW +
+ +

Organizational processes for information system monitoring

+ TEST +
+
+ + + NIST Special Publication 800-61 + + + NIST Special Publication 800-83 + + + NIST Special Publication 800-92 + + + NIST Special Publication 800-94 + + + NIST Special Publication 800-137 + + +
+ + SECURITY ALERTS, ADVISORIES, AND DIRECTIVES + + organization-defined external organizations + organization-defined external organizations + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined elements within the organization + organization-defined elements within the organization + + + organization-defined external organizations + organization-defined external organizations + + SI-5 + P1 + LOW + MODERATE + HIGH + +

The organization:

+ +

Receives information system security alerts, advisories, and directives from on an ongoing basis;

+ SI-5a. +
+ +

Generates internal security alerts, advisories, and directives as deemed necessary;

+ SI-5b. +
+ +

Disseminates security alerts, advisories, and directives to: [Selection (one or more): ; ; ]; and

+ SI-5c. +
+ +

Implements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance.

+ SI-5d. +
+
+ +

The United States Computer Emergency Readiness Team (US-CERT) generates security alerts and advisories to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include, for example, external mission/business partners, supply chain partners, external service providers, and other peer/supporting organizations.

+ +
+ +

Determine if the organization:

+ + SI-5(a) + +

defines external organizations from whom information system security alerts, advisories and directives are to be received;

+ SI-5(a)[1] +
+ +

receives information system security alerts, advisories, and directives from organization-defined external organizations on an ongoing basis;

+ SI-5(a)[2] +
+
+ +

generates internal security alerts, advisories, and directives as deemed necessary;

+ SI-5(b) +
+ + SI-5(c) + +

defines personnel or roles to whom security alerts, advisories, and directives are to be provided;

+ SI-5(c)[1] +
+ +

defines elements within the organization to whom security alerts, advisories, and directives are to be provided;

+ SI-5(c)[2] +
+ +

defines external organizations to whom security alerts, advisories, and directives are to be provided;

+ SI-5(c)[3] +
+ +

disseminates security alerts, advisories, and directives to one or more of the following:

+ SI-5(c)[4] + +

organization-defined personnel or roles;

+ SI-5(c)[4][a] +
+ +

organization-defined elements within the organization; and/or

+ SI-5(c)[4][b] +
+ +

organization-defined external organizations; and

+ SI-5(c)[4][c] +
+
+
+ + SI-5(d) + +

implements security directives in accordance with established time frames; or

+ SI-5(d)[1] +
+ +

notifies the issuing organization of the degree of noncompliance.

+ SI-5(d)[2] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with security alert and advisory responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives

+ TEST +
+ + AUTOMATED ALERTS AND ADVISORIES + SI-5 (1) + HIGH + +

The organization employs automated mechanisms to make security alert and advisory information available throughout the organization.

+
+ +

The significant number of changes to organizational information systems and the environments in which those systems operate requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational missions and business functions. Based on the information provided by the security alerts and advisories, changes may be required at one or more of the three tiers related to the management of information security risk including the governance level, mission/business process/enterprise architecture level, and the information system level.

+
+ +

Determine if the organization employs automated mechanisms to make security alert and advisory information available throughout the organization.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with security alert and advisory responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining, receiving, generating, and disseminating security alerts and advisories

+ TEST +
+
+ + + NIST Special Publication 800-40 + + +
+ + SECURITY FUNCTION VERIFICATION + + organization-defined security functions + organization-defined security functions + + + organization-defined system transitional states + organization-defined system transitional states + + + organization-defined frequency + organization-defined frequency + + + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined alternative action(s) + organization-defined alternative action(s) + + SI-6 + P1 + HIGH + +

The information system:

+ +

Verifies the correct operation of ;

+ SI-6a. +
+ +

Performs this verification [Selection (one or more): ; upon command by user with appropriate privilege; ];

+ SI-6b. +
+ +

Notifies of failed security verification tests; and

+ SI-6c. +
+ +

[Selection (one or more): shuts the information system down; restarts the information system; ] when anomalies are discovered.

+ SI-6d. +
+
+ +

Transitional states for information systems include, for example, system startup, restart, shutdown, and abort. Notifications provided by information systems include, for example, electronic alerts to system administrators, messages to local computer consoles, and/or hardware indications such as lights.

+ + +
+ +

Determine if:

+ + SI-6(a) + +

the organization defines security functions to be verified for correct operation;

+ SI-6(a)[1] +
+ +

the information system verifies the correct operation of organization-defined security functions;

+ SI-6(a)[2] +
+
+ + SI-6(b) + +

the organization defines system transitional states requiring verification of organization-defined security functions;

+ SI-6(b)[1] +
+ +

the organization defines a frequency to verify the correct operation of organization-defined security functions;

+ SI-6(b)[2] +
+ +

the information system performs this verification one or more of the following:

+ SI-6(b)[3] + +

at organization-defined system transitional states;

+ SI-6(b)[3][a] +
+ +

upon command by user with appropriate privilege; and/or

+ SI-6(b)[3][b] +
+ +

with the organization-defined frequency;

+ SI-6(b)[3][c] +
+
+
+ + SI-6(c) + +

the organization defines personnel or roles to be notified of failed security verification tests;

+ SI-6(c)[1] +
+ +

the information system notifies organization-defined personnel or roles of failed security verification tests;

+ SI-6(c)[2] +
+
+ + SI-6(d) + +

the organization defines alternative action(s) to be performed when anomalies are discovered;

+ SI-6(d)[1] +
+ +

the information system performs one or more of the following actions when anomalies are discovered:

+ SI-6(d)[2] + +

shuts the information system down;

+ SI-6(d)[2][a] +
+ +

restarts the information system; and/or

+ SI-6(d)[2][b] +
+ +

performs organization-defined alternative action(s).

+ SI-6(d)[2][c] +
+
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with security function verification responsibilities

+ INTERVIEW +
+ +

Organizational processes for security function verification

+ TEST +
+ + NOTIFICATION OF FAILED SECURITY TESTS + SI-6 (1) + +

Incorporated into SI-6.

+
+ +
+ + AUTOMATION SUPPORT FOR DISTRIBUTED TESTING + SI-6 (2) + +

The information system implements automated mechanisms to support the management of distributed security testing.

+
+ + + + +

Determine if the information system implements automated mechanisms to support the management of distributed security testing.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with security function verification responsibilities

+ INTERVIEW +
+ +

Organizational processes for security function verification

+ TEST +
+
+ + REPORT VERIFICATION RESULTS + SI-6 (3) + +

The organization reports the results of security function verification to .

+
+ +

Organizational personnel with potential interest in security function verification results include, for example, senior information security officers, information system security managers, and information systems security officers.

+ + + +
+ +

Determine if the organization:

+ +

defines personnel or roles designated to receive the results of security function verification; and

+ SI-6(3)[1] +
+ +

reports the results of security function verification to organization-defined personnel or roles.

+ SI-6(3)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with security function verification responsibilities

+ INTERVIEW +
+ +

Organizational processes for reporting security function verification results

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + +
+
+ + SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY + + organization-defined software, firmware, and information + organization-defined software, firmware, and information + + SI-7 + P1 + MODERATE + HIGH + +

The organization employs integrity verification tools to detect unauthorized changes to .

+
+ +

Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity (e.g., tampering). Software includes, for example, operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes, for example, the Basic Input Output System (BIOS). Information includes metadata such as security attributes associated with information. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications.

+ + + + +
+ +

Determine if the organization:

+ + SI-7[1] + +

defines software requiring integrity verification tools to be employed to detect unauthorized changes;

+ SI-7[1][a] +
+ +

defines firmware requiring integrity verification tools to be employed to detect unauthorized changes;

+ SI-7[1][b] +
+ +

defines information requiring integrity verification tools to be employed to detect unauthorized changes;

+ SI-7[1][c] +
+
+ +

employs integrity verification tools to detect unauthorized changes to organization-defined:

+ SI-7[2] + +

software;

+ SI-7[2][a] +
+ +

firmware; and

+ SI-7[2][b] +
+ +

information.

+ SI-7[2][c] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Software, firmware, and information integrity verification tools

+ TEST +
+ + INTEGRITY CHECKS + SI-7 (1) + MODERATE + HIGH + +

The information system performs an integrity check of [Selection (one or more): at startup; at ; ].

+
+ +

Security-relevant events include, for example, the identification of a new threat to which organizational information systems are susceptible, and the installation of new hardware, software, or firmware. Transitional states include, for example, system startup, restart, shutdown, and abort.

+
+ +

Determine if:

+ +

the organization defines:

+ SI-7(1)[1] + +

software requiring integrity checks to be performed;

+ SI-7(1)[1][a] +
+ +

firmware requiring integrity checks to be performed;

+ SI-7(1)[1][b] +
+ +

information requiring integrity checks to be performed;

+ SI-7(1)[1][c] +
+
+ +

the organization defines transitional states or security-relevant events requiring integrity checks of organization-defined:

+ SI-7(1)[2] + +

software;

+ SI-7(1)[2][a] +
+ +

firmware;

+ SI-7(1)[2][b] +
+ +

information;

+ SI-7(1)[2][c] +
+
+ +

the organization defines a frequency with which to perform an integrity check of organization-defined:

+ SI-7(1)[3] + +

software;

+ SI-7(1)[3][a] +
+ +

firmware;

+ SI-7(1)[3][b] +
+ +

information;

+ SI-7(1)[3][c] +
+
+ +

the information system performs an integrity check of organization-defined software, firmware, and information one or more of the following:

+ SI-7(1)[4] + +

at startup;

+ SI-7(1)[4][a] +
+ +

at organization-defined transitional states or security-relevant events; and/or

+ SI-7(1)[4][b] +
+ +

with the organization-defined frequency.

+ SI-7(1)[4][c] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Software, firmware, and information integrity verification tools

+ TEST +
+ + organization-defined software, firmware, and information + organization-defined software, firmware, and information + + + organization-defined transitional states or security-relevant events + organization-defined transitional states or security-relevant events + + + organization-defined frequency + organization-defined frequency + +
+ + AUTOMATED NOTIFICATIONS OF INTEGRITY VIOLATIONS + SI-7 (2) + HIGH + +

The organization employs automated tools that provide notification to upon discovering discrepancies during integrity verification.

+
+ +

The use of automated tools to report integrity violations and to notify organizational personnel in a timely matter is an essential precursor to effective risk response. Personnel having an interest in integrity violations include, for example, mission/business owners, information system owners, systems administrators, software developers, systems integrators, and information security officers.

+
+ +

Determine if the organization:

+ +

defines personnel or roles to whom notification is to be provided upon discovering discrepancies during integrity verification; and

+ SI-7(2)[1] +
+ +

employs automated tools that provide notification to organization-defined personnel or roles upon discovering discrepancies during integrity verification.

+ SI-7(2)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Software, firmware, and information integrity verification tools

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + CENTRALLY-MANAGED INTEGRITY TOOLS + SI-7 (3) + +

The organization employs centrally managed integrity verification tools.

+
+ + + + + + +

Determine if the organization employs centrally managed integrity verification tools.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for central management of integrity verification tools

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing central management of integrity verification tools

+ TEST +
+
+ + TAMPER-EVIDENT PACKAGING + SI-7 (4) + +

Incorporated into SA-12.

+
+ +
+ + AUTOMATED RESPONSE TO INTEGRITY VIOLATIONS + SI-7 (5) + HIGH + +

The information system automatically [Selection (one or more): shuts the information system down; restarts the information system; implements ] when integrity violations are discovered.

+
+ +

Organizations may define different integrity checking and anomaly responses: (i) by type of information (e.g., firmware, software, user data); (ii) by specific information (e.g., boot firmware, boot firmware for a specific types of machines); or (iii) a combination of both. Automatic implementation of specific safeguards within organizational information systems includes, for example, reversing the changes, halting the information system, or triggering audit alerts when unauthorized modifications to critical security files occur.

+
+ +

Determine if:

+ +

the organization defines security safeguards to be implemented when integrity violations are discovered;

+ SI-7(5)[1] +
+ +

the information system automatically performs one or more of the following actions when integrity violations are discovered:

+ SI-7(5)[2] + +

shuts the information system down;

+ SI-7(5)[2][a] +
+ +

restarts the information system; and/or

+ SI-7(5)[2][b] +
+ +

implements the organization-defined security safeguards.

+ SI-7(5)[2][c] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Software, firmware, and information integrity verification tools

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + +
+ + CRYPTOGRAPHIC PROTECTION + SI-7 (6) + +

The information system implements cryptographic mechanisms to detect unauthorized changes to software, firmware, and information.

+
+ +

Cryptographic mechanisms used for the protection of integrity include, for example, digital signatures and the computation and application of signed hashes using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information.

+ +
+ +

Determine if the information system employs cryptographic mechanism to detect unauthorized changes to:

+ +

software;

+ SI-7(6)[1] +
+ +

firmware; and

+ SI-7(6)[2] +
+ +

information.

+ SI-7(6)[3] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Software, firmware, and information integrity verification tools

+ TEST +
+
+ + INTEGRATION OF DETECTION AND RESPONSE + SI-7 (7) + MODERATE + HIGH + +

The organization incorporates the detection of unauthorized into the organizational incident response capability.

+
+ +

This control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended period of time and for possible legal actions. Security-relevant changes include, for example, unauthorized changes to established configuration settings or unauthorized elevation of information system privileges.

+ + + +
+ +

Determine if the organization:

+ +

defines unauthorized security-relevant changes to the information system; and

+ SI-7(7)[1] +
+ +

incorporates the detection of unauthorized organization-defined security-relevant changes to the information system into the organizational incident response capability.

+ SI-7(7)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Organizational processes for incorporating detection of unauthorized security-relevant changes into the incident response capability

+ TEST +
+ + organization-defined security-relevant changes to the information system + organization-defined security-relevant changes to the information system + +
+ + AUDITING CAPABILITY FOR SIGNIFICANT EVENTS + SI-7 (8) + +

The information system, upon detection of a potential integrity violation, provides the capability to audit the event and initiates the following actions: [Selection (one or more): generates an audit record; alerts current user; alerts ; ].

+
+ +

Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations.

+ + + +
+ +

Determine if:

+ +

the organization defines personnel or roles to be alerted upon detection of a potential integrity violation;

+ SI-7(8)[1] +
+ +

the organization defines other actions to be taken upon detection of a potential integrity violation;

+ SI-7(8)[2] +
+ + SI-7(8)[3] + +

the information system, upon detection of a potential integrity violation, provides the capability to audit the event;

+ SI-7(8)[3][a] +
+ +

the information system, upon detection of a potential integrity violation, initiates one or more of the following actions:

+ SI-7(8)[3][b] + +

generates an audit record;

+ SI-7(8)[3][b][1] +
+ +

alerts current user;

+ SI-7(8)[3][b][2] +
+ +

alerts organization-defined personnel or roles; and/or

+ SI-7(8)[3][b][3] +
+ +

organization-defined other actions.

+ SI-7(8)[3][b][4] +
+
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Software, firmware, and information integrity verification tools

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + + + organization-defined other actions + organization-defined other actions + +
+ + VERIFY BOOT PROCESS + SI-7 (9) + +

The information system verifies the integrity of the boot process of .

+
+ +

Ensuring the integrity of boot processes is critical to starting devices in known/trustworthy states. Integrity verification mechanisms provide organizational personnel with assurance that only trusted code is executed during boot processes.

+
+ +

Determine if:

+ +

the organization defines devices requiring integrity verification of the boot process; and

+ SI-7(9)[1] +
+ +

the information system verifies the integrity of the boot process of organization-defined devices.

+ SI-7(9)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Software, firmware, and information integrity verification tools

+ TEST +
+ + organization-defined devices + organization-defined devices + +
+ + PROTECTION OF BOOT FIRMWARE + SI-7 (10) + +

The information system implements to protect the integrity of boot firmware in .

+
+ +

Unauthorized modifications to boot firmware may be indicative of a sophisticated, targeted cyber attack. These types of cyber attacks can result in a permanent denial of service (e.g., if the firmware is corrupted) or a persistent malicious code presence (e.g., if code is embedded within the firmware). Devices can protect the integrity of the boot firmware in organizational information systems by: (i) verifying the integrity and authenticity of all updates to the boot firmware prior to applying changes to the boot devices; and (ii) preventing unauthorized processes from modifying the boot firmware.

+
+ +

Determine if:

+ +

the organization defines security safeguards to be implemented to protect the integrity of boot firmware in devices;

+ SI-7(10)[1] +
+ +

the organization defines devices requiring organization-defined security safeguards to be implemented to protect the integrity of boot firmware; and

+ SI-7(10)[2] +
+ +

the information system implements organization-defined security safeguards to protect the integrity of boot firmware in organization-defined devices.

+ SI-7(10)[3] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Software, firmware, and information integrity verification tools

+ TEST +
+ + organization-defined security safeguards + organization-defined security safeguards + + + organization-defined devices + organization-defined devices + +
+ + CONFINED ENVIRONMENTS WITH LIMITED PRIVILEGES + SI-7 (11) + +

The organization requires that execute in a confined physical or virtual machine environment with limited privileges.

+
+ +

Organizations identify software that may be of greater concern with regard to origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed.

+
+ +

Determine if the organization:

+ +

defines user-installed software to be executed in a confined physical or virtual machine environment with limited privileges; and

+ SI-7(11)[1] +
+ +

requires that organization-defined user-installed software execute in a confined physical or virtual machine environment with limited privileges.

+ SI-7(11)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Software, firmware, and information integrity verification tools

+ TEST +
+ + organization-defined user-installed software + organization-defined user-installed software + +
+ + INTEGRITY VERIFICATION + SI-7 (12) + +

The organization requires that the integrity of be verified prior to execution.

+
+ +

Organizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or code that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity including, for example, availability of checksums of adequate trustworthiness from software developers or vendors.

+
+ +

Determine if the organization:

+ +

defines user-installed software requiring integrity verification prior to execution; and

+ SI-7(12)[1] +
+ +

requires that the integrity of organization-defined user-installed software be verified prior to execution.

+ SI-7(12)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Software, firmware, and information integrity verification tools

+ TEST +
+ + organization-defined user-installed software + organization-defined user-installed software + +
+ + CODE EXECUTION IN PROTECTED ENVIRONMENTS + SI-7 (13) + +

The organization allows execution of binary or machine-executable code obtained from sources with limited or no warranty and without the provision of source code only in confined physical or virtual machine environments and with the explicit approval of .

+
+ +

This control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software.

+
+ +

Determine if the organization:

+ +

allows execution of binary or machine-executable code obtained from sources with limited or no warranty;

+ SI-7(13)[1] +
+ +

allows execution of binary or machine-executable code without the provision of source code only in confined physical or virtual machines;

+ SI-7(13)[2] +
+ +

defines personnel or roles required to provide explicit approval to allow execution of binary or machine-executable code; and

+ SI-7(13)[3] +
+ +

allows execution of binary or machine-executable code with the explicit approval of organization-defined personnel or roles.

+ SI-7(13)[4] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Software, firmware, and information integrity verification tools

+ TEST +
+ + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + BINARY OR MACHINE EXECUTABLE CODE + SI-7 (14) + HIGH + +

The organization:

+ +

Prohibits the use of binary or machine-executable code from sources with limited or no warranty and without the provision of source code; and

+ SI-7 (14)(a) +
+ +

Provides exceptions to the source code requirement only for compelling mission/operational requirements and with the approval of the authorizing official.

+ SI-7 (14)(b) +
+
+ +

This control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software. Organizations assess software products without accompanying source code from sources with limited or no warranty for potential security impacts. The assessments address the fact that these types of software products may be very difficult to review, repair, or extend, given that organizations, in most cases, do not have access to the original source code, and there may be no owners who could make such repairs on behalf of organizations.

+ +
+ +

Determine if the organization:

+ + SI-7(14)(a) + +

prohibits the use of binary or machine-executable code from sources with limited or no warranty;

+ SI-7(14)(a)[1] +
+ +

prohibits the use of binary or machine-executable code without the provision of source code;

+ SI-7(14)(a)[2] +
+
+ + SI-7(14)(b) + +

provides exceptions to the source code requirement only for compelling mission/operational requirements; and

+ SI-7(14)(b)[1] +
+ +

provides exceptions to the source code requirement only with the approval of the authorizing official.

+ SI-7(14)(b)[2] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing prohibition of the execution of binary or machine-executable code

+ TEST +
+
+ + CODE AUTHENTICATION + SI-7 (15) + +

The information system implements cryptographic mechanisms to authenticate prior to installation.

+
+ +

Cryptographic authentication includes, for example, verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code.

+
+ +

Determine if:

+ + SI-7(15)[1] + +

the organization defines software components to be authenticated by cryptographic mechanisms prior to installation;

+ SI-7(15)[1][a] +
+ +

the organization defines firmware components to be authenticated by cryptographic mechanisms prior to installation;

+ SI-7(15)[1][b] +
+
+ + SI-7(15)[2] + +

the information system implements cryptographic mechanisms to authenticate organization-defined software components prior to installation; and

+ SI-7(15)[2][a] +
+ +

the information system implements cryptographic mechanisms to authenticate organization-defined firmware components prior to installation.

+ SI-7(15)[2][b] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Cryptographic mechanisms authenticating software/firmware prior to installation

+ TEST +
+ + organization-defined software or firmware components + organization-defined software or firmware components + +
+ + TIME LIMIT ON PROCESS EXECUTION W/O SUPERVISION + SI-7 (16) + +

The organization does not allow processes to execute without supervision for more than .

+
+ +

This control enhancement addresses processes for which normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes, for example, operating system timers, automated responses, or manual oversight and response when information system process anomalies occur.

+
+ +

Determine if the organization:

+ +

defines a time period as the maximum period allowed for processes to execute without supervision; and

+ SI-7(16)[1] +
+ +

does not allow processes to execute without supervision for more than the organization-defined time period.

+ SI-7(16)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for software, firmware, and/or information integrity

+ INTERVIEW +
+ +

Software, firmware, and information integrity verification tools

+ TEST +
+ + organization-defined time period + organization-defined time period + +
+ + + NIST Special Publication 800-147 + + + NIST Special Publication 800-155 + + +
+ + SPAM PROTECTION + SI-8 + P2 + MODERATE + HIGH + +

The organization:

+ +

Employs spam protection mechanisms at information system entry and exit points to detect and take action on unsolicited messages; and

+ SI-8a. +
+ +

Updates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.

+ SI-8b. +
+
+ +

Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, mobile devices, and notebook/laptop computers. Spam can be transported by different means including, for example, electronic mail, electronic mail attachments, and web accesses. Spam protection mechanisms include, for example, signature definitions.

+ + + + + +
+ +

Determine if the organization:

+ +

employs spam protection mechanisms:

+ SI-8(a) + +

at information system entry points to detect unsolicited messages;

+ SI-8(a)[1] +
+ +

at information system entry points to take action on unsolicited messages;

+ SI-8(a)[2] +
+ +

at information system exit points to detect unsolicited messages;

+ SI-8(a)[3] +
+ +

at information system exit points to take action on unsolicited messages; and

+ SI-8(a)[4] +
+
+ +

updates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.

+ SI-8(b) +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for spam protection

+ INTERVIEW +
+ +

Organizational processes for implementing spam protection

+ TEST +
+ + CENTRAL MANAGEMENT + SI-8 (1) + MODERATE + HIGH + +

The organization centrally manages spam protection mechanisms.

+
+ +

Central management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection security controls.

+ + + +
+ +

Determine if the organization centrally manages spam protection mechanisms.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for spam protection

+ INTERVIEW +
+ +

Organizational processes for central management of spam protection

+ TEST +
+
+ + AUTOMATIC UPDATES + SI-8 (2) + MODERATE + HIGH + +

The information system automatically updates spam protection mechanisms.

+
+ +

Determine if the information system automatically updates spam protection mechanisms.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for spam protection

+ INTERVIEW +
+ +

Organizational processes for spam protection

+ TEST +
+
+ + CONTINUOUS LEARNING CAPABILITY + SI-8 (3) + +

The information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.

+
+ +

Learning mechanisms include, for example, Bayesian filters that respond to user inputs identifying specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic.

+
+ +

Determine if the information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for spam protection

+ INTERVIEW +
+ +

Organizational processes for spam protection

+ TEST +
+
+ + + NIST Special Publication 800-45 + + +
+ + INFORMATION INPUT RESTRICTIONS + SI-9 + +

Incorporated into AC-2, AC-3, AC-5, AC-6.

+
+ + + + +
+ + INFORMATION INPUT VALIDATION + + organization-defined information inputs + organization-defined information inputs + + SI-10 + P1 + MODERATE + HIGH + +

The information system checks the validity of .

+
+ +

Checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, and acceptable values) verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the tainted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation helps to ensure accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.

+
+ +

Determine if:

+ +

the organization defines information inputs requiring validity checks; and

+ SI-10[1] +
+ +

the information system checks the validity of organization-defined information inputs.

+ SI-10[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for information input validation

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing validity checks on information inputs

+ TEST +
+ + MANUAL OVERRIDE CAPABILITY + SI-10 (1) + +

The information system:

+ +

Provides a manual override capability for input validation of ;

+ SI-10 (1)(a) +
+ +

Restricts the use of the manual override capability to only ; and

+ SI-10 (1)(b) +
+ +

Audits the use of the manual override capability.

+ SI-10 (1)(c) +
+
+ + + + + +

Determine if:

+ + SI-10(1)(a) + +

the organization defines information inputs for which the information system provides a manual override capability for input validation;

+ SI-10(1)(a)[1] +
+ +

the information system provides a manual override capability for input validation of organization-defined inputs;

+ SI-10(1)(a)[2] +
+
+ + SI-10(1)(b) + +

the organization defines authorized individuals who can use the manual override capability;

+ SI-10(1)(b)[1] +
+ +

the information system restricts the use of manual override capability to organization-defined authorized individuals; and

+ SI-10(1)(b)[2] +
+
+ +

the information system audits the use of the manual override capability.

+ SI-10(1)(c) +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for information input validation

+ INTERVIEW +
+ +

Organizational processes for use of manual override capability

+ TEST +
+ + organization-defined inputs + organization-defined inputs + + + organization-defined authorized individuals + organization-defined authorized individuals + +
+ + REVIEW / RESOLUTION OF ERRORS + SI-10 (2) + +

The organization ensures that input validation errors are reviewed and resolved within .

+
+ +

Resolution of input validation errors includes, for example, correcting systemic causes of errors and resubmitting transactions with corrected input.

+
+ +

Determine if the organization:

+ +

defines a time period within which input validation errors are to be reviewed and resolved; and

+ SI-10(2)[1] +
+ +

ensures that input validation errors are reviewed and resolved within the organization-defined time period.

+ SI-10(2)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for information input validation

+ INTERVIEW +
+ +

Organizational processes for review and resolution of input validation errors

+ TEST +
+ + organization-defined time period + organization-defined time period + +
+ + PREDICTABLE BEHAVIOR + SI-10 (3) + +

The information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.

+
+ +

A common vulnerability in organizational information systems is unpredictable behavior when invalid inputs are received. This control enhancement ensures that there is predictable behavior in the face of invalid inputs by specifying information system responses that facilitate transitioning the system to known states without adverse, unintended side effects.

+
+ +

Determine if the information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for information input validation

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing predictable behavior when invalid inputs are received

+ TEST +
+
+ + REVIEW / TIMING INTERACTIONS + SI-10 (4) + +

The organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.

+
+ +

In addressing invalid information system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols within the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to collisions or noise on the link. If TCP makes a congestion response, it takes precisely the wrong action in response to a collision event. Adversaries may be able to use apparently acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input.

+
+ +

Determine if the organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.

+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for information input validation

+ INTERVIEW +
+ +

Organizational processes for determining appropriate responses to invalid inputs

+ TEST +
+
+ + RESTRICT INPUTS TO TRUSTED SOURCES AND APPROVED FORMATS + SI-10 (5) + +

The organization restricts the use of information inputs to and/or .

+
+ +

This control enhancement applies the concept of whitelisting to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity.

+
+ +

Determine if the organization:

+ +

defines trusted sources to which the use of information inputs is to be restricted;

+ SI-10(5)[1] +
+ +

defines formats to which the use of information inputs is to be restricted;

+ SI-10(5)[2] +
+ +

restricts the use of information inputs to:

+ SI-10(5)[3] + +

organization-defined trust sources; and/or

+ SI-10(5)[3][a] +
+ +

organization-defined formats.

+ SI-10(5)[3][b] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for information input validation

+ INTERVIEW +
+ +

Organizational processes for restricting information inputs

+ TEST +
+ + organization-defined trusted sources + organization-defined trusted sources + + + organization-defined formats + organization-defined formats + +
+
+ + ERROR HANDLING + + organization-defined personnel or roles + organization-defined personnel or roles + + SI-11 + P2 + MODERATE + HIGH + +

The information system:

+ +

Generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries; and

+ SI-11a. +
+ +

Reveals error messages only to .

+ SI-11b. +
+
+ +

Organizations carefully consider the structure/content of error messages. The extent to which information systems are able to identify and handle error conditions is guided by organizational policy and operational requirements. Information that could be exploited by adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as the username, mission/business information that can be derived from (if not stated explicitly by) information recorded, and personal information such as account numbers, social security numbers, and credit card numbers. In addition, error messages may provide a covert channel for transmitting information.

+ + + +
+ +

Determine if:

+ +

the information system generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries;

+ SI-11(a) +
+ + SI-11(b) + +

the organization defines personnel or roles to whom error messages are to be revealed; and

+ SI-11(b)[1] +
+ +

the information system reveals error messages only to organization-defined personnel or roles.

+ SI-11(b)[2] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for information input validation

+ INTERVIEW +
+ +

Organizational processes for error handling

+ TEST +
+
+ + INFORMATION HANDLING AND RETENTION + SI-12 + P2 + LOW + MODERATE + HIGH + +

The organization handles and retains information within the information system and information output from the system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.

+
+ +

Information handling and retention requirements cover the full life cycle of information, in some cases extending beyond the disposal of information systems. The National Archives and Records Administration provides guidance on records retention.

+ + + + + +
+ +

Determine if the organization, in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements:

+ +

handles information within the information system;

+ SI-12[1] +
+ +

handles output from the information system;

+ SI-12[2] +
+ +

retains information within the information system; and

+ SI-12[3] +
+ +

retains output from the information system.

+ SI-12[4] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for information handling and retention

+ INTERVIEW +
+ +

Organizational processes for information handling and retention

+ TEST +
+
+ + PREDICTABLE FAILURE PREVENTION + + organization-defined information system components + organization-defined information system components + + + organization-defined MTTF substitution criteria + organization-defined MTTF substitution criteria + + SI-13 + P0 + +

The organization:

+ +

Determines mean time to failure (MTTF) for in specific environments of operation; and

+ SI-13a. +
+ +

Provides substitute information system components and a means to exchange active and standby components at .

+ SI-13b. +
+
+ +

While MTTF is primarily a reliability issue, this control addresses potential failures of specific information system components that provide security capability. Failure rates reflect installation-specific consideration, not industry-average. Organizations define criteria for substitution of information system components based on MTTF value with consideration for resulting potential harm from component failures. Transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capability (e.g., preservation of state variables). Standby components remain available at all times except for maintenance issues or recovery failures in progress.

+ + + +
+ +

Determine if the organization:

+ + SI-13(a) + +

defines information system components for which mean time to failure (MTTF) should be determined;

+ SI-13(a)[1] +
+ +

determines MTTF for organization-defined information system components in specific environments of operation;

+ SI-13(a)[2] +
+
+ + SI-13(b) + +

defines MTTF substitution criteria to be used as a means to exchange active and standby components;

+ SI-13(b)[1] +
+ +

provides substitute information system components at organization-defined MTTF substitution criteria; and

+ SI-13(b)[2] +
+ +

provides a means to exchange active and standby components at organization-defined MTTF substitution criteria.

+ SI-13(b)[3] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for MTTF determinations and activities

+ INTERVIEW +
+ +

Organizational processes for managing MTTF

+ TEST +
+ + TRANSFERRING COMPONENT RESPONSIBILITIES + SI-13 (1) + +

The organization takes information system components out of service by transferring component responsibilities to substitute components no later than of mean time to failure.

+
+ +

Determine if the organization:

+ +

defines maximum fraction or percentage of mean time to failure within which to transfer the responsibilities of an information system component that is out of service to a substitute component; and

+ SI-13(1)[1] +
+ +

takes the information system component out of service by transferring component responsibilities to substitute components no later than organization-defined fraction or percentage of mean time to failure.

+ SI-13(1)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for MTTF activities

+ INTERVIEW +
+ +

Organizational processes for managing MTTF

+ TEST +
+ + organization-defined fraction or percentage + organization-defined fraction or percentage + +
+ + TIME LIMIT ON PROCESS EXECUTION WITHOUT SUPERVISION + SI-13 (2) + +

Incorporated into SI-7 (16).

+
+ +
+ + MANUAL TRANSFER BETWEEN COMPONENTS + SI-13 (3) + +

The organization manually initiates transfers between active and standby information system components if the mean time to failure exceeds .

+
+ +

Determine if the organization:

+ +

defines the minimum frequency with which the organization manually initiates a transfer between active and standby information system components if the mean time to failure exceeds the organization-defined time period;

+ SI-13(3)[1] +
+ +

defines the time period that the mean time to failure must exceed before the organization manually initiates a transfer between active and standby information system components; and

+ SI-13(3)[2] +
+ +

manually initiates transfers between active and standby information system components at the organization-defined frequency if the mean time to failure exceeds the organization-defined time period.

+ SI-13(3)[3] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for MTTF activities

+ INTERVIEW +
+ +

Organizational processes for managing MTTF and conducting the manual transfer between active and standby components

+ TEST +
+ + organization-defined frequency + organization-defined frequency + + + organization-defined time period + organization-defined time period + +
+ + STANDBY COMPONENT INSTALLATION / NOTIFICATION + SI-13 (4) + +

The organization, if information system component failures are detected:

+ +

Ensures that the standby components are successfully and transparently installed within ; and

+ SI-13 (4)(a) +
+ +

[Selection (one or more): activates ; automatically shuts down the information system].

+ SI-13 (4)(b) +
+
+ +

Automatic or manual transfer of components from standby to active mode can occur, for example, upon detection of component failures.

+
+ +

Determine if the organization:

+ + SI-13(4)(a) + +

defines a time period for standby information system components to be successfully and transparently installed when information system component failures are detected;

+ SI-13(4)(a)[1] +
+ +

ensures that the standby components are successfully and transparently installed within the organization-defined time period;

+ SI-13(4)(a)[2] +
+
+ + SI-13(4)(b) + +

defines an alarm to be activated when information system component failures are detected;

+ SI-13(4)(b)[1] +
+ +

if information system component failures are detected, does one or more of the following:

+ SI-13(4)(b)[2] + +

activates the organization-defined alarm; and/or

+ SI-13(4)(b)[2][a] +
+ +

automatically shuts down the information system.

+ SI-13(4)(b)[2][b] +
+
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for MTTF activities

+ INTERVIEW +
+ +

Organizational processes for managing MTTF

+ TEST +
+ + organization-defined time period + organization-defined time period + + + organization-defined alarm + organization-defined alarm + +
+ + FAILOVER CAPABILITY + SI-13 (5) + +

The organization provides [Selection: real-time; near real-time] for the information system.

+
+ +

Failover refers to the automatic switchover to an alternate information system upon the failure of the primary information system. Failover capability includes, for example, incorporating mirrored information system operations at alternate processing sites or periodic data mirroring at regular intervals defined by recovery time periods of organizations.

+
+ +

Determine if the organization:

+ +

defines failover capability to be provided for the information system;

+ SI-13(5)[1] +
+ +

provides one of the following organization-defined failover capabilities for the information system:

+ SI-13(5)[2] + +

real-time failover capability; and/or

+ SI-13(5)[2][a] +
+ +

near real-time failover capability.

+ SI-13(5)[2][b] +
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for failover capability

+ INTERVIEW +
+ +

Organizational processes for managing failover capability

+ TEST +
+ + organization-defined failover capability + organization-defined failover capability + +
+
+ + NON-PERSISTENCE + + organization-defined information system components and services + organization-defined information system components and services + + + organization-defined frequency + organization-defined frequency + + SI-14 + P0 + +

The organization implements non-persistent that are initiated in a known state and terminated [Selection (one or more): upon end of session of use; periodically at ].

+
+ +

This control mitigates risk from advanced persistent threats (APTs) by significantly reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. By implementing the concept of non-persistence for selected information system components, organizations can provide a known state computing resource for a specific period of time that does not give adversaries sufficient time on target to exploit vulnerabilities in organizational information systems and the environments in which those systems operate. Since the advanced persistent threat is a high-end threat with regard to capability, intent, and targeting, organizations assume that over an extended period of time, a percentage of cyber attacks will be successful. Non-persistent information system components and services are activated as required using protected information and terminated periodically or upon the end of sessions. Non-persistence increases the work factor of adversaries in attempting to compromise or breach organizational information systems. Non-persistent system components can be implemented, for example, by periodically re-imaging components or by using a variety of common virtualization techniques. Non-persistent services can be implemented using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent).The benefit of periodic refreshes of information system components/services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult for organizations to determine). The refresh of selected information system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the information system unstable. In some instances, refreshes of critical components and services may be done periodically in order to hinder the ability of adversaries to exploit optimum windows of vulnerabilities.

+ + +
+ +

Determine if the organization:

+ +

defines non-persistent information system components and services to be implemented;

+ SI-14[1] +
+ + SI-14[2] + +

defines a frequency to terminate non-persistent organization-defined components and services that are initiated in a known state;

+ SI-14[2][a] +
+ +

implements non-persistent organization-defined information system components and services that are initiated in a known state and terminated one or more of the following:

+ SI-14[2][b] + +

upon end of session of use; and/or

+ SI-14[2][b][1] +
+ +

periodically at the organization-defined frequency.

+ SI-14[2][b][2] +
+
+
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for non-persistence

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing initiation and termination of non-persistent components

+ TEST +
+ + REFRESH FROM TRUSTED SOURCES + SI-14 (1) + +

The organization ensures that software and data employed during information system component and service refreshes are obtained from .

+
+ +

Trusted sources include, for example, software/data from write-once, read-only media or from selected off-line secure storage facilities.

+
+ +

Determine if the organization:

+ +

defines trusted sources from which software and data employed during information system component and service refreshes are to be obtained; and

+ SI-14(1)[1] +
+ +

ensures that software and data employed during information system component and service refreshes are obtained from organization-defined trusted sources.

+ SI-14(1)[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for obtaining component and service refreshes from trusted sources

+ INTERVIEW +
+ +

Organizational processes for defining and obtaining component and service refreshes from trusted sources

+ TEST +
+ + organization-defined trusted sources + organization-defined trusted sources + +
+
+ + INFORMATION OUTPUT FILTERING + + organization-defined software programs and/or applications + organization-defined software programs and/or applications + + SI-15 + P0 + +

The information system validates information output from to ensure that the information is consistent with the expected content.

+
+ +

Certain types of cyber attacks (e.g., SQL injections) produce output results that are unexpected or inconsistent with the output results that would normally be expected from software programs or applications. This control enhancement focuses on detecting extraneous content, preventing such extraneous content from being displayed, and alerting monitoring tools that anomalous behavior has been discovered.

+ + +
+ +

Determine if:

+ +

the organization defines software programs and/or applications whose information output requires validation to ensure that the information is consistent with the expected content; and

+ SI-15[1] +
+ +

the information system validates information output from organization-defined software programs and/or applications to ensure that the information is consistent with the expected content.

+ SI-15[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for validating information output

+ INTERVIEW +
+ +

Organizational processes for validating information output

+ TEST +
+
+ + MEMORY PROTECTION + + organization-defined security safeguards + organization-defined security safeguards + + SI-16 + P1 + MODERATE + HIGH + +

The information system implements to protect its memory from unauthorized code execution.

+
+ +

Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Security safeguards employed to protect memory include, for example, data execution prevention and address space layout randomization. Data execution prevention safeguards can either be hardware-enforced or software-enforced with hardware providing the greater strength of mechanism.

+ + +
+ +

Determine if:

+ +

the organization defines security safeguards to be implemented to protect information system memory from unauthorized code execution; and

+ SI-16[1] +
+ +

the information system implements organization-defined security safeguards to protect its memory from unauthorized code execution.

+ SI-16[2] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for memory protection

+ INTERVIEW +
+ +

Automated mechanisms supporting and/or implementing safeguards to protect information system memory from unauthorized code execution

+ TEST +
+
+ + FAIL-SAFE PROCEDURES + + organization-defined fail-safe procedures + organization-defined fail-safe procedures + + + organization-defined failure conditions occur + organization-defined failure conditions occur + + SI-17 + P0 + +

The information system implements when .

+
+ +

Failure conditions include, for example, loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include, for example, alerting operator personnel and providing specific instructions on subsequent steps to take (e.g., do nothing, reestablish system settings, shut down processes, restart the system, or contact designated organizational personnel).

+ + + + +
+ +

Determine if:

+ +

the organization defines fail-safe procedures to be implemented when organization-defined failure conditions occur;

+ SI-17[1] +
+ +

the organization defines failure conditions resulting in organization-defined fail-safe procedures being implemented when such conditions occur; and

+ SI-17[2] +
+ +

the information system implements organization-defined fail-safe procedures when organization-defined failure conditions occur.

+ SI-17[3] +
+
+ +

System and information integrity policy

+ EXAMINE +
+ +

Organizational personnel with responsibility for fail-safe procedures

+ INTERVIEW +
+ +

Organizational fail-safe procedures

+ TEST +
+
+
+ + PROGRAM MANAGEMENT + + INFORMATION SECURITY PROGRAM PLAN + + organization-defined frequency + organization-defined frequency + + PM-1 + +

The organization:

+ +

Develops and disseminates an organization-wide information security program plan that:

+ PM-1a. + +

Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;

+ PM-1a.1. +
+ +

Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;

+ PM-1a.2. +
+ +

Reflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical); and

+ PM-1a.3. +
+ +

Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;

+ PM-1a.4. +
+
+ +

Reviews the organization-wide information security program plan ;

+ PM-1b. +
+ +

Updates the plan to address organizational changes and problems identified during plan implementation or security control assessments; and

+ PM-1c. +
+ +

Protects the information security program plan from unauthorized disclosure and modification.

+ PM-1d. +
+
+ +

Information security program plans can be represented in single documents or compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Information security program plans provide sufficient information about the program management controls/common controls (including specification of parameters for any assignment and selection statements either explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended. The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organization�s information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls. Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems.

+ +
+ +

Determine if the organization:

+ +

develops and disseminates an organization-wide information security program plan that:

+ PM-1(a) + + PM-1(a)(1) + +

provides an overview of the requirements for the security program;

+ PM-1(a)(1)[1] +
+ +

provides a description of the:

+ PM-1(a)(1)[2] + +

security program management controls in place or planned for meeting those requirements;

+ PM-1(a)(1)[2][a] +
+ +

common controls in place or planned for meeting those requirements;

+ PM-1(a)(1)[2][b] +
+
+
+ +

includes the identification and assignment of:

+ PM-1(a)(2) + +

roles;

+ PM-1(a)(2)[1] +
+ +

responsibilities;

+ PM-1(a)(2)[2] +
+ +

management commitment;

+ PM-1(a)(2)[3] +
+ +

coordination among organizational entities;

+ PM-1(a)(2)[4] +
+ +

compliance;

+ PM-1(a)(2)[5] +
+
+ +

reflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical);

+ PM-1(a)(3) +
+ +

is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations, organizational assets, individuals, other organizations, and the Nation;

+ PM-1(a)(4) +
+
+ + PM-1(b) + +

defines the frequency to review the security program plan for the information system;

+ PM-1(b)[1] +
+ +

reviews the organization-wide information security program plan with the organization-defined frequency;

+ PM-1(b)[2] +
+
+ +

updates the plan to address organizational:

+ PM-1(c) + +

changes identified during plan implementation;

+ PM-1(c)[1] +
+ +

changes identified during security control assessments;

+ PM-1(c)[2] +
+ +

problems identified during plan implementation;

+ PM-1(c)[3] +
+ +

problems identified during security control assessments;

+ PM-1(c)[4] +
+
+ +

protects the information security program plan from unauthorized:

+ PM-1(d) + +

disclosure; and

+ PM-1(d)[1] +
+ +

modification.

+ PM-1(d)[2] +
+
+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with information security program planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for information security program plan development/review/update/approval

+ TEST +
+
+ + SENIOR INFORMATION SECURITY OFFICER + PM-2 + +

The organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.

+
+ +

The security officer described in this control is an organizational official. For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this official as the Senior Information Security Officer or Chief Information Security Officer.

+
+ +

Determine if the organization appoints a senior information security officer with the mission and resources to:

+ +

coordinate an organization-wide information security program;

+ PM-2[1] +
+ +

develop an organization-wide information security program;

+ PM-2[2] +
+ +

implement an organization-wide information security program; and

+ PM-2[3] +
+ +

maintain an organization-wide information security program.

+ PM-2[4] +
+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with information security program planning and plan implementation responsibilities

+ INTERVIEW +
+
+ + INFORMATION SECURITY RESOURCES + PM-3 + +

The organization:

+ +

Ensures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement;

+ PM-3a. +
+ +

Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and

+ PM-3b. +
+ +

Ensures that information security resources are available for expenditure as planned.

+ PM-3c. +
+
+ +

Organizations consider establishing champions for information security efforts and as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board (or similar group) to manage and provide oversight for the information security-related aspects of the capital planning and investment control process.

+ + +
+ +

Determine if the organization:

+ + PM-3(a) + +

ensures that all capital planning and investment requests include the resources needed to implement the information security program plan;

+ PM-3(a)[1] +
+ +

documents all exceptions to the requirement;

+ PM-3(a)[2] +
+
+ +

employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and

+ PM-3(b) +
+ +

ensures that information security resources are available for expenditure as planned.

+ PM-3(c) +
+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with information security program planning responsibilities

+ INTERVIEW +
+ +

Organizational processes for capital planning and investment

+ TEST +
+ + + NIST Special Publication 800-65 + + +
+ + PLAN OF ACTION AND MILESTONES PROCESS + PM-4 + +

The organization:

+ +

Implements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:

+ PM-4a. + +

Are developed and maintained;

+ PM-4a.1. +
+ +

Document the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and

+ PM-4a.2. +
+ +

Are reported in accordance with OMB FISMA reporting requirements.

+ PM-4a.3. +
+
+ +

Reviews plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.

+ PM-4b. +
+
+ +

The plan of action and milestones is a key document in the information security program and is subject to federal reporting requirements established by OMB. With the increasing emphasis on organization-wide risk management across all three tiers in the risk management hierarchy (i.e., organization, mission/business process, and information system), organizations view plans of action and milestones from an organizational perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from security control assessments and continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding organizational plans of action and milestones.

+ +
+ +

Determine if the organization:

+ +

implements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:

+ PM-4(a) + + PM-4(a)(1) + +

are developed;

+ PM-4(a)(1)[1] +
+ +

are maintained;

+ PM-4(a)(1)[2] +
+
+ +

document the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation;

+ PM-4(a)(2) +
+ +

are reported in accordance with OMB FISMA reporting requirements;

+ PM-4(a)(3) +
+
+ +

reviews plans of action and milestones for consistency with:

+ PM-4(b) + +

the organizational risk management strategy; and

+ PM-4(b)[1] +
+ +

organization-wide priorities for risk response actions.

+ PM-4(b)[2] +
+
+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with responsibility for developing, maintaining, reviewing, and reporting plans of action and milestones

+ INTERVIEW +
+ +

Organizational processes for plan of action and milestones development, review, maintenance, reporting

+ TEST +
+ + + OMB Memorandum 02-01 + + + NIST Special Publication 800-37 + + +
+ + INFORMATION SYSTEM INVENTORY + PM-5 + +

The organization develops and maintains an inventory of its information systems.

+
+ +

This control addresses the inventory requirements in FISMA. OMB provides guidance on developing information systems inventories and associated reporting requirements. For specific information system inventory reporting requirements, organizations consult OMB annual FISMA reporting guidance.

+
+ +

Determine if the organization:

+ +

develops an inventory of its information systems; and

+ PM-5[1] +
+ +

maintains the inventory of its information systems.

+ PM-5[2] +
+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with information security program planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for information system inventory development and maintenance

+ TEST +
+ + + http://www.omb.gov + + +
+ + INFORMATION SECURITY MEASURES OF PERFORMANCE + PM-6 + +

The organization develops, monitors, and reports on the results of information security measures of performance.

+
+ +

Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security program and the security controls employed in support of the program.

+
+ +

Determine if the organization:

+ +

develops information security measures of performance;

+ PM-6[1] +
+ +

monitors information security measures of performance; and

+ PM-6[2] +
+ +

reports information security measures of performance.

+ PM-6[3] +
+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with information security program planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for developing, monitoring, and reporting information security measures of performance

+ TEST +
+ + + NIST Special Publication 800-55 + + +
+ + ENTERPRISE ARCHITECTURE + PM-7 + +

The organization develops an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.

+
+ +

The enterprise architecture developed by the organization is aligned with the Federal Enterprise Architecture. The integration of information security requirements and associated security controls into the organization�s enterprise architecture helps to ensure that security considerations are addressed by organizations early in the system development life cycle and are directly and explicitly related to the organization�s mission/business processes. This process of security requirements integration also embeds into the enterprise architecture, an integral information security architecture consistent with organizational risk management and information security strategies. For PM-7, the information security architecture is developed at a system-of-systems level (organization-wide), representing all of the organizational information systems. For PL-8, the information security architecture is developed at a level representing an individual information system but at the same time, is consistent with the information security architecture defined for the organization. Security requirements and security control integration are most effectively accomplished through the application of the Risk Management Framework and supporting security standards and guidelines. The Federal Segment Architecture Methodology provides guidance on integrating information security requirements and security controls into enterprise architectures.

+ + + + + +
+ +

Determine if the organization develops an enterprise architecture with consideration for:

+ +

information security; and

+ PM-7[1] +
+ +

the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.

+ PM-7[2] +
+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with information security program planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for enterprise architecture development

+ TEST +
+ + + NIST Special Publication 800-39 + + +
+ + CRITICAL INFRASTRUCTURE PLAN + PM-8 + +

The organization addresses information security issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.

+
+ +

Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.

+ + + + +
+ +

Determine if the organization addresses information security issues in the:

+ +

development of a critical infrastructure and key resources protection plan;

+ PM-8[1] +
+ +

documentation of a critical infrastructure and key resources protection plan; and

+ PM-8[2] +
+ +

updating of the critical infrastructure and key resources protection plan.

+ PM-8[3] +
+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with information security program planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for developing, documenting, and updating the critical infrastructure and key resources protection plan

+ TEST +
+ + + HSPD 7 + + + National Infrastructure Protection Plan + + +
+ + RISK MANAGEMENT STRATEGY + + organization-defined frequency + organization-defined frequency + + PM-9 + +

The organization:

+ +

Develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems;

+ PM-9a. +
+ +

Implements the risk management strategy consistently across the organization; and

+ PM-9b. +
+ +

Reviews and updates the risk management strategy or as required, to address organizational changes.

+ PM-9c. +
+
+ +

An organization-wide risk management strategy includes, for example, an unambiguous expression of the risk tolerance for the organization, acceptable risk assessment methodologies, risk mitigation strategies, a process for consistently evaluating risk across the organization with respect to the organization�s risk tolerance, and approaches for monitoring risk over time. The use of a risk executive function can facilitate consistent, organization-wide application of the risk management strategy. The organization-wide risk management strategy can be informed by risk-related inputs from other sources both internal and external to the organization to ensure the strategy is both broad-based and comprehensive.

+ +
+ +

Determine if the organization:

+ +

develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems;

+ PM-9(a) +
+ +

implements the risk management strategy consistently across the organization;

+ PM-9(b) +
+ + PM-9(c) + +

defines the frequency to review and update the risk management strategy;

+ PM-9(c)[1] +
+ +

reviews and updates the risk management strategy to address organizational changes:

+ PM-9(c)[2] + +

with the organization-defined frequency; or

+ PM-9(c)[2][a] +
+ +

as required.

+ PM-9(c)[2][b] +
+
+
+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with information security program planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for development, implementation, review, and update of the risk management strategy

+ TEST +
+ + + NIST Special Publication 800-30 + + + NIST Special Publication 800-39 + + +
+ + SECURITY AUTHORIZATION PROCESS + PM-10 + +

The organization:

+ +

Manages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;

+ PM-10a. +
+ +

Designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and

+ PM-10b. +
+ +

Fully integrates the security authorization processes into an organization-wide risk management program.

+ PM-10c. +
+
+ +

Security authorization processes for information systems and environments of operation require the implementation of an organization-wide risk management process, a Risk Management Framework, and associated security standards and guidelines. Specific roles within the risk management process include an organizational risk executive (function) and designated authorizing officials for each organizational information system and common control provider. Security authorization processes are integrated with organizational continuous monitoring processes to facilitate ongoing understanding and acceptance of risk to organizational operations and assets, individuals, other organizations, and the Nation.

+ +
+ +

Determine if the organization:

+ +

manages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;

+ PM-10(a) +
+ +

designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and

+ PM-10(b) +
+ +

fully integrates the security authorization processes into an organization-wide risk management program.

+ PM-10(c) +
+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with information security program planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for security authorization

+ TEST +
+ + + NIST Special Publication 800-37 + + + NIST Special Publication 800-39 + + +
+ + MISSION/BUSINESS PROCESS DEFINITION + PM-11 + +

The organization:

+ +

Defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and

+ PM-11a. +
+ +

Determines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until achievable protection needs are obtained.

+ PM-11b. +
+
+ +

Information protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, or the Nation through the compromise of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs are derived from the mission/business needs defined by the organization, the mission/business processes selected to meet the stated needs, and the organizational risk management strategy. Information protection needs determine the required security controls for the organization and the associated information systems supporting the mission/business processes. Inherent in defining an organization�s information protection needs is an understanding of the level of adverse impact that could result if a compromise of information occurs. The security categorization process is used to make such potential impact determinations. Mission/business process definitions and associated information protection requirements are documented by the organization in accordance with organizational policy and procedure.

+ + + +
+ +

Determine if the organization:

+ +

defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation;

+ PM-11(a) +
+ + PM-11(b) + +

determines information protection needs arising from the defined mission/business process; and

+ PM-11(b)[1] +
+ +

revises the processes as necessary until achievable protection needs are obtained.

+ PM-11(b)[2] +
+
+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with information security program planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for defining mission/business processes and their information protection needs

+ TEST +
+ + + FIPS Publication 199 + + + NIST Special Publication 800-60 + + +
+ + INSIDER THREAT PROGRAM + PM-12 + +

The organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.

+
+ +

Organizations handling classified information are required, under Executive Order 13587 and the National Policy on Insider Threat, to establish insider threat programs. The standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of Controlled Unclassified Information in non-national security systems. Insider threat programs include security controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior organizational official is designated by the department/agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs as a minimum, prepare department/agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from all offices within the department/agency (e.g., human resources, legal, physical security, personnel security, information technology, information system security, and law enforcement) for insider threat analysis, and conduct self-assessments of department/agency insider threat posture. Insider threat programs can leverage the existence of incident handling teams organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace (e.g., ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues). These precursors can better inform and guide organizational officials in more focused, targeted monitoring efforts. The participation of a legal team is important to ensure that all monitoring activities are performed in accordance with appropriate legislation, directives, regulations, policies, standards, and guidelines.

+ + + + + + + + + + + + + + + + + + + + + +
+ +

Determine if the organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.

+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with information security program planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for implementing the insider threat program and the cross-discipline insider threat incident handling team

+ TEST +
+ + + Executive Order 13587 + + +
+ + INFORMATION SECURITY WORKFORCE + PM-13 + +

The organization establishes an information security workforce development and improvement program.

+
+ +

Information security workforce development and improvement programs include, for example: (i) defining the knowledge and skill levels needed to perform information security duties and tasks; (ii) developing role-based training programs for individuals assigned information security roles and responsibilities; and (iii) providing standards for measuring and building individual qualifications for incumbents and applicants for information security-related positions. Such workforce programs can also include associated information security career paths to encourage: (i) information security professionals to advance in the field and fill positions with greater responsibility; and (ii) organizations to fill information security-related positions with qualified personnel. Information security workforce development and improvement programs are complementary to organizational security awareness and training programs. Information security workforce development and improvement programs focus on developing and institutionalizing core information security capabilities of selected personnel needed to protect organizational operations, assets, and individuals.

+ + +
+ +

Determine if the organization establishes an information security workforce development and improvement program.

+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with information security program planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for implementing information security workforce development and improvement program

+ TEST +
+
+ + TESTING, TRAINING, AND MONITORING + PM-14 + +

The organization:

+ +

Implements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:

+ PM-14a. + +

Are developed and maintained; and

+ PM-14a.1. +
+ +

Continue to be executed in a timely manner;

+ PM-14a.2. +
+
+ +

Reviews testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.

+ PM-14b. +
+
+ +

This control ensures that organizations provide oversight for the security testing, training, and monitoring activities conducted organization-wide and that those activities are coordinated. With the importance of continuous monitoring programs, the implementation of information security across the three tiers of the risk management hierarchy, and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing organizational assessments supporting a variety of security controls. Security training activities, while typically focused on individual information systems and specific roles, also necessitate coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments.

+ + + + + +
+ +

Determine if the organization:

+ +

implements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:

+ PM-14(a) + + PM-14(a)(1) + +

are developed;

+ PM-14(a)(1)[1] +
+ +

are maintained;

+ PM-14(a)(1)[2] +
+
+ +

continue to be executed in a timely manner;

+ PM-14(a)(2) +
+
+ +

reviews testing, training, and monitoring plans for consistency with:

+ PM-14(b) + +

the organizational risk management strategy; and

+ PM-14(b)[1] +
+ +

organization-wide priorities for risk response actions.

+ PM-14(b)[2] +
+
+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with responsibility for developing and maintaining plans for conducting security testing, training, and monitoring activities

+ INTERVIEW +
+ +

Organizational processes for development and maintenance of plans for conducting security testing, training, and monitoring activities

+ TEST +
+ + + NIST Special Publication 800-16 + + + NIST Special Publication 800-37 + + + NIST Special Publication 800-53A + + + NIST Special Publication 800-137 + + +
+ + CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS + PM-15 + +

The organization establishes and institutionalizes contact with selected groups and associations within the security community:

+ +

To facilitate ongoing security education and training for organizational personnel;

+ PM-15a. +
+ +

To maintain currency with recommended security practices, techniques, and technologies; and

+ PM-15b. +
+ +

To share current security-related information including threats, vulnerabilities, and incidents.

+ PM-15c. +
+
+ +

Ongoing contact with security groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Security groups and associations include, for example, special interest groups, forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. Organizations select groups and associations based on organizational missions/business functions. Organizations share threat, vulnerability, and incident information consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.

+ +
+ +

Determine if the organization establishes and institutionalizes contact with selected groups and associations with the security community to:

+ +

facilitate ongoing security education and training for organizational personnel;

+ PM-15(a) +
+ +

maintain currency with recommended security practices, techniques, and technologies; and

+ PM-15(b) +
+ +

share current security-related information including threats, vulnerabilities, and incidents.

+ PM-15(c) +
+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with information security program planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for establishing and institutionalizing contact with security groups and associations

+ TEST +
+
+ + THREAT AWARENESS PROGRAM + PM-16 + +

The organization implements a threat awareness program that includes a cross-organization information-sharing capability.

+
+ +

Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it is becoming more likely that adversaries may successfully breach or compromise organizational information systems. One of the best techniques to address this concern is for organizations to share threat information. This can include, for example, sharing threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, threat intelligence (i.e., indications and warnings about threats that are likely to occur). Threat information sharing may be bilateral (e.g., government-commercial cooperatives, government-government cooperatives), or multilateral (e.g., organizations taking part in threat-sharing consortia). Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared.

+ + +
+ +

Determine if the organization implements a threat awareness program that includes a cross-organization information-sharing capability.

+
+ +

Information security program plan

+ EXAMINE +
+ +

Organizational personnel with information security program planning and plan implementation responsibilities

+ INTERVIEW +
+ +

Organizational processes for implementing the threat awareness program

+ TEST +
+
+
+
\ No newline at end of file diff --git a/examples/mini-testing/01_identity-profile.json b/examples/mini-testing/01_identity-profile.json new file mode 100644 index 0000000000..8eb340b3a1 --- /dev/null +++ b/examples/mini-testing/01_identity-profile.json @@ -0,0 +1,9 @@ +{ + "id": "uuid-72c45725-89bd-46d6-80c9-a76847218614", + "title": "Identity profile (an entire catalog, implicitly)", + "invocations": [ + { + "href": "mini-testing-catalog.json" + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/01a_param-only-profile.json b/examples/mini-testing/01a_param-only-profile.json new file mode 100644 index 0000000000..ed43026e69 --- /dev/null +++ b/examples/mini-testing/01a_param-only-profile.json @@ -0,0 +1,18 @@ +{ + "title": "Parameter This", + "invocations": [ + { + "href": "mini-testing-catalog.json", + "include": { + "all": true + }, + "paramSettings": [ + { + "paramId": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "BUTCHER; BAKER; CANDLESTICK-MAKER" + } + ] + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/02_all-profile.json b/examples/mini-testing/02_all-profile.json new file mode 100644 index 0000000000..624c77202f --- /dev/null +++ b/examples/mini-testing/02_all-profile.json @@ -0,0 +1,11 @@ +{ + "title": "Calling All Controls", + "invocations": [ + { + "href": "mini-testing-catalog.json", + "include": { + "all": true + } + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/03_all-with-enh-profile.json b/examples/mini-testing/03_all-with-enh-profile.json new file mode 100644 index 0000000000..171264f473 --- /dev/null +++ b/examples/mini-testing/03_all-with-enh-profile.json @@ -0,0 +1,13 @@ +{ + "title": "Once Again, with Feeling", + "invocations": [ + { + "href": "mini-testing-catalog.json", + "include": { + "all": { + "withSubcontrols": true + } + } + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/04_exclude1-profile.json b/examples/mini-testing/04_exclude1-profile.json new file mode 100644 index 0000000000..8c4c10c470 --- /dev/null +++ b/examples/mini-testing/04_exclude1-profile.json @@ -0,0 +1,23 @@ +{ + "title": "Being Exclusive", + "invocations": [ + { + "href": "mini-testing-catalog.json", + "include": { + "all": { + "withSubcontrols": true + } + }, + "exclude": { + "calls": [ + { + "controlId": "ra.7" + }, + { + "controlId": "ra.9" + } + ] + } + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/05_exclude2-profile.json b/examples/mini-testing/05_exclude2-profile.json new file mode 100644 index 0000000000..e2658d5306 --- /dev/null +++ b/examples/mini-testing/05_exclude2-profile.json @@ -0,0 +1,26 @@ +{ + "title": "Being More Exclusive", + "invocations": [ + { + "href": "mini-testing-catalog.json", + "include": { + "all": { + "withSubcontrols": true + } + }, + "exclude": { + "calls": [ + { + "controlId": "ra.7" + }, + { + "controlId": "ra.8" + }, + { + "controlId": "ra.9" + } + ] + } + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/10_some-params-profile.json b/examples/mini-testing/10_some-params-profile.json new file mode 100644 index 0000000000..98f6f11782 --- /dev/null +++ b/examples/mini-testing/10_some-params-profile.json @@ -0,0 +1,25 @@ +{ + "title": "Some Parameters", + "invocations": [ + { + "href": "mini-testing-catalog.json", + "include": { + "all": true + }, + "exclude": { + "calls": [ + { + "controlId": "ra.9" + } + ] + }, + "paramSettings": [ + { + "paramId": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "butcher; baker; candlestick-maker" + } + ] + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/11_more-params-profile.json b/examples/mini-testing/11_more-params-profile.json new file mode 100644 index 0000000000..f382befd67 --- /dev/null +++ b/examples/mini-testing/11_more-params-profile.json @@ -0,0 +1,62 @@ +{ + "id": "uuid-18c209ec-1a9d-4f8e-a863-36412182a49b", + "title": "More Paramters, More", + "invocations": [ + { + "href": "mini-testing-catalog.json", + "include": { + "all": { + "withSubcontrols": true + } + }, + "exclude": { + "calls": [ + { + "subcontrolId": "ac.6.7" + }, + { + "subcontrolId": "ac.6.8" + }, + { + "subcontrolId": "ac.6.9" + }, + { + "controlId": "ra.9" + } + ] + }, + "paramSettings": [ + { + "paramId": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "BUTCHER; BAKER; CANDLESTICK-MAKER" + }, + { + "paramId": "ac-6_a", + "desc": "organization-defined security functions (deployed in hardware, software, andfirmware) and security-relevant information", + "value": "DOORS, WINDOWS, AND ANY POINTS OF INGRESS; FAUCETS; CABINET DOORS" + }, + { + "paramId": "ac-6_b", + "desc": "organization-defined security functions or security-relevant information", + "value": "EXTRA-SPECIAL, SECRET AND SENSITIVE OPERATIONS SUCH AS PET FEEDING\n RESPONSIBILITIES" + }, + { + "paramId": "ac-6_c", + "desc": "organization-defined privileged commands", + "value": "MEDIA REALLOCATION INCLUDING HARD DRIVE REFORMATTING; ANY COMMAND ON ANY\n VOICE-OPERATED DEVICE" + }, + { + "paramId": "ac-6_d", + "desc": "organization-defined compelling operational needs", + "value": "EMERGENCIES, OR EARLY IN THE MORNING TO SAVE TIME" + }, + { + "paramId": "ac-6_e", + "desc": "organization-defined personnel or roles", + "value": "CREDENTIALED WIZARDS" + } + ] + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/20_compound-profile.json b/examples/mini-testing/20_compound-profile.json new file mode 100644 index 0000000000..d852efeaa1 --- /dev/null +++ b/examples/mini-testing/20_compound-profile.json @@ -0,0 +1,25 @@ +{ + "title": "A Compound Profile", + "invocations": [ + { + "href": "mini-testing-catalog.json", + "include": { + "calls": [ + { + "controlId": "ac.5" + } + ] + }, + "paramSettings": [ + { + "paramId": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "butcher; baker; candlestick-maker" + } + ] + }, + { + "href": "99includeRAx3-profile.json" + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/30_patched-profile.json b/examples/mini-testing/30_patched-profile.json new file mode 100644 index 0000000000..2b949f96eb --- /dev/null +++ b/examples/mini-testing/30_patched-profile.json @@ -0,0 +1,54 @@ +{ + "title": "Patching profile example", + "invocations": [ + { + "href": "mini-testing-catalog.json", + "exclude": { + "calls": [ + { + "controlId": "ra.9" + } + ] + }, + "paramSettings": [ + { + "paramId": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "butcher; baker; candlestick-maker" + } + ], + "alterations": [ + { + "controlId": "ac.6", + "remove": { + "targets": [ + "statement guidance" + ] + }, + "augment": { + "props": [ + { + "class": "stamp", + "value": "SEAL OF APPROVAL (a)" + } + ], + "parts": [ + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDON'T GO BACK IN THE WATER!\u003c/p\u003e" + ] + }, + { + "class": "notes", + "prose": [ + "\u003cp\u003eLocal organizations may wish to sponsor special events including bake sales, lemonade stands, house-to-house cookie sales, lawn mowing services or other seasonal services etc.\u003c/p\u003e" + ] + } + ] + } + } + ] + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/31_patched-messy-profile.json b/examples/mini-testing/31_patched-messy-profile.json new file mode 100644 index 0000000000..0c209ec89a --- /dev/null +++ b/examples/mini-testing/31_patched-messy-profile.json @@ -0,0 +1,61 @@ +{ + "title": "Patching profile example", + "invocations": [ + { + "href": "mini-testing-catalog.json", + "exclude": { + "calls": [ + { + "controlId": "ra.9" + } + ] + }, + "paramSettings": [ + { + "paramId": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "butcher; baker; candlestick-maker" + } + ], + "alterations": [ + { + "controlId": "ac.6", + "remove": { + "targets": [ + "statement guidance" + ] + }, + "augment": { + "props": [ + { + "class": "stamp", + "value": "SEAL OF APPROVAL (a)" + } + ], + "parts": [ + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDo \u003cem\u003eNOT\u003c/em\u003e go back in the water.\u003c/p\u003e" + ] + }, + { + "class": "notes", + "prose": [ + "\u003cp\u003eLocal organizations may wish to sponsor special events including\u003c/p\u003e", + "\u003cul\u003e \u003cli\u003ebake sales,\u003c/li\u003e\u003cli\u003e lemonade stands,\u003c/li\u003e\u003cli\u003e house-to-house \u003ci\u003ecookie sales\u003c/i\u003e,\u003c/li\u003e\u003cli\u003e lawn mowing services\u003c/li\u003e\u003cli\u003e or other seasonal services etc.\u003c/li\u003e\u003c/ul\u003e" + ] + }, + { + "class": "special", + "prose": [ + "\u003cp\u003eCode \u003ccode\u003egreen\u003c/code\u003e\u003c/p\u003e" + ] + } + ] + } + } + ] + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/32_invalid-profile.json b/examples/mini-testing/32_invalid-profile.json new file mode 100644 index 0000000000..a7828c8ece --- /dev/null +++ b/examples/mini-testing/32_invalid-profile.json @@ -0,0 +1,74 @@ +{ + "title": "Patching profile example", + "invocations": [ + { + "href": "mini-testing-catalog.json", + "include": { + "all": true, + "calls": [ + { + "controlId": "ac.5" + } + ] + }, + "exclude": { + "calls": [ + { + "controlId": "ra.10" + } + ] + }, + "paramSettings": [ + { + "paramId": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "butcher; baker; candlestick-maker" + }, + { + "paramId": "BOO", + "desc": "organization-defined duties of individuals", + "value": "butcher; baker; candlestick-maker" + } + ], + "alterations": [ + { + "controlId": "HOO", + "remove": { + "targets": [ + "statement guidance" + ] + }, + "augment": { + "props": [ + { + "class": "stamp", + "value": "SEAL OF APPROVAL (a)" + } + ], + "parts": [ + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDo \u003cem\u003eNOT\u003c/em\u003e go back in the water.\u003c/p\u003e" + ] + }, + { + "class": "notes", + "prose": [ + "\u003cp\u003eLocal organizations may wish to sponsor special events including\u003c/p\u003e", + "\u003cul\u003e \u003cli\u003ebake sales,\u003c/li\u003e\u003cli\u003e lemonade stands,\u003c/li\u003e\u003cli\u003e house-to-house \u003ci\u003ecookie sales\u003c/i\u003e,\u003c/li\u003e\u003cli\u003e lawn mowing services\u003c/li\u003e\u003cli\u003e or other seasonal services etc.\u003c/li\u003e\u003c/ul\u003e" + ] + }, + { + "class": "special", + "prose": [ + "\u003cp\u003eCode \u003ccode\u003egreen\u003c/code\u003e\u003c/p\u003e" + ] + } + ] + } + } + ] + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/41_exceptions-profile.json b/examples/mini-testing/41_exceptions-profile.json new file mode 100644 index 0000000000..0ade4536f3 --- /dev/null +++ b/examples/mini-testing/41_exceptions-profile.json @@ -0,0 +1,70 @@ +{ + "title": "Exceptions profile example", + "invocations": [ + { + "href": "mini-testing-catalog.json", + "include": { + "calls": [ + { + "controlId": "ra.9" + }, + { + "controlId": "ra.9" + }, + { + "controlId": "controlX" + } + ] + }, + "exclude": { + "calls": [ + { + "controlId": "ra.9" + } + ] + }, + "paramSettings": [ + { + "paramId": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "butcher; baker; candlestick-maker" + } + ], + "alterations": [ + { + "controlId": "ac.6", + "remove": { + "targets": [ + "statement guidance" + ] + }, + "augment": { + "props": [ + { + "class": "stamp", + "value": "SEAL OF APPROVAL (a)" + } + ], + "parts": [ + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDON'T GO BACK IN THE WATER!\u003c/p\u003e" + ] + }, + { + "class": "notes", + "prose": [ + "\u003cp\u003eLocal organizations may wish to sponsor special events including bake sales, lemonade stands, house-to-house cookie sales, lawn mowing services or other seasonal services etc.\u003c/p\u003e" + ] + } + ] + } + } + ] + }, + { + "href": "mini-testing-catalog.json" + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/42_invoke-exceptions-profile.json b/examples/mini-testing/42_invoke-exceptions-profile.json new file mode 100644 index 0000000000..2a2b702cf4 --- /dev/null +++ b/examples/mini-testing/42_invoke-exceptions-profile.json @@ -0,0 +1,11 @@ +{ + "title": "More exceptions profile example", + "invocations": [ + { + "href": "mini-testing-catalog.json" + }, + { + "href": "99includeRAx3-profile.json" + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/99includeACx2-profile.json b/examples/mini-testing/99includeACx2-profile.json new file mode 100644 index 0000000000..811d129734 --- /dev/null +++ b/examples/mini-testing/99includeACx2-profile.json @@ -0,0 +1,95 @@ +{ + "title": "Two controls from AC, with parameters on subcontrols", + "invocations": [ + { + "href": "mini-testing-catalog.json", + "include": { + "calls": [ + { + "controlId": "ac.5" + }, + { + "controlId": "ac.6" + }, + { + "subcontrolId": "ac.6.1" + }, + { + "subcontrolId": "ac.6.2" + }, + { + "subcontrolId": "ac.6.3" + }, + { + "subcontrolId": "ac.6.4" + }, + { + "subcontrolId": "ac.6.5" + }, + { + "subcontrolId": "ac.6.6" + }, + { + "subcontrolId": "ac.6.7" + }, + { + "subcontrolId": "ac.6.8" + }, + { + "subcontrolId": "ac.6.9" + }, + { + "subcontrolId": "ac.6.10" + } + ] + }, + "paramSettings": [ + { + "paramId": "ac-5_a", + "desc": "[whoever is responsible for caring for the cats] - organization-defined duties ofindividuals", + "value": "CAT PERSON #1 (primary), CAT PERSON #2 (asst), FURTHER CAT PERSONS" + }, + { + "paramId": "ac-6_a", + "desc": "[wherever the cat/s need/s to get to on a regular basis ] - organization-definedsecurity functions (deployed in hardware, software, and firmware) and security-relevantinformation", + "value": "CAT FOOD STATION; LITTER BOX; REGULAR ACCESS TO OUTDOORS" + }, + { + "paramId": "ac-6_b", + "desc": "[describe feeding routine] - organization-defined security functions orsecurity-relevant information", + "value": "REGULAR FEEDINGS AND PROVISION OF TREATS" + }, + { + "paramId": "ac-6_c", + "desc": "[whatever activities occur over networks] - organization-defined privilegedcommands", + "value": "COMMUNICATIVE BEHAVIORS SUCH AS RUBBING LEGS" + }, + { + "paramId": "ac-6_d", + "desc": "[such occasions as network access may occur] - organization-defined compellingoperational needs", + "value": "MEALTIMES" + }, + { + "paramId": "ac-6_e", + "desc": "FOREMENTIONED PET CARETAKERS AND STAFF - organization-defined personnel orroles", + "value": "FOREMENTIONED PET CARETAKERS AND STAFF" + }, + { + "paramId": "ac-6_f", + "desc": "VERY FREQUENTLY - organization-defined frequency", + "value": "VERY FREQUENTLY" + }, + { + "paramId": "ac-6_g", + "desc": "PET CARETAKERS - organization-defined roles or classes of users", + "value": "PET CARETAKERS" + }, + { + "paramId": "ac-6_h", + "desc": "CAT TOYS - organization-defined software", + "value": "CAT TOYS" + } + ] + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/99includeRAx3-profile.json b/examples/mini-testing/99includeRAx3-profile.json new file mode 100644 index 0000000000..3cd4484a48 --- /dev/null +++ b/examples/mini-testing/99includeRAx3-profile.json @@ -0,0 +1,33 @@ +{ + "title": "Three RA controls with parameters", + "invocations": [ + { + "href": "mini-testing-catalog.json", + "include": { + "calls": [ + { + "controlId": "ra.7" + }, + { + "controlId": "ra.8" + }, + { + "controlId": "ra.9" + } + ] + }, + "paramSettings": [ + { + "paramId": "ra-9_a", + "desc": "PET FEEDING, PLAY, ENVIRONMENTAL, VETERINARY REQUIREMENTS - organization-defined systems, system components, or system services", + "value": "PET FEEDING, PLAY, ENVIRONMENTAL, VETERINARY REQUIREMENTS" + }, + { + "paramId": "ra-9_b", + "desc": "ON AN ONGOING BASIS (AT LEAST NIGHTLY) - organization-defined decision points in the system development lifecycle", + "value": "ON AN ONGOING BASIS (AT LEAST NIGHTLY)" + } + ] + } + ] +} \ No newline at end of file diff --git a/examples/mini-testing/mini-testing-catalog.json b/examples/mini-testing/mini-testing-catalog.json new file mode 100644 index 0000000000..acc87697af --- /dev/null +++ b/examples/mini-testing/mini-testing-catalog.json @@ -0,0 +1,719 @@ +{ + "catalog": { + "title": "MINI TESTING catalog", + "sections": [ + { + "title": "This catalog", + "prose": [ + "\u003cp\u003eMini-testing starts as a reduced and mocked up subset of SP800-53 controls for testing and demonstration of OSCAL features and functionalities.\u003c/p\u003e" + ] + } + ], + "groups": [ + { + "class": "family", + "title": "FAKE(S)", + "controls": [ + { + "class": "SP800-53", + "id": "FAKE", + "title": "EVERYTHING ALL MIXED TOGETHER", + "params": [ + { + "id": "fake_a", + "desc": "FAKE PARAMETER IN FAKE CONTROL", + "value": "whatever is mixed or to be mixed" + } + ], + "props": [ + { + "class": "name", + "value": "FAKE_0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eWhatever to be mixed is a fake control with some pathological markup.\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "FAKE-a", + "prose": [ + "\u003cp class=\"description\"\u003eInsert your fake parameter here: \u003cinsert param-id=\"fake_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "FAKEa." + } + ] + }, + { + "class": "item", + "id": "FAKE-b", + "prose": [ + "\u003cp class=\"description\"\u003eThis item includes inline markup such as \u003ci\u003eitalics\u003c/i\u003e, \u003cb\u003ebold\u003c/b\u003e, \u003cem\u003eemphasis\u003c/em\u003e, \u003ccode\u003ecode\u003c/code\u003e, \u003cq\u003equoted text\u003c/q\u003e and even a bit of water (H\u003csub\u003e2\u003c/sub\u003eO).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "FAKEb." + } + ] + }, + { + "class": "item", + "id": "FAKE-c", + "prose": [ + "\u003cp class=\"description\"\u003eThis item includes some more complex prose:\u003c/p\u003e", + "\u003cul\u003e \u003cli\u003eHere's language in a list item\u003c/li\u003e \u003cli\u003eAnother list item\u003c/li\u003e \u003c/ul\u003e", + "\u003cp class=\"description\"\u003eAnd a scattering of things including a little physics! \u003ci\u003ee = mc\u003csup\u003e2\u003c/sup\u003e\u003c/i\u003e and all that.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "FAKEc." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDon't follow any guidance you find in a fake control.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "ACCESS CONTROL", + "controls": [ + { + "class": "SP800-53", + "id": "ac.5", + "title": "SEPARATION OF DUTIES", + "params": [ + { + "id": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "organization-defined duties of individuals" + } + ], + "props": [ + { + "class": "name", + "value": "AC-5" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.5a", + "prose": [ + "\u003cp class=\"description\"\u003eSeparate \u003cinsert param-id=\"ac-5_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5a." + } + ] + }, + { + "class": "item", + "id": "ac.5b", + "prose": [ + "\u003cp class=\"description\"\u003eDocument separation of duties of individuals; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5b." + } + ] + }, + { + "class": "item", + "id": "ac.5c", + "prose": [ + "\u003cp class=\"description\"\u003eDefine system access authorizations to support separation of duties.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSeparation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example, dividing mission functions and system support functions among different individuals and/or roles; conducting system support functions with different individuals; and ensuring security personnel administering access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of organizational systems and system components when developing policy on separation of duties.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.6", + "title": "LEAST PRIVILEGE", + "props": [ + { + "class": "name", + "value": "AC-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions or business functions. Organizations consider the creation of additional processes, roles, and system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational systems.\u003c/p\u003e" + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.6.1", + "title": "AUTHORIZE ACCESS TO SECURITY FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eExplicitly authorize access to \u003cinsert param-id=\"ac-6_a\" /\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and establishing intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users.\u003c/p\u003e" + ] + } + ], + "params": [ + { + "id": "ac-6_a", + "desc": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information", + "value": "organization-defined security functions (deployed in hardware, software,\n and firmware) and security-relevant information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.2", + "title": "NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that users of system accounts, or roles, with access to \u003cinsert param-id=\"ac-6_b\"/\u003e, use non-privileged accounts or roles, when accessing nonsecurity functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.\u003c/p\u003e" + ] + } + ], + "params": [ + { + "id": "ac-6_b", + "desc": "organization-defined security functions or security-relevant information", + "value": "organization-defined security functions or security-relevant\n information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.3", + "title": "NETWORK ACCESS TO PRIVILEGED COMMANDS", + "props": [ + { + "class": "name", + "value": "AC-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize network access to \u003cinsert param-id=\"ac-6_c\"/\u003e only for \u003cinsert param-id=\"ac-6_d\"/\u003e and document the rationale for such access in the security plan for the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNetwork access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).\u003c/p\u003e" + ] + } + ], + "params": [ + { + "id": "ac-6_c", + "desc": "organization-defined privileged commands", + "value": "organization-defined privileged commands" + }, + { + "id": "ac-6_d", + "desc": "organization-defined compelling operational needs", + "value": "organization-defined compelling operational needs" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.4", + "title": "SEPARATE PROCESSING DOMAINS", + "props": [ + { + "class": "name", + "value": "AC-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide separate processing domains to enable finer-grained allocation of user privileges.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProviding separate processing domains for finer-grained allocation of user privileges includes, for example, using virtualization techniques to allow additional user privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying actual machine; employing hardware/software domain separation mechanisms; and implementing separate physical domains.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.5", + "title": "PRIVILEGED ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-6 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRestrict privileged accounts on the system to \u003cinsert param-id=\"ac-6_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided they retain the ability to control system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.\u003c/p\u003e" + ] + } + ], + "params": [ + { + "id": "ac-6_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.6", + "title": "PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS", + "props": [ + { + "class": "name", + "value": "AC-6 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit privileged access to the system by non-organizational users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.7", + "title": "REVIEW OF USER PRIVILEGES", + "props": [ + { + "class": "name", + "value": "AC-6 (7)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.6.7.a", + "prose": [ + "\u003cp class=\"description\"\u003eReview \u003cinsert param-id=\"ac-6_f\"/\u003e the privileges assigned to \u003cinsert param-id=\"ac-6_g\"/\u003e to validate the need for such privileges; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "ac.6.7.b", + "prose": [ + "\u003cp class=\"description\"\u003eReassign or remove privileges, if necessary, to correctly reflect organizational mission and business needs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6 (7)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe need for certain assigned user privileges may change over time reflecting changes in organizational missions and business functions, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.\u003c/p\u003e" + ] + } + ], + "params": [ + { + "id": "ac-6_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ac-6_g", + "desc": "organization-defined roles or classes of users", + "value": "organization-defined roles or classes of users" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.8", + "title": "PRIVILEGE LEVELS FOR CODE EXECUTION", + "props": [ + { + "class": "name", + "value": "AC-6 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent the following software from executing at higher privilege levels than users executing the software: \u003cinsert param-id=\"ac-6_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, software applications/programs need to execute with elevated privileges to perform required functions. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.\u003c/p\u003e" + ] + } + ], + "params": [ + { + "id": "ac-6_h", + "desc": "organization-defined software", + "value": "organization-defined software" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.9", + "title": "AUDITING USE OF PRIVILEGED FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAudit the execution of privileged functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMisuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.10", + "title": "PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent non-privileged users from executing privileged functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged functions include, for example, disabling, circumventing, or altering implemented security or privacy controls, establishing system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "RISK ASSESSMENT", + "controls": [ + { + "class": "SP800-53", + "id": "ra.7", + "title": "RISK RESPONSE", + "props": [ + { + "class": "name", + "value": "RA-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRespond to findings from security and privacy assessments, monitoring, and audits.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations have a variety of options for responding to risk including: mitigating the risk by implementing new controls or strengthening existing controls; accepting the risk with appropriate justification or rationale; sharing or transferring the risk; or rejecting the risk. Organizational risk tolerance influences risk response decisions and actions. Risk response is also known as risk treatment. This control addresses the need to determine an appropriate response to risk before a plan of action and milestones entry is generated. For example, the response may be to accept risk or reject risk, or it may be possible to mitigate the risk immediately so a plan of action and milestones entry is not needed. However, if the risk response is to mitigate the risk and the mitigation cannot be completed immediately, a plan of action and milestones entry is generated.\u003c/p\u003e" + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS\n Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#200", + "value": "FIPS\n Publication 200" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST\n Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST\n Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST\n Special Publication 800-39" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ra.8", + "title": "PRIVACY IMPACT ASSESSMENTS", + "props": [ + { + "class": "name", + "value": "RA-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eConduct privacy impact assessments for systems, programs, or other activities that pose a privacy risk before:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ra.8a", + "prose": [ + "\u003cp class=\"description\"\u003eDeveloping or procuring information technology that collects, maintains, or disseminates information that is in an identifiable form; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-8a." + } + ] + }, + { + "class": "item", + "id": "ra.8b", + "prose": [ + "\u003cp class=\"description\"\u003eInitiating a new collection of information that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-8b." + } + ], + "parts": [ + { + "class": "item", + "id": "ra.8b.1", + "prose": [ + "\u003cp class=\"description\"\u003eWill be collected, maintained, or disseminated using information technology; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-8b.1." + } + ] + }, + { + "class": "item", + "id": "ra.8b.2", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes information in an identifiable form permitting the physical or online contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more persons, other than agencies, instrumentalities, or employees of the Federal Government.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-8b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivacy impact assessments are an analysis of how information is managed to ensure that such management conforms to applicable legal, regulatory, and policy requirements regarding privacy; to determine the associated privacy risks and effects of creating, collecting, using, processing, storing, maintaining, disseminating, disclosing, and disposing of information in identifiable form in a system; and to examine and evaluate the protections and alternate processes for managing information to mitigate potential privacy concerns. A privacy impact assessment is an analysis and a formal document detailing the process and outcome of the analysis. To conduct the analysis, organizations use risk assessment processes. Although privacy impact assessments may be required by law, organizations may develop policies to require privacy impact assessments in circumstances where a privacy impact assessment would not be required by law.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ra.9", + "title": "CRITICALITY ANALYSIS", + "params": [ + { + "id": "ra-9_a", + "desc": "organization-defined systems, system components, or system services", + "value": "organization-defined systems, system components, or system services" + }, + { + "id": "ra-9_b", + "desc": "organization-defined decision points in the system development life cycle", + "value": "organization-defined decision points in the system development life cycle" + } + ], + "props": [ + { + "class": "name", + "value": "RA-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify critical system components and functions by performing a criticality analysis for \u003cinsert param-id=\"ra-9_a\"/\u003e at \u003cinsert param-id=\"ra-9_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNot all system components, functions, or services necessarily require significant protections. Criticality analysis is a key tenet of, for example, supply chain risk management, and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable regulations, directives, policies, standards, and guidelines, system functionality requirements, system and component interfaces, and system and component dependencies. Systems engineers conduct an end-to-end functional decomposition of a system to identify mission-critical functions and components. The functional decomposition includes the identification of core organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and beyond the system boundary. The operational environment of a system or component may impact the criticality including, for example, the connections to and dependencies on cyber-physical systems, devices, system-of-systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions supported by the system containing those components and functions. A criticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If done early in the system life cycle, organizations may consider modifying the system design to reduce the critical nature of these components and functions by, for example, adding redundancy or alternate paths into the system design.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + } +} \ No newline at end of file diff --git a/examples/mini-testing/roundtripped/01_identity-profile.xml b/examples/mini-testing/roundtripped/01_identity-profile.xml new file mode 100644 index 0000000000..81b02fa894 --- /dev/null +++ b/examples/mini-testing/roundtripped/01_identity-profile.xml @@ -0,0 +1,4 @@ + + Identity profile (an entire catalog, implicitly) + + \ No newline at end of file diff --git a/examples/mini-testing/roundtripped/01a_param-only-profile.xml b/examples/mini-testing/roundtripped/01a_param-only-profile.xml new file mode 100644 index 0000000000..36369e5aef --- /dev/null +++ b/examples/mini-testing/roundtripped/01a_param-only-profile.xml @@ -0,0 +1,12 @@ + + Parameter This + + + + + + organization-defined duties of individuals + BUTCHER; BAKER; CANDLESTICK-MAKER + + + \ No newline at end of file diff --git a/examples/mini-testing/roundtripped/02_all-profile.xml b/examples/mini-testing/roundtripped/02_all-profile.xml new file mode 100644 index 0000000000..861468ee8a --- /dev/null +++ b/examples/mini-testing/roundtripped/02_all-profile.xml @@ -0,0 +1,8 @@ + + Calling All Controls + + + + + + \ No newline at end of file diff --git a/examples/mini-testing/roundtripped/03_all-with-enh-profile.xml b/examples/mini-testing/roundtripped/03_all-with-enh-profile.xml new file mode 100644 index 0000000000..2a416ed99a --- /dev/null +++ b/examples/mini-testing/roundtripped/03_all-with-enh-profile.xml @@ -0,0 +1,8 @@ + + Once Again, with Feeling + + + + + + \ No newline at end of file diff --git a/examples/mini-testing/roundtripped/04_exclude1-profile.xml b/examples/mini-testing/roundtripped/04_exclude1-profile.xml new file mode 100644 index 0000000000..e1151f7a77 --- /dev/null +++ b/examples/mini-testing/roundtripped/04_exclude1-profile.xml @@ -0,0 +1,12 @@ + + Being Exclusive + + + + + + + + + + \ No newline at end of file diff --git a/examples/mini-testing/roundtripped/05_exclude2-profile.xml b/examples/mini-testing/roundtripped/05_exclude2-profile.xml new file mode 100644 index 0000000000..15a7672a18 --- /dev/null +++ b/examples/mini-testing/roundtripped/05_exclude2-profile.xml @@ -0,0 +1,13 @@ + + Being More Exclusive + + + + + + + + + + + \ No newline at end of file diff --git a/examples/mini-testing/roundtripped/10_some-params-profile.xml b/examples/mini-testing/roundtripped/10_some-params-profile.xml new file mode 100644 index 0000000000..be590925d4 --- /dev/null +++ b/examples/mini-testing/roundtripped/10_some-params-profile.xml @@ -0,0 +1,15 @@ + + Some Parameters + + + + + + + + + organization-defined duties of individuals + butcher; baker; candlestick-maker + + + \ No newline at end of file diff --git a/examples/mini-testing/roundtripped/11_more-params-profile.xml b/examples/mini-testing/roundtripped/11_more-params-profile.xml new file mode 100644 index 0000000000..16011705b8 --- /dev/null +++ b/examples/mini-testing/roundtripped/11_more-params-profile.xml @@ -0,0 +1,38 @@ + + More Paramters, More + + + + + + + + + + + + organization-defined duties of individuals + BUTCHER; BAKER; CANDLESTICK-MAKER + + + organization-defined security functions (deployed in hardware, software, andfirmware) and security-relevant information + DOORS, WINDOWS, AND ANY POINTS OF INGRESS; FAUCETS; CABINET DOORS + + + organization-defined security functions or security-relevant information + EXTRA-SPECIAL, SECRET AND SENSITIVE OPERATIONS SUCH AS PET FEEDING RESPONSIBILITIES + + + organization-defined privileged commands + MEDIA REALLOCATION INCLUDING HARD DRIVE REFORMATTING; ANY COMMAND ON ANY VOICE-OPERATED DEVICE + + + organization-defined compelling operational needs + EMERGENCIES, OR EARLY IN THE MORNING TO SAVE TIME + + + organization-defined personnel or roles + CREDENTIALED WIZARDS + + + \ No newline at end of file diff --git a/examples/mini-testing/roundtripped/20_compound-profile.xml b/examples/mini-testing/roundtripped/20_compound-profile.xml new file mode 100644 index 0000000000..eca9f6f80f --- /dev/null +++ b/examples/mini-testing/roundtripped/20_compound-profile.xml @@ -0,0 +1,13 @@ + + A Compound Profile + + + + + + organization-defined duties of individuals + butcher; baker; candlestick-maker + + + + \ No newline at end of file diff --git a/examples/mini-testing/roundtripped/30_patched-profile.xml b/examples/mini-testing/roundtripped/30_patched-profile.xml new file mode 100644 index 0000000000..5b98444d0c --- /dev/null +++ b/examples/mini-testing/roundtripped/30_patched-profile.xml @@ -0,0 +1,24 @@ + + Patching profile example + + + + + + organization-defined duties of individuals + butcher; baker; candlestick-maker + + + + + SEAL OF APPROVAL (a) + +

DON'T GO BACK IN THE WATER!

+
+ +

Local organizations may wish to sponsor special events including bake sales, lemonade stands, house-to-house cookie sales, lawn mowing services or other seasonal services etc.

+
+
+
+
+
\ No newline at end of file diff --git a/examples/mini-testing/roundtripped/31_patched-messy-profile.xml b/examples/mini-testing/roundtripped/31_patched-messy-profile.xml new file mode 100644 index 0000000000..71352d67d0 --- /dev/null +++ b/examples/mini-testing/roundtripped/31_patched-messy-profile.xml @@ -0,0 +1,27 @@ + + Patching profile example + + + + + + organization-defined duties of individuals + butcher; baker; candlestick-maker + + + + + SEAL OF APPROVAL (a) + +

Do NOT go back in the water.

+
+ +

Local organizations may wish to sponsor special events including

+
+ +

Code green

+
+
+
+
+
\ No newline at end of file diff --git a/examples/mini-testing/roundtripped/32_invalid-profile.xml b/examples/mini-testing/roundtripped/32_invalid-profile.xml new file mode 100644 index 0000000000..1ddbf6a702 --- /dev/null +++ b/examples/mini-testing/roundtripped/32_invalid-profile.xml @@ -0,0 +1,35 @@ + + Patching profile example + + + + + + + + + + organization-defined duties of individuals + butcher; baker; candlestick-maker + + + organization-defined duties of individuals + butcher; baker; candlestick-maker + + + + + SEAL OF APPROVAL (a) + +

Do NOT go back in the water.

+
+ +

Local organizations may wish to sponsor special events including

+
+ +

Code green

+
+
+
+
+
\ No newline at end of file diff --git a/examples/mini-testing/roundtripped/41_exceptions-profile.xml b/examples/mini-testing/roundtripped/41_exceptions-profile.xml new file mode 100644 index 0000000000..a1ced17af7 --- /dev/null +++ b/examples/mini-testing/roundtripped/41_exceptions-profile.xml @@ -0,0 +1,30 @@ + + Exceptions profile example + + + + + + + + + + + organization-defined duties of individuals + butcher; baker; candlestick-maker + + + + + SEAL OF APPROVAL (a) + +

DON'T GO BACK IN THE WATER!

+
+ +

Local organizations may wish to sponsor special events including bake sales, lemonade stands, house-to-house cookie sales, lawn mowing services or other seasonal services etc.

+
+
+
+
+ +
\ No newline at end of file diff --git a/examples/mini-testing/roundtripped/42_invoke-exceptions-profile.xml b/examples/mini-testing/roundtripped/42_invoke-exceptions-profile.xml new file mode 100644 index 0000000000..96955efcd3 --- /dev/null +++ b/examples/mini-testing/roundtripped/42_invoke-exceptions-profile.xml @@ -0,0 +1,5 @@ + + More exceptions profile example + + + \ No newline at end of file diff --git a/examples/mini-testing/roundtripped/99includeACx2-profile.xml b/examples/mini-testing/roundtripped/99includeACx2-profile.xml new file mode 100644 index 0000000000..27269b31e6 --- /dev/null +++ b/examples/mini-testing/roundtripped/99includeACx2-profile.xml @@ -0,0 +1,55 @@ + + Two controls from AC, with parameters on subcontrols + + + + + + + + + + + + + + + + + [whoever is responsible for caring for the cats] - organization-defined duties ofindividuals + CAT PERSON #1 (primary), CAT PERSON #2 (asst), FURTHER CAT PERSONS + + + [wherever the cat/s need/s to get to on a regular basis ] - organization-definedsecurity functions (deployed in hardware, software, and firmware) and security-relevantinformation + CAT FOOD STATION; LITTER BOX; REGULAR ACCESS TO OUTDOORS + + + [describe feeding routine] - organization-defined security functions orsecurity-relevant information + REGULAR FEEDINGS AND PROVISION OF TREATS + + + [whatever activities occur over networks] - organization-defined privilegedcommands + COMMUNICATIVE BEHAVIORS SUCH AS RUBBING LEGS + + + [such occasions as network access may occur] - organization-defined compellingoperational needs + MEALTIMES + + + FOREMENTIONED PET CARETAKERS AND STAFF - organization-defined personnel orroles + FOREMENTIONED PET CARETAKERS AND STAFF + + + VERY FREQUENTLY - organization-defined frequency + VERY FREQUENTLY + + + PET CARETAKERS - organization-defined roles or classes of users + PET CARETAKERS + + + CAT TOYS - organization-defined software + CAT TOYS + + + \ No newline at end of file diff --git a/examples/mini-testing/roundtripped/99includeRAx3-profile.xml b/examples/mini-testing/roundtripped/99includeRAx3-profile.xml new file mode 100644 index 0000000000..7cf0358962 --- /dev/null +++ b/examples/mini-testing/roundtripped/99includeRAx3-profile.xml @@ -0,0 +1,18 @@ + + Three RA controls with parameters + + + + + + + + PET FEEDING, PLAY, ENVIRONMENTAL, VETERINARY REQUIREMENTS - organization-defined systems, system components, or system services + PET FEEDING, PLAY, ENVIRONMENTAL, VETERINARY REQUIREMENTS + + + ON AN ONGOING BASIS (AT LEAST NIGHTLY) - organization-defined decision points in the system development lifecycle + ON AN ONGOING BASIS (AT LEAST NIGHTLY) + + + \ No newline at end of file diff --git a/examples/mini-testing/roundtripped/mini-testing-catalog.xml b/examples/mini-testing/roundtripped/mini-testing-catalog.xml new file mode 100644 index 0000000000..3200bb7f73 --- /dev/null +++ b/examples/mini-testing/roundtripped/mini-testing-catalog.xml @@ -0,0 +1,287 @@ + + MINI TESTING catalog +
+ This catalog +

Mini-testing starts as a reduced and mocked up subset of SP800-53 controls for testing and demonstration of OSCAL features and functionalities.

+
+ + FAKE(S) + + EVERYTHING ALL MIXED TOGETHER + + FAKE PARAMETER IN FAKE CONTROL + whatever is mixed or to be mixed + + FAKE_0 + +

Whatever to be mixed is a fake control with some pathological markup.

+ +

Insert your fake parameter here: ;

+ FAKEa. +
+ +

This item includes inline markup such as italics, bold, emphasis, code, quoted text and even a bit of water (H2O).

+ FAKEb. +
+ +

This item includes some more complex prose:

+ FAKEc. +
+
+ +

Don't follow any guidance you find in a fake control.

+
+
+
+ + ACCESS CONTROL + + SEPARATION OF DUTIES + + organization-defined duties of individuals + organization-defined duties of individuals + + AC-5 + + +

Separate ;

+ AC-5a. +
+ +

Document separation of duties of individuals; and

+ AC-5b. +
+ +

Define system access authorizations to support separation of duties.

+ AC-5c. +
+
+ +

Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example, dividing mission functions and system support functions among different individuals and/or roles; conducting system support functions with different individuals; and ensuring security personnel administering access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of organizational systems and system components when developing policy on separation of duties.

+
+
+ + LEAST PRIVILEGE + AC-6 + +

Employ the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.

+
+ +

Organizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions or business functions. Organizations consider the creation of additional processes, roles, and system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational systems.

+
+ + AUTHORIZE ACCESS TO SECURITY FUNCTIONS + AC-6 (1) + +

Explicitly authorize access to .

+
+ +

Security functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and establishing intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users.

+
+ + organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information + organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information + +
+ + NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS + AC-6 (2) + +

Require that users of system accounts, or roles, with access to , use non-privileged accounts or roles, when accessing nonsecurity functions.

+
+ +

This control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.

+
+ + organization-defined security functions or security-relevant information + organization-defined security functions or security-relevant information + +
+ + NETWORK ACCESS TO PRIVILEGED COMMANDS + AC-6 (3) + +

Authorize network access to only for and document the rationale for such access in the security plan for the system.

+
+ +

Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).

+
+ + organization-defined privileged commands + organization-defined privileged commands + + + organization-defined compelling operational needs + organization-defined compelling operational needs + +
+ + SEPARATE PROCESSING DOMAINS + AC-6 (4) + +

Provide separate processing domains to enable finer-grained allocation of user privileges.

+
+ +

Providing separate processing domains for finer-grained allocation of user privileges includes, for example, using virtualization techniques to allow additional user privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying actual machine; employing hardware/software domain separation mechanisms; and implementing separate physical domains.

+
+
+ + PRIVILEGED ACCOUNTS + AC-6 (5) + +

Restrict privileged accounts on the system to .

+
+ +

Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided they retain the ability to control system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.

+
+ + organization-defined personnel or roles + organization-defined personnel or roles + +
+ + PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS + AC-6 (6) + +

Prohibit privileged access to the system by non-organizational users.

+
+ +

None.

+
+
+ + REVIEW OF USER PRIVILEGES + AC-6 (7) + + +

Review the privileges assigned to to validate the need for such privileges; and

+ AC-6 (7)(a) +
+ +

Reassign or remove privileges, if necessary, to correctly reflect organizational mission and business needs.

+ AC-6 (7)(b) +
+
+ +

The need for certain assigned user privileges may change over time reflecting changes in organizational missions and business functions, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.

+
+ + organization-defined frequency + organization-defined frequency + + + organization-defined roles or classes of users + organization-defined roles or classes of users + +
+ + PRIVILEGE LEVELS FOR CODE EXECUTION + AC-6 (8) + +

Prevent the following software from executing at higher privilege levels than users executing the software: .

+
+ +

In certain situations, software applications/programs need to execute with elevated privileges to perform required functions. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.

+
+ + organization-defined software + organization-defined software + +
+ + AUDITING USE OF PRIVILEGED FUNCTIONS + AC-6 (9) + +

Audit the execution of privileged functions.

+
+ +

Misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat.

+
+
+ + PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS + AC-6 (10) + +

Prevent non-privileged users from executing privileged functions.

+
+ +

Privileged functions include, for example, disabling, circumventing, or altering implemented security or privacy controls, establishing system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.

+
+
+
+
+ + RISK ASSESSMENT + + RISK RESPONSE + RA-7 + +

Respond to findings from security and privacy assessments, monitoring, and audits.

+
+ +

Organizations have a variety of options for responding to risk including: mitigating the risk by implementing new controls or strengthening existing controls; accepting the risk with appropriate justification or rationale; sharing or transferring the risk; or rejecting the risk. Organizational risk tolerance influences risk response decisions and actions. Risk response is also known as risk treatment. This control addresses the need to determine an appropriate response to risk before a plan of action and milestones entry is generated. For example, the response may be to accept risk or reject risk, or it may be possible to mitigate the risk immediately so a plan of action and milestones entry is not needed. However, if the risk response is to mitigate the risk and the mitigation cannot be completed immediately, a plan of action and milestones entry is generated.

+
+ + + FIPS Publication 199 + + + FIPS Publication 200 + + + NIST Special Publication 800-30 + + + NIST Special Publication 800-37 + + + NIST Special Publication 800-39 + + +
+ + PRIVACY IMPACT ASSESSMENTS + RA-8 + +

Conduct privacy impact assessments for systems, programs, or other activities that pose a privacy risk before:

+ +

Developing or procuring information technology that collects, maintains, or disseminates information that is in an identifiable form; and

+ RA-8a. +
+ +

Initiating a new collection of information that:

+ RA-8b. + +

Will be collected, maintained, or disseminated using information technology; and

+ RA-8b.1. +
+ +

Includes information in an identifiable form permitting the physical or online contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more persons, other than agencies, instrumentalities, or employees of the Federal Government.

+ RA-8b.2. +
+
+
+ +

Privacy impact assessments are an analysis of how information is managed to ensure that such management conforms to applicable legal, regulatory, and policy requirements regarding privacy; to determine the associated privacy risks and effects of creating, collecting, using, processing, storing, maintaining, disseminating, disclosing, and disposing of information in identifiable form in a system; and to examine and evaluate the protections and alternate processes for managing information to mitigate potential privacy concerns. A privacy impact assessment is an analysis and a formal document detailing the process and outcome of the analysis. To conduct the analysis, organizations use risk assessment processes. Although privacy impact assessments may be required by law, organizations may develop policies to require privacy impact assessments in circumstances where a privacy impact assessment would not be required by law.

+
+
+ + CRITICALITY ANALYSIS + + organization-defined systems, system components, or system services + organization-defined systems, system components, or system services + + + organization-defined decision points in the system development life cycle + organization-defined decision points in the system development life cycle + + RA-9 + +

Identify critical system components and functions by performing a criticality analysis for at .

+
+ +

Not all system components, functions, or services necessarily require significant protections. Criticality analysis is a key tenet of, for example, supply chain risk management, and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable regulations, directives, policies, standards, and guidelines, system functionality requirements, system and component interfaces, and system and component dependencies. Systems engineers conduct an end-to-end functional decomposition of a system to identify mission-critical functions and components. The functional decomposition includes the identification of core organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and beyond the system boundary. The operational environment of a system or component may impact the criticality including, for example, the connections to and dependencies on cyber-physical systems, devices, system-of-systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions supported by the system containing those components and functions. A criticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If done early in the system life cycle, organizations may consider modifying the system design to reduce the critical nature of these components and functions by, for example, adding redundancy or alternate paths into the system design.

+
+
+
+
\ No newline at end of file diff --git a/schema/json/oscal-core.json b/schema/json/oscal-core.json new file mode 100644 index 0000000000..cc514d1712 --- /dev/null +++ b/schema/json/oscal-core.json @@ -0,0 +1,1247 @@ +{ + "$schema": "http://json-schema.org/draft-06/schema#", + "$id": "http://csrc.nist.gov/ns/oscal/1.0-core.json", + "definitions": { + "catalog": { + "$id": "#/definitions/catalog", + "type": "object", + "description": "A (canonical) control catalog: a structured set of security controls", + "properties": { + "title": { + "type": "string", + "description": "A fallback for display and navigation, exclusive of more specific properties" + }, + "declarations": { + "anyOf": [ + { + "$ref": "#/definitions/declarations" + }, + { + "href": { + "type": "string", + "description": "" + } + } + ], + "description": "For extra-schema validation of control components within controls" + }, + "sections": { + "type": "array", + "items": { + "$ref": "#/definitions/section" + } + }, + "groups": { + "type": "array", + "description": "Related controls or groups (of controls or groups)", + "items": { + "$ref": "#/definitions/group" + } + }, + "controls": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/control" + } + }, + "references": { + "$ref": "#/definitions/references" + } + }, + "propertyNames": { + "enum": [ + "title", + "declarations", + "sections", + "groups", + "controls", + "references" + ] + } + }, + "framework": { + "$id": "#/definitions/framework", + "type": "object", + "description": "A collection of components for formal reference into and among control catalogs", + "properties": { + "id": { + "type": "string", + "description": "" + }, + "optionalClass": { + "type": "string", + "description": "" + }, + "title": { + "type": "string", + "description": "A fallback for display and navigation, exclusive of more specific properties" + }, + "declarations": { + "anyOf": [ + { + "$ref": "#/definitions/declarations" + }, + { + "href": { + "type": "string", + "description": "" + } + } + ], + "description": "For extra-schema validation of control components within controls" + }, + "sections": { + "type": "array", + "description": "For partitioning a catalog, collection, or section therein", + "items": { + "$ref": "#/definitions/section" + } + }, + "categories": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/category" + } + }, + "items": { + "type": "array", + "description": "Within a framework, a structured information object typically referencing one or more security controls", + "items": { + "$ref": "#/definitions/item" + } + }, + "references": { + "$ref": "#/definitions/references" + } + }, + "propertyNames": { + "enum": [ + "id", + "class", + "title", + "declarations", + "sections", + "groups", + "components", + "references" + ] + } + }, + "worksheet": { + "$id": "#/definitions/worksheet", + "description": "An arbitrary, working collection of components", + "$ref": "#/definitions/framework" + }, + "category": { + "$id": "#/definitions/category", + "type": "object", + "oneOf": [ + { + "properties": { + "id": { + "type": "string", + "description": "" + }, + "optionalClass": { + "type": "string", + "description": "" + }, + "title": { + "type": "string", + "description": "A fallback for display and navigation, exclusive of more specific properties" + }, + "props": { + "type": "array", + "items": { + "$ref": "#/definitions/prop" + } + }, + "links": { + "type": "array", + "items": { + "$ref": "#/definitions/link" + } + }, + "prose": { + "type": "array", + "items": { + "type": "string", + "description": "OSCAL prose elements echo HTML semantics, although they are deliberately and specifically a narrow subset of HTML element types." + } + }, + "categories": { + "type": "array", + "items": { + "$ref": "#/definitions/category" + }, + "minItems": 1 + } + }, + "propertyNames": { + "enum": [ + "id", + "class", + "title", + "props", + "links", + "prose", + "groups" + ] + } + }, + { + "properties": { + "id": { + "type": "string", + "description": "" + }, + "optionalClass": { + "type": "string", + "description": "" + }, + "title": { + "type": "string", + "description": "A fallback for display and navigation, exclusive of more specific properties" + }, + "props": { + "type": "array", + "items": { + "$ref": "#/definitions/prop" + } + }, + "links": { + "type": "array", + "items": { + "$ref": "#/definitions/link" + } + }, + "prose": { + "type": "array", + "items": { + "type": "string", + "description": "OSCAL prose elements echo HTML semantics, although they are deliberately and specifically a narrow subset of HTML element types." + } + }, + "items": { + "type": "array", + "items": { + "$ref": "#/definitions/item" + }, + "minItems": 1 + } + }, + "propertyNames": { + "enum": [ + "id", + "class", + "title", + "props", + "links", + "prose", + "groups", + "components" + ] + } + } + ] + + }, + "item": { + "$id": "#/definitions/item", + "type": "object", + "properties": { + "id": { + "type": "string", + "description": "" + }, + "optionalClass": { + "type": "string", + "description": "" + }, + "title": { + "type": "string", + "description": "A fallback for display and navigation, exclusive of more specific properties" + }, + "params": { + "type": "array", + "items": { + "$ref": "#/definitions/param" + } + }, + "props": { + "type": "array", + "items": { + "$ref": "#/definitions/prop" + } + }, + "links": { + "type": "array", + "items": { + "$ref": "#/definitions/link" + } + }, + "prose": { + "type": "array", + "items": { + "type": "string", + "description": "OSCAL prose elements echo HTML semantics, although they are deliberately and specifically a narrow subset of HTML element types." + } + }, + "parts": { + "type": "array", + "items": { + "$ref": "#/definitions/part" + } + }, + "items": { + "type": "array", + "items": { + "$ref": "#/definitions/item" + } + } + }, + "propertyNames": { + "enum": [ + "id", + "class", + "title", + "params", + "props", + "links", + "prose", + "parts", + "components" + ] + } + }, + "declarations": { + "$id": "#/definitions/declarations", + "description": "For extra-schema validation of data given within controls or framework components", + "type": "object", + "properties": { + "href": { + "type": "string", + "description": "" + }, + "parameterDeclarations": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/parameterDeclaration" + } + }, + "propertyDeclarations": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/propertyDeclaration" + } + }, + "partDeclarations": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/partDeclaration" + } + }, + "paragraphDeclarations": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/paragraphDeclaration" + } + }, + "linkDeclarations": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/linkDeclaration" + } + } + }, + "propertyNames": { + "enum": [ + "href", + "parameterDeclarations", + "propertyDeclarations", + "partDeclarations", + "paragraphDeclarations", + "linkDeclarations" + ] + } + }, + "parameterDeclaration": { + "$id": "#/definitions/parameterDeclaration", + "type": "null", + "description": "" + }, + "propertyDeclaration": { + "$id": "#/definitions/propertyDeclaration", + "description": "Constraints applicable to a class or classes of prop elements (properties) in context", + "type": "object", + "anyOf": [ + { + "properties": { + "requiredClass": { + "type": "string", + "description": "" + }, + "context": { + "type": "string", + "description": "" + }, + "singleton": { + "type": "boolean", + "description": "The declared component may occur only once in its context" + }, + "required": { + "type": "boolean", + "description": "The declared component is required in its context" + }, + "identifier": { + "type": "boolean", + "description": "The declared component has a value unique within the document, among properties (prop) with the same class" + }, + "regex": { + "type": "string", + "description": "Indicates that the value of a property (prop) or parameter (param) must match the given regular expression" + } + }, + "propertyNames": { + "enum": [ + "class", + "context", + "singleton", + "required", + "identifier", + "regex" + ] + } + }, + { + "properties": { + "requiredClass": { + "type": "string", + "description": "" + }, + "context": { + "type": "string", + "description": "" + }, + "singleton": { + "type": "boolean", + "description": "The declared component may occur only once in its context" + }, + "required": { + "type": "boolean", + "description": "The declared component is required in its context" + }, + "identifier": { + "type": "boolean", + "description": "The declared component has a value unique within the document, among properties (prop) with the same class" + }, + "calc": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/calc" + } + } + }, + "propertyNames": { + "enum": [ + "class", + "context", + "singleton", + "required", + "identifier", + "calc" + ] + } + }, + { + "properties": { + "requiredClass": { + "type": "string", + "description": "" + }, + "context": { + "type": "string", + "description": "" + }, + "singleton": { + "type": "boolean", + "description": "The declared component may occur only once in its context" + }, + "required": { + "type": "boolean", + "description": "The declared component is required in its context" + }, + "identifier": { + "type": "boolean", + "description": "The declared component has a value unique within the document, among properties (prop) with the same class" + }, + "values": { + "type": "array", + "description": "Indicates a permissible value for a parameter or property", + "items": { + "type": "string" + } + } + }, + "propertyNames": { + "enum": [ + "class", + "context", + "singleton", + "required", + "identifier", + "values" + ] + } + } + ] + }, + "partDeclaration": { + "$id": "#/definitions/partDeclaration", + "description": "Indicates constraints to be imposed on parts in context", + "type": "object", + "properties": { + "requiredClass": { + "type": "string", + "description": "" + }, + "context": { + "type": "string", + "description": "" + }, + "singleton": { + "type": "boolean", + "description": "The declared component may occur only once in its context" + }, + "required": { + "type": "boolean", + "description": "The declared component is required in its context" + } + }, + "propertyNames": { + "enum": [ + "class", + "context", + "singleton", + "required" + ] + } + }, + "paragraphDeclaration": { + "$id": "#/definitions/paragraphDeclaration", + "type": "object", + "description": "Indicates constraints to be enforced on paragraphs in context", + "properties": { + "requiredClass": { + "type": "string", + "description": "" + }, + "context": { + "type": "string", + "description": "" + }, + "singleton": { + "type": "boolean", + "description": "The declared component may occur only once in its context" + }, + "required": { + "type": "boolean", + "description": "The declared component is required in its context" + } + }, + "propertyNames": { + "enum": [ + "class", + "context", + "singleton", + "required" + ] + } + }, + "linkDeclaration": { + "$id": "#/definitions/linkDeclaration", + "type": "object", + "description": "Indicates constraints to be imposed on links in context", + "properties": { + "rel": { + "type": "string", + "description": "" + }, + "context": { + "type": "string", + "description": "" + }, + "singleton": { + "type": "boolean", + "description": "The declared component may occur only once in its context" + }, + "required": { + "type": "boolean", + "description": "The declared component is required in its context" + } + }, + "propertyNames": { + "enum": [ + "rel", + "context", + "required", + "singleton" + ] + } + }, + "calc": { + "$id": "#/definitions/calc", + "description": "", + "type": "object", + "properties": { + "inheritances": { + "type": "array", + "items": { + "$ref": "#/definitions/inherit" + } + }, + "autonum": { + "type": "array", + "items": { + "$ref": "#/definitions/autonum" + } + }, + "value": { + "type": "string", + "description": "" + } + }, + "propertyNames": { + "enum": [ + "inheritances", + "autonum", + "value" + ] + } + }, + "inherit": { + "$id": "#/definitions/inherit", + "description": "", + "oneOf": [ + { + "type": "object", + "properties": { + "from": { + "type": "string", + "description": "" + } + }, + "propertyNames": { + "enum": [ + "from" + ] + } + }, + { + "type": "boolean" + } + ] + }, + "autonum": { + "$id": "#/definitions/autonum", + "type": "string", + "description": "" + }, + "section": { + "$id": "#/definitions/section", + "description": "For partitioning a catalog, collection, or section therein", + "type": "object", + "properties": { + "id": { + "type": "string", + "description": "" + }, + "optionalClass": { + "type": "string", + "description": "" + }, + "title": { + "type": "string", + "description": "A fallback for display and navigation, exclusive of more specific properties" + }, + "prose": { + "type": "array", + "items": { + "type": "string", + "description": "OSCAL prose elements echo HTML semantics, although they are deliberately and specifically a narrow subset of HTML element types." + } + }, + "sections": { + "type": "array", + "items": { + "$ref": "#/definitions/section" + } + }, + "groups": { + "type": "array", + "items": { + "$ref": "#/definitions/group" + } + }, + "references": { + "$ref": "#/definitions/references" + } + }, + "propertyNames": { + "enum": [ + "id", + "class", + "title", + "prose", + "sections", + "groups", + "references" + ] + } + }, + "group": { + "$id": "#/definitions/group", + "description": "Related controls or groups (of controls or groups)", + "type": "object", + "anyOf": [ + { + "properties": { + "id": { + "type": "string", + "description": "" + }, + "optionalClass": { + "type": "string", + "description": "" + }, + "title": { + "type": "string", + "description": "A fallback for display and navigation, exclusive of more specific properties" + }, + "props": { + "type": "array", + "items": { + "$ref": "#/definitions/prop" + } + }, + "parts": { + "type": "array", + "items": { + "$ref": "#/definitions/part" + } + }, + "links": { + "type": "array", + "items": { + "$ref": "#/definitions/link" + } + }, + "params": { + "type": "array", + "items": { + "$ref": "#/definitions/param" + } + }, + "groups": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/group" + }, + "minItems": 1 + }, + "references": { + "$ref": "#/definitions/references" + } + }, + "propertyNames": { + "enum": [ + "id", + "class", + "title", + "props", + "parts", + "links", + "params", + "groups", + "references" + ] + } + }, + { + "properties": { + "id": { + "type": "string", + "description": "" + }, + "optionalClass": { + "type": "string", + "description": "" + }, + "title": { + "type": "string", + "description": "A fallback for display and navigation, exclusive of more specific properties" + }, + "props": { + "type": "array", + "items": { + "$ref": "#/definitions/prop" + } + }, + "parts": { + "type": "array", + "items": { + "$ref": "#/definitions/part" + } + }, + "links": { + "type": "array", + "items": { + "$ref": "#/definitions/link" + } + }, + "params": { + "type": "array", + "items": { + "$ref": "#/definitions/param" + } + }, + "controls": { + "type": "array", + "description": "A structured information object representing a security control", + "items": { + "$ref": "#/definitions/control" + }, + "minItems": 1 + }, + "references": { + "$ref": "#/definitions/references" + } + }, + "propertyNames": { + "enum": [ + "id", + "class", + "title", + "props", + "parts", + "links", + "params", + "controls", + "references" + ] + } + } + ] + }, + "control": { + "$id": "#/definitions/control", + "type": "object", + "description": "A structured information object representing a security control", + "properties": { + "id": { + "type": "string", + "description": "" + }, + "optionalClass": { + "type": "string", + "description": "" + }, + "title": { + "type": "string", + "description": "A fallback for display and navigation, exclusive of more specific properties" + }, + "props": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/prop" + } + }, + "parts": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/part" + } + }, + "links": { + "type": "array", + "items": { + "$ref": "#/definitions/link" + } + }, + "params": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/param" + } + }, + "subcontrols": { + "type": "array", + "items": { + "$ref": "#/definitions/subcontrol" + } + }, + "references": { + "$ref": "#/definitions/references" + } + }, + "propertyNames": { + "enum": [ + "id", + "class", + "title", + "props", + "parts", + "links", + "params", + "subcontrols", + "references" + ] + } + }, + "subcontrol": { + "$id": "#/definitions/subcontrol", + "type": "object", + "description": "", + "properties": { + "id": { + "type": "string", + "description": "" + }, + "optionalClass": { + "type": "string", + "description": "" + }, + "title": { + "type": "string", + "description": "A fallback for display and navigation, exclusive of more specific properties" + }, + "props": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/prop" + } + }, + "parts": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/part" + } + }, + "links": { + "type": "array", + "items": { + "$ref": "#/definitions/link" + } + }, + "params": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/param" + } + }, + "references": { + "$ref": "#/definitions/references" + } + }, + "propertyNames": { + "enum": [ + "id", + "class", + "title", + "props", + "parts", + "links", + "params", + "references" + ] + } + }, + "part": { + "$id": "#/definitions/part", + "type": "object", + "description": "A partition, \"piece\" or section of a control, subcontrol, component or part", + "properties": { + "id": { + "type": "string", + "description": "" + }, + "optionalClass": { + "type": "string", + "description": "" + }, + "title": { + "type": "string", + "description": "A fallback for display and navigation, exclusive of more specific properties" + }, + "prose": { + "type": "array", + "items": { + "type": "string", + "description": "OSCAL prose elements echo HTML semantics, although they are deliberately and specifically a narrow subset of HTML element types." + } + }, + "props": { + "type": "array", + "description": "A value with a name, attributed to the containing control, subcontrol, part, or group", + "items": { + "$ref": "#/definitions/prop" + } + }, + "parts": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/part" + } + }, + "links": { + "type": "array", + "items": { + "$ref": "#/definitions/link" + } + }, + "params": { + "type": "array", + "description": "", + "items": { + "$ref": "#/definitions/param" + } + } + }, + "propertyNames": { + "enum": [ + "id", + "class", + "title", + "prose", + "props", + "parts", + "links", + "params" + ] + } + }, + "link": { + "$id": "#/definitions/link", + "description": "A line or paragraph with a hypertext link", + "type": "object", + "properties": { + "rel": { + "type": "string", + "description": "" + }, + "href": { + "type": "string", + "description": "" + }, + "value": { + "type": "string", + "description": "" + } + }, + "propertyNames": { + "enum": [ + "rel", + "href", + "value" + ] + } + }, + "param": { + "$id": "#/definitions/param", + "type": "object", + "description": "A parameter setting, to be propagated to points of insertion", + "properties": { + "id": { + "type": "string", + "description": "" + }, + "optionalClass": { + "type": "string", + "description": "" + }, + "desc": { + "type": "string", + "description": "Indicates and explains the purpose and use of a parameter" + }, + "value": { + "type": "string", + "description": "" + } + }, + "propertyNames": { + "enum": [ + "id", + "class", + "desc", + "value" + ] + } + }, + "prop": { + "$id": "#/definitions/prop", + "type": "object", + "description": "A value with a name, attributed to the containing control, subcontrol, component, part, or group", + "properties": { + "requiredClass": { + "type": "string", + "description": "" + }, + "value": { + "type": "string", + "description": "" + } + }, + "propertyNames": { + "enum": [ + "class", + "value" + ] + } + }, + "references": { + "$id": "#/definitions/references", + "type": "object", + "description": "A group of reference descriptions", + "properties": { + "refs": { + "type": "array", + "items": { + "$ref": "#/definitions/ref" + }, + "minItems": 1 + } + }, + "propertyNames": { + "enum": [ + "refs" + ] + } + }, + "ref": { + "$id": "#/definitions/ref", + "type": "object", + "description": "A reference, with one or more citations to standards, related documents, or other resources", + "properties": { + "id": { + "type": "string", + "description": "" + }, + "standards": { + "type": "array", + "items": { + "type": "object", + "description": "Citation of a formal published standard", + "properties": { + "href": { + "type": "string", + "description": "" + }, + "value": { + "type": "string", + "description": "" + } + }, + "propertyNames": { + "enum": [ + "href", + "value" + ] + } + } + }, + "citations": { + "type": "array", + "items": { + "type": "object", + "description": "Citation of a resource", + "properties": { + "href": { + "type": "string", + "description": "" + }, + "value": { + "type": "string", + "description": "" + } + }, + "propertyNames": { + "enum": [ + "href", + "value" + ] + } + } + }, + "prose": { + "type": "array", + "items": { + "type": "string", + "description": "OSCAL prose elements echo HTML semantics, although they are deliberately and specifically a narrow subset of HTML element types." + } + } + }, + "propertyNames": { + "enum": [ + "id", + "standards", + "citations", + "prose" + ] + } + } + }, + "oneOf": [ + { + "properties": { + "catalog": { + "$ref": "#/definitions/catalog" + } + }, + "propertyNames": { + "enum": [ + "catalog" + ] + } + }, + { + "properties": { + "declarations": { + "$ref": "#/definitions/declarations" + } + }, + "propertyNames": { + "enum": [ + "declarations" + ] + } + }, + { + "properties": { + "framework": { + "$ref": "#/definitions/framework" + } + }, + "propertyNames": { + "enum": [ + "framework" + ] + } + } + ] +} diff --git a/schema/json/oscal-profile.json b/schema/json/oscal-profile.json new file mode 100644 index 0000000000..85fed30edb --- /dev/null +++ b/schema/json/oscal-profile.json @@ -0,0 +1,368 @@ +{ + "$schema": "http://json-schema.org/draft-06/schema#", + "$id": "http://csrc.nist.gov/ns/oscal/1.0-profile.json", + "definitions": { + "invoke": { + "$id": "#/definitions/invoke", + "type": "object", + "description": "For invocation of controls and subcontrols from a catalog or other authority", + "properties": { + "href": { + "type": "string", + "description": "" + }, + "include": { + "$ref": "#/definitions/include" + }, + "exclude": { + "$ref": "#/definitions/exclude" + }, + "paramSettings": { + "type": "array", + "items": { + "$ref": "#/definitions/paramSetting" + } + }, + "alterations": { + "type": "array", + "items": { + "$ref": "#/definitions/alteration" + } + } + }, + "propertyNames": { + "enum": [ + "href", + "include", + "exclude", + "paramSettings", + "alterations" + ] + } + }, + "include": { + "$id": "#/definitions/include", + "type": "object", + "description": "The element's contents indicate which controls and subcontrols to include from the authority (source catalog)", + "anyOf": [ + { + "properties": { + "all": { + "type": "object", + "description": "Include all controls from the invoked authority (catalog)", + "properties": { + "withSubcontrols": { + "type": "boolean", + "description": "" + } + } + }, + "calls": { + "type": "array", + "items": { + "$ref": "#/definitions/call" + }, + "minItems": 1 + } + }, + "propertyNames": { + "enum": [ + "all", + "calls" + ] + } + }, + { + "properties": { + "all": { + "type": "boolean", + "description": "Include all controls from the invoked authority (catalog)" + } + }, + "propertyNames": { + "enum": [ + "all" + ] + } + } + ] + }, + "exclude": { + "$id": "#/definitions/exclude", + "type": "object", + "description": "Which controls and subcontrols to exclude from the authority (source catalog) being invoked", + "properties": { + "calls": { + "type": "array", + "items": { + "type": "object", + "description": "", + "properties": { + "controlId": { + "type": "string", + "description": "" + }, + "subcontrolId": { + "type": "string", + "description": "" + } + }, + "propertyNames": { + "enum": [ + "controlId", + "subcontrolId" + ] + } + }, + "minItems": 1 + } + }, + "propertyNames": { + "enum": [ + "calls" + ] + } + }, + "call": { + "$id": "#/definitions/call", + "type": "object", + "description": "", + "anyOf": [ + { + "properties": { + "withSubcontrols": { + "type": "boolean", + "description": "" + }, + "controlId": { + "type": "string", + "description": "" + } + }, + "propertyNames": { + "enum": [ + "withSubcontrols", + "controlId" + ] + } + }, + { + "properties": { + "subcontrolID": { + "type": "string", + "description": "" + } + }, + "propertyNames": { + "enum": [ + "subcontrolId" + ] + } + } + ] + }, + "filter": { + "$id": "#/definitions/filter", + "type": "object", + "description": "", + "properties": { + "key": { + "type": "string", + "description": "" + }, + "value": { + "type": "string", + "description": "" + } + }, + "propertyNames": { + "enum": [ + "key", + "value" + ] + } + }, + "paramSetting": { + "$id": "#/definitions/paramSetting", + "type": "object", + "description": "", + "properties": { + "paramId": { + "type": "string", + "description": "", + "pattern": "^\\S*[a-zA-Z0-9.\\-_\\:]\\S*$" + }, + "optionalClass": { + "type": "string", + "description": "" + }, + "desc": { + "type": "string", + "description": "" + }, + "paramValue": { + "type": "string", + "description": "" + } + }, + "propertyNames": { + "enum": [ + "paramId", + "class", + "desc", + "value" + ] + } + }, + "alteration": { + "$id": "#/definitions/alteration", + "type": "object", + "description": "", + "anyOf": [ + { + "properties": { + "controlId": { + "type": "string", + "description": "" + }, + "remove": { + "type": "array", + "items": { + "$ref": "#/definitions/remove" + } + }, + "augment": { + "oneOf": [ + { + "$ref": "#/definitions/augment" + }, + { + "type": "boolean" + } + ] + } + }, + "propertyNames": { + "enum": [ + "controlId", + "remove", + "augment" + ] + } + }, + { + "properties": { + "subcontrolId": { + "type": "string", + "description": "" + }, + "remove": { + "type": "array", + "items": { + "$ref": "#/definitions/remove" + } + }, + "augment": { + "oneOf": [ + { + "$ref": "#/definitions/augment" + }, + { + "type": "boolean" + } + ] + } + }, + "propertyNames": { + "enum": [ + "subcontrolId", + "remove", + "augment" + ] + } + } + ] + }, + "remove": { + "$id": "#/definitions/remove", + "type": "object", + "description": "", + "properties": { + "targets": { + "type": "array", + "items": { + "type": "string", + "pattern": "^\\S*[a-zA-Z0-9.\\-_\\:]\\S*$" + } + } + }, + "propertyNames": { + "enum": [ + "targets" + ] + } + }, + "augment": { + "$id": "#/definitions/augment", + "type": "object", + "description": "", + "properties": { + "props": { + "type": "array", + "description": "", + "items": { + "$ref": "oscal-core.json#/definitions/prop" + } + }, + "parts": { + "type": "array", + "description": "", + "items": { + "$ref": "oscal-core.json#/definitions/part" + } + } + }, + "propertyNames": { + "enum": [ + "props", + "parts" + ] + } + } + }, + "type": "object", + "description": "In reference to a catalog (or other authority such as profile or framework), a selection and configuration of controls, maintained separately", + "properties": { + "id": { + "type": "string", + "description": "" + }, + "title": { + "type": "string", + "description": "" + }, + "invocations": { + "description": "", + "type": "array", + "items": { + "$ref": "#/definitions/invoke" + }, + "minItems": 1 + }, + "framework": { + "description": "", + "$ref": "oscal-core.json#/definitions/framework" + } + }, + "propertyNames": { + "enum": [ + "id", + "title", + "invocations", + "framework" + ] + }, + "required": [ + "invocations" + ] +} diff --git a/working/COBIT5/cobit5-auto-declarations.json b/working/COBIT5/cobit5-auto-declarations.json new file mode 100644 index 0000000000..4c649e7bec --- /dev/null +++ b/working/COBIT5/cobit5-auto-declarations.json @@ -0,0 +1,507 @@ +{ + "declarations": { + "propertyDeclarations": [ + { + "class": "area", + "context": "domain", + "singleton": true, + "required": true, + "values": [ + "Governance", + "Management" + ] + }, + { + "class": "code", + "context": "domain", + "singleton": true, + "required": true, + "values": [ + "EDM", + "APO", + "BAI", + "DSS", + "MEA" + ] + }, + { + "class": "number", + "context": "process", + "singleton": true, + "required": true, + "values": [ + "EDM01", + "EDM02", + "EDM03", + "EDM04", + "EDM05", + "APO01", + "APO02", + "APO03", + "APO04", + "APO05", + "APO06", + "APO07", + "APO08", + "APO09", + "APO10", + "APO11", + "APO12", + "APO13", + "BAI01", + "BAI02", + "BAI03", + "BAI04", + "BAI05", + "BAI06", + "BAI07", + "BAI08", + "BAI09", + "BAI10", + "DSS01", + "DSS02", + "DSS03", + "DSS04", + "DSS05", + "DSS06", + "MEA01", + "MEA02", + "MEA03" + ] + }, + { + "class": "scope", + "context": "IT-goal", + "singleton": true, + "required": true, + "values": [ + "IT" + ] + }, + { + "class": "number", + "context": "IT-goal", + "singleton": true, + "required": true, + "values": [ + "01", + "03", + "07", + "02", + "04", + "06", + "10", + "14", + "11", + "15 " + ] + }, + { + "class": "metric", + "context": "metrics", + "required": true, + "values": [ + "Percent of enterprise strategic goals and requirements supported by IT strategic\n goals", + "Level of stakeholder satisfaction with scope of the planned portfolio of programmes\n and services", + "Percent of IT value drivers mapped to business value drivers", + "Percent of executive management roles with clearly defined\n accountabilities for IT decisions", + "Number of times IT is on the board agenda in a proactive\n manner", + "Frequency of IT strategy (executive) committee meetings", + "Rate of execution of executive IT-related decisions", + "Number of business disruptions due to IT service incidents ", + "Percent of business stakeholders satisfied that IT service delivery meets agreed-on\n service levels", + "Percent of users satisfied with the quality of IT service delivery", + "Actual vs. target cycle time for key decisions", + "Level of stakeholder satisfaction (measured through surveys)", + "Number of roles, responsibilities and authorities that are defined, assigned and\n accepted by appropriate business and IT management", + "Degree by which agreed-on governance principles for IT are evidenced in processes\n and practices (percentage of processes and practices with clear traceability to\n principles)", + "Number of instances of non-compliance with ethical and professional behaviour\n guidelines", + "Frequency of independent reviews of governance of IT", + "Frequency of governance of IT reporting to the executive committee and board", + "Number of governance of IT issues reported", + "Cost of IT non-compliance, including settlements and fines, and the impact of\n reputational loss", + "Number of IT-related non-compliance issues reported to the board or causing public\n comment or embarrassment", + "Number of non-compliance issues relating to contractual agreements with IT service\n providers", + "Coverage of compliance assessments", + "Percent of critical business processes, IT services and IT-enabled business\n programmes covered by risk assessment", + "Number of significant IT-related incidents that were not identified in risk\n assessment", + "Percent of enterprise risk assessments including IT-related risk", + "Frequency of update of risk profile", + "Percent of investment business cases with clearly defined and approved expected\n IT-related costs and benefits", + "Percent of IT services with clearly defined and approved operational costs and\n expected benefits", + "Satisfaction survey of key stakeholders regarding the level of transparency,\n understanding and accuracy of IT financial information", + "Number of security incidents causing financial loss, business disruption or public\n embarrassment", + "Number of IT services with outstanding security requirements", + "Time to grant, change and remove access privileges, compared to agreed-on service\n levels", + "Frequency of security assessment against latest standards and guidelines", + "Level of business user satisfaction with quality and timeliness (or availability) of\n management information", + "Number of business process incidents caused by non-availability of information", + "Ratio and extent of erroneous business decisions where erroneous or unavailable\n information was a key factor ", + "Number of key security roles clearly defined", + "Number of security related incidents", + "Level of stakeholder satisfaction with the security plan throughout the\n enterprise", + "Number of security solutions deviating from the plan", + "Number of security solutions deviating from the enterprise architecture", + "Number of services with confirmed alignment to the security plan", + "Number of security incidents caused by non-adherence to the security plan", + "Number of solutions developed with confirmed alignment to the security plan", + "Cost of IT non-compliance, including settlements and fines, and the\n impact of reputational loss", + "Number of IT-related non-compliance issues reported to the board or\n causing public comment or embarrassment", + "Number of non-compliance issues relating to contractual agreements\n with IT service providers", + "Frequency of capability maturity and cost optimisation assessments ", + "Trend of assessment results", + "Satisfaction levels of business and IT executives with IT-related\n costs and capabilities", + " Level of business user satisfaction with quality and timeliness (or\n availability) of management information", + "Number of business process incidents caused by non-availability of\n information", + "Ratio and extent of erroneous business decisions where erroneous or\n unavailable information was a key factor", + "Number of deviations between the configuration repository and live\n configuration", + "Number of discrepancies relating to incomplete or missing\n configuration information", + "Percent of critical business processes, IT services and IT-enabled\n business programmes covered by risk assessment", + "Number of significant IT-related incidents that were not identified\n in risk assessment", + "Percent of enterprise risk assessments including IT-related\n risk", + " Number of business disruptions due to IT service incidents", + "Percent of business stakeholders satisfied that IT service delivery\n meets agreed-on service levels", + "Percent of users satisfied with the quality of IT service\n delivery", + "Number and percent of incidents causing disruption to\n business-critical processes", + "Mean time between incidents according to IT-enabled service", + "Percent of incidents resolved within an agreed-on/acceptable period\n of time", + "Level of user satisfaction with service request fulfilment", + "Mean elapsed time for handling each type of service request", + "Number of incidents related to non-compliance to policy", + "Percent of stakeholders who understand policies", + "Percent of policies supported by effective standards and working\n practices", + "Frequency of policies review and update", + "Percent of processes with assured output meeting targets within\n tolerances", + "Percent of processes assured as compliant with internal control\n targets", + "Percent of assurance initiatives following approved assurance\n programme and plan standards", + " Percent of processes receiving independent review", + "Number of weaknesses identified by external qualification and\n certification reports", + "Number of major internal control breaches", + "Time between internal control deficiency occurrence and\n reporting" + ] + }, + { + "class": "scope", + "context": "process-goal", + "singleton": true, + "required": true, + "values": [ + "Process" + ] + }, + { + "class": "number", + "context": "process-goal", + "singleton": true, + "required": true, + "values": [ + "1.", + "2.", + "3.", + "4." + ] + }, + { + "class": "number", + "context": "practice", + "singleton": true, + "values": [ + "EDM01.01", + "EDM01.02", + "EDM01.03", + "APO13.01", + "APO13.02", + "APO13.03", + "", + "BAI10.02", + "BAI10.03", + "BAI10.04", + "BAI10.05", + "DSS02.01", + "DSS02.02", + "DSS02.03", + "DSS02.04", + "DSS02.05", + "DSS02.06", + "DSS02.07", + "MEA02.01", + "MEA02.02", + "MEA02.03", + "MEA02.04", + "MEA02.05", + "MEA02.06", + "MEA02.07", + "MEA02.08" + ] + }, + { + "class": "accountable", + "context": "raci_index", + "values": [ + "Board", + "Chief Information Security Officer", + "Head IT Operations", + "Chief Information Officer", + "Service Manager", + "Business Executives", + "Compliance", + "Audit", + "Chief Executive Officer" + ] + }, + { + "class": "responsible", + "context": "raci_index", + "values": [ + "Chief Executive Officer", + "Business Executives", + "Strategy Executive Committee", + "Chief Information Officer", + "Head IT Administration", + "Information Security Manager", + "Business Process Owners", + "Project Management Office", + "Head Architect", + "Head Development", + "Head IT Operations", + "Service Manager", + "Business Continuity Manager", + "Privacy Officer", + "Audit", + "Chief Risk Officer", + "Compliance", + "Chief Financial Officer", + "Chief Operating Officer" + ] + }, + { + "class": "consulted", + "context": "raci_index", + "values": [ + "Chief Financial Officer", + "Chief Operating Officer", + "Chief Risk Officer", + "Architecture Board", + "Enterprise Risk Committee", + "Head Human Resources", + "Compliance", + "Audit", + "Head Architect", + "Head Development", + "Head IT Operations", + "Chief Executive Officer", + "Business Executives", + "Strategy Executive Committee", + "Business Continuity Manager", + "Privacy Officer", + "Business Process Owners", + "Service Manager", + "Chief Information Officer", + "Information Security Manager", + "Project Management Office", + "Head IT Administration" + ] + }, + { + "class": "informed", + "context": "raci_index", + "values": [ + "Business Process Owners", + "Steering (Programmes/Projects) Committee", + "Project Management Office", + "Value Management Office", + "Chief Information Security Officer", + "Architecture Board", + "Enterprise Risk Committee", + "Head Human Resources", + "Head Development", + "Head IT Operations", + "Head IT Administration", + "Service Manager", + "Information Security Manager", + "Business Continuity Manager", + "Privacy Officer", + "Chief Risk Officer", + "Compliance", + "Audit", + "Head Architect", + "Chief Information Officer", + "Chief Executive Officer", + "Chief Operating Officer", + "Board", + "Strategy Executive Committee" + ] + }, + { + "class": "from", + "context": "input", + "singleton": true, + "required": true, + "values": [ + "MEA03.02", + "Outside COBIT", + "MEA01.04", + "MEA01.05", + "MEA02.01", + "MEA02.03", + "MEA02.06", + "MEA03.03", + "MEA03.04", + "APO02.04", + "APO03.02", + "APO12.05", + "DSS02.02", + "BAI07.06", + "BAI09.05", + "BAI06.03", + "BAI09.01", + "BAI09.03", + "APO09.03", + "BAI10.02", + "BAI10.03", + "BAI10.04", + "DSS01.03", + "DSS03.01", + "DSS04.03", + "BAI04.05", + "DSS05.07", + "APO12.06", + "BAI07.07", + "DSS03.03", + "DSS03.04", + "DSS03.02", + "DSS03.05", + "APO12.04", + "APO13.03", + "BAI05.06", + "BAI05.07", + "APO11.05", + "DSS06.01", + "DSS06.04", + "BAI01.05", + "DSS01.02", + "" + ] + }, + { + "class": "to", + "context": "output", + "required": true, + "values": [ + "All EDM", + "APO01.01", + "APO01.03", + "APO01.02", + "APO01.04", + "APO07.03", + "APO07.04", + "APO01.07", + "Internal ", + "DSS06.03", + "All APO", + "All BAI", + "All DSS", + "All MEA", + "APO02.05", + "MEA02.01", + "Internal", + "BAI09.01", + "DSS02.01", + "BAI03.11", + "MEA03.03", + "DSS03.01", + "APO08.03", + "APO09.04", + "APO13.03", + "BAI01", + "DSS03.04", + "APO11.04", + "APO12.01", + "MEA01.03", + "EDM01.03", + "" + ] + } + ], + "partDeclarations": [ + { + "class": "description", + "context": "process", + "singleton": true, + "required": false + }, + { + "class": "objectives", + "context": "process", + "singleton": true, + "required": false + }, + { + "class": "IT-goal", + "context": "process", + "singleton": false, + "required": false + }, + { + "class": "process-goal", + "context": "process", + "singleton": false, + "required": false + }, + { + "class": "metrics", + "context": "IT-goal", + "singleton": true, + "required": true + }, + { + "class": "metrics", + "context": "process-goal", + "singleton": true, + "required": true + }, + { + "class": "description", + "context": "practice", + "singleton": true, + "required": false + }, + { + "class": "activities", + "context": "practice", + "singleton": true, + "required": false + }, + { + "class": "raci_index", + "context": "practice", + "singleton": true, + "required": false + }, + { + "class": "input", + "context": "practice", + "singleton": false, + "required": false + }, + { + "class": "output", + "context": "practice", + "singleton": false, + "required": false + }, + { + "class": "description", + "context": "input", + "singleton": true, + "required": true + }, + { + "class": "description", + "context": "output", + "singleton": true, + "required": true + } + ] + } +} \ No newline at end of file diff --git a/working/COBIT5/cobit5-tuned-declarations.json b/working/COBIT5/cobit5-tuned-declarations.json new file mode 100644 index 0000000000..f5d5c4655a --- /dev/null +++ b/working/COBIT5/cobit5-tuned-declarations.json @@ -0,0 +1,326 @@ +{ + "declarations": { + "propertyDeclarations": [ + { + "class": "area", + "context": "domain", + "singleton": true, + "required": true, + "values": [ + "Governance", + "Management" + ] + }, + { + "class": "code", + "context": "domain", + "singleton": true, + "required": true, + "identifier": true, + "values": [ + "EDM", + "APO", + "BAI", + "DSS", + "MEA" + ] + }, + { + "class": "number", + "context": "process", + "singleton": true, + "required": true, + "calc": [ + { + "inheritances": [ + { + "from": "code" + } + ], + "autonum": [ + "01" + ] + } + ] + }, + { + "class": "scope", + "context": "IT-goal", + "singleton": true, + "required": true, + "values": [ + "IT" + ] + }, + { + "class": "number", + "context": "IT-goal", + "singleton": true, + "required": true, + "regex": "\\d\\d" + }, + { + "class": "metric", + "context": "metrics", + "required": true + }, + { + "class": "scope", + "context": "process-goal", + "singleton": true, + "required": true, + "values": [ + "Process" + ] + }, + { + "class": "number", + "context": "process-goal", + "singleton": true, + "required": true, + "calc": [ + { + "autonum": [ + "1." + ] + } + ] + }, + { + "class": "number", + "context": "practice", + "singleton": true, + "required": true, + "calc": [ + { + "inheritances": [ + true + ], + "autonum": [ + ".01" + ] + } + ] + }, + { + "class": "accountable", + "context": "raci_index", + "values": [ + "Board", + "Chief Executive Officer", + "Chief Financial Officer", + "Chief Operating Officer", + "Business Executives", + "Business Process Owners", + "Strategy Executive Committee", + "Steering (Programmes/Projects) Committee", + 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"Audit", + "Chief Information Officer", + "Head Architect", + "Head Development", + "Head IT Operations", + "Head IT Administration", + "Service Manager", + "Information Security Manager", + "Business Continuity Manager", + "Privacy Officer" + ] + }, + { + "class": "consulted", + "context": "raci_index", + "values": [ + "Board", + "Chief Executive Officer", + "Chief Financial Officer", + "Chief Operating Officer", + "Business Executives", + "Business Process Owners", + "Strategy Executive Committee", + "Steering (Programmes/Projects) Committee", + "Project Management Office", + "Value Management Office", + "Chief Risk Officer", + "Chief Information Security Officer", + "Architecture Board", + "Enterprise Risk Committee", + "Head Human Resources", + "Compliance", + "Audit", + "Chief Information Officer", + "Head Architect", + "Head Development", + "Head IT Operations", + "Head IT Administration", + "Service Manager", + "Information Security Manager", + "Business Continuity Manager", + "Privacy Officer" + ] + }, + { + "class": "informed", + "context": "raci_index", + "values": [ + "Board", + "Chief Executive Officer", + "Chief Financial Officer", + "Chief Operating Officer", + "Business Executives", + "Business Process Owners", + "Strategy Executive Committee", + "Steering (Programmes/Projects) Committee", + "Project Management Office", + "Value Management Office", + "Chief Risk Officer", + "Chief Information Security Officer", + "Architecture Board", + "Enterprise Risk Committee", + "Head Human Resources", + "Compliance", + "Audit", + "Chief Information Officer", + "Head Architect", + "Head Development", + "Head IT Operations", + "Head IT Administration", + "Service Manager", + "Information Security Manager", + "Business Continuity Manager", + "Privacy Officer" + ] + }, + { + "class": "from", + "context": "input", + "singleton": true, + "required": true + }, + { + "class": "to", + "context": "output", + "required": true + } + ], + "partDeclarations": [ + { + 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"output", + "context": "practice", + "singleton": false, + "required": false + }, + { + "class": "description", + "context": "input", + "singleton": true, + "required": true + }, + { + "class": "description", + "context": "output", + "singleton": true, + "required": true + } + ] + } +} \ No newline at end of file diff --git a/working/CSF/CSF-framework-enhanced.json b/working/CSF/CSF-framework-enhanced.json new file mode 100644 index 0000000000..e99c58000a --- /dev/null +++ b/working/CSF/CSF-framework-enhanced.json @@ -0,0 +1,3726 @@ +{ + "framework": { + "title": "", + "groups": [ + { + "class": "function", + "id": "ID", + "title": "Identify", + "props": [ + { + "class": "function-id", + "value": "ID" + } + ], + "groups": [ + { + "class": "category", + "id": "ID.AM", + "title": "Asset Management", + "props": [ + { + "class": "category-id", + "value": "ID.AM" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe data, personnel, devices, systems, and facilities that enable the organization to achieve business purposes are identified and managed consistent with their relative importance to business objectives and the organization’s risk strategy.\u003c/p\u003e" + ], + "components": [ + { + "id": "ID.AM.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.8", + "value": "CM-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePhysical devices and systems within the organization are inventoried\u003c/p\u003e" + ] + }, + { + "id": "ID.AM.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.8", + "value": "CM-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eSoftware platforms and applications within the organization are inventoried\u003c/p\u003e" + ] + }, + { + "id": "ID.AM.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.4", + "value": "AC-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.3", + "value": "CA-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.9", + "value": "CA-9" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pl.8", + "value": "PL-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eOrganizational communication and data flows are mapped\u003c/p\u003e" + ] + }, + { + "id": "ID.AM.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.20", + "value": "AC-20" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.9", + "value": "SA-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eExternal information systems are cataloged\u003c/p\u003e" + ] + }, + { + "id": "ID.AM.5", + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.2", + "value": "RA-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.14", + "value": "SA-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResources (e.g., hardware, devices, data, time, and software) are prioritized based on their classification, criticality, and business value\u003c/p\u003e" + ] + }, + { + "id": "ID.AM.6", + "props": [ + { + "class": "number", + "value": "6" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ps.7", + "value": "PS-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.11", + "value": "PM-11" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eCybersecurity roles and responsibilities for the entire workforce and third-party stakeholders (e.g., suppliers, customers, partners) are established\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "ID.BE", + "title": "Business Environment", + "props": [ + { + "class": "category-id", + "value": "ID.BE" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization’s mission, objectives, stakeholders, and activities are understood and prioritized; this information is used to inform cybersecurity roles, responsibilities, and risk management decisions.\u003c/p\u003e" + ], + "components": [ + { + "id": "ID.BE.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.12", + "value": "SA-12" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization’s role in the supply chain is identified and communicated\u003c/p\u003e" + ] + }, + { + "id": "ID.BE.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.8", + "value": "PM-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization’s place in critical infrastructure and its industry sector is identified and communicated\u003c/p\u003e" + ] + }, + { + "id": "ID.BE.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.11", + "value": "PM-11" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.14", + "value": "SA-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePriorities for organizational mission, objectives, and activities are established and communicated\u003c/p\u003e" + ] + }, + { + "id": "ID.BE.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.8", + "value": "CP-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.9", + "value": "PE-9" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.11", + "value": "PE-11" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.8", + "value": "PM-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.14", + "value": "SA-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eDependencies and critical functions for delivery of critical services are established\u003c/p\u003e" + ] + }, + { + "id": "ID.BE.5", + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.11", + "value": "CP-11" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.14", + "value": "SA-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResilience requirements to support delivery of critical services are established for all operating states (e.g. under duress/attack, during recovery, normal operations)\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "ID.GV", + "title": "Governance", + "props": [ + { + "class": "category-id", + "value": "ID.GV" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe policies, procedures, and processes to manage and monitor the organization’s regulatory, legal, risk, environmental, and operational requirements are understood and inform the management of cybersecurity risk.\u003c/p\u003e" + ], + "components": [ + { + "id": "ID.GV.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "All" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eOrganizational information security policy is established\u003c/p\u003e" + ] + }, + { + "id": "ID.GV.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.1", + "value": "PM-1" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ps.7", + "value": "PS-7" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eInformation security roles \u0026amp; responsibilities are coordinated and aligned with internal roles and external partners\u003c/p\u003e" + ] + }, + { + "id": "ID.GV.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "All" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eLegal and regulatory requirements regarding cybersecurity, including privacy and civil liberties obligations, are understood and managed\u003c/p\u003e" + ] + }, + { + "id": "ID.GV.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.9", + "value": "PM-9" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.11", + "value": "PM-11" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eGovernance and risk management processes address cybersecurity risks\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "ID.RA", + "title": "Risk Assessment", + "props": [ + { + "class": "category-id", + "value": "ID.RA" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization understands the cybersecurity risk to organizational operations (including mission, functions, image, or reputation), organizational assets, and individuals.\u003c/p\u003e" + ], + "components": [ + { + "id": "ID.RA.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.2", + "value": "CA-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.8", + "value": "CA-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.3", + "value": "RA-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.5", + "value": "RA-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.5", + "value": "SA-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.11", + "value": "SA-11" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.2", + "value": "SI-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.5", + "value": "SI-5" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAsset vulnerabilities are identified and documented\u003c/p\u003e" + ] + }, + { + "id": "ID.RA.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.15", + "value": "PM-15" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.16", + "value": "PM-16" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.5", + "value": "SI-5" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eCyber threat intelligence is received from information sharing forums and sources\u003c/p\u003e" + ] + }, + { + "id": "ID.RA.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.3", + "value": "RA-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.5", + "value": "SI-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.12", + "value": "PM-12" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.16", + "value": "PM-16" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThreats, both internal and external, are identified and documented\u003c/p\u003e" + ] + }, + { + "id": "ID.RA.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.2", + "value": "RA-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.3", + "value": "RA-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.9", + "value": "PM-9" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.11", + "value": "PM-11" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.14", + "value": "SA-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePotential business impacts and likelihoods are identified\u003c/p\u003e" + ] + }, + { + "id": "ID.RA.5", + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.2", + "value": "RA-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.3", + "value": "RA-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.16", + "value": "PM-16" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThreats, vulnerabilities, likelihoods, and impacts are used to determine risk\u003c/p\u003e" + ] + }, + { + "id": "ID.RA.6", + "props": [ + { + "class": "number", + "value": "6" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.4", + "value": "PM-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.9", + "value": "PM-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRisk responses are identified and prioritized\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "ID.RM", + "title": "Risk Management Strategy", + "props": [ + { + "class": "category-id", + "value": "ID.RM" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization’s priorities, constraints, risk tolerances, and assumptions are established and used to support operational risk decisions.\u003c/p\u003e" + ], + "components": [ + { + "id": "ID.RM.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.9", + "value": "PM-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRisk management processes are established, managed, and agreed to by organizational stakeholders\u003c/p\u003e" + ] + }, + { + "id": "ID.RM.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.9", + "value": "PM-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eOrganizational risk tolerance is determined and clearly expressed\u003c/p\u003e" + ] + }, + { + "id": "ID.RM.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.8", + "value": "PM-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.9", + "value": "PM-9" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.11", + "value": "PM-11" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.14", + "value": "SA-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization’s determination of risk tolerance is informed by its role in critical infrastructure and sector specific risk analysis\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "ID.SC", + "title": "Supply Chain Risk Management", + "props": [ + { + "class": "category-id", + "value": "ID.SC" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization’s priorities, constraints, risk tolerances, and assumptions are established and used to support operational risk decisions.\u003c/p\u003e" + ], + "components": [ + { + "id": "ID.SC.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.9", + "value": "SA-9" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.12", + "value": "SA-12" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.9", + "value": "PM-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eCyber supply chain risk management processes are identified, established, assessed, managed, and agreed to by organizational stakeholders\u003c/p\u003e" + ] + }, + { + "id": "ID.SC.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.2", + "value": "RA-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.3", + "value": "RA-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.12", + "value": "SA-12" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.14", + "value": "SA-14" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.15", + "value": "SA-15" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.9", + "value": "PM-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIdentify, prioritize and assess suppliers and partners of critical information systems, components and services using a cyber supply chain risk assessment process\u003c/p\u003e" + ] + }, + { + "id": "ID.SC.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.9", + "value": "SA-9" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.11", + "value": "SA-11" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.12", + "value": "SA-12" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.9", + "value": "PM-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eSuppliers and partners are required by contract to implement appropriate measures designed to meet the objectives of the Information Security program or Cyber Supply Chain Risk Management Plan.\u003c/p\u003e" + ] + }, + { + "id": "ID.SC.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.2", + "value": "AU-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.6", + "value": "AU-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.12", + "value": "AU-12" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.16", + "value": "AU-16" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ps.7", + "value": "PS-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.9", + "value": "SA-9" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.12", + "value": "SA-12" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eSuppliers and partners are monitored to confirm that they have satisfied their obligations as required. Reviews of audits, summaries of test results, or other equivalent evaluations of suppliers/providers are conducted\u003c/p\u003e" + ] + }, + { + "id": "ID.SC.5", + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.4", + "value": "CP-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.3", + "value": "IR-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.6", + "value": "IR-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.9", + "value": "IR-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResponse and recovery planning and testing are conducted with critical suppliers/providers\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "function", + "id": "PR", + "title": "Protect", + "props": [ + { + "class": "function-id", + "value": "PR" + } + ], + "groups": [ + { + "class": "category", + "id": "PR.AC", + "title": "Identity Management and Access Control", + "props": [ + { + "class": "category-id", + "value": "PR.AC" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAccess to physical and logical assets and associated facilities is limited to authorized users, processes, and devices, and is managed consistent with the assessed risk of unauthorized access\u003c/p\u003e" + ], + "components": [ + { + "id": "PR.AC.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.2", + "value": "AC-2" + }, + { + "rel": "control", + "href": "", + "value": "IA" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIdentities and credentials are issued, managed, revoked, and audited for authorized devices, users, and processes\u003c/p\u003e" + ] + }, + { + "id": "PR.AC.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.2", + "value": "PE-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.3", + "value": "PE-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.4", + "value": "PE-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.5", + "value": "PE-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.6", + "value": "PE-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.9", + "value": "PE-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePhysical access to assets is managed and protected\u003c/p\u003e" + ] + }, + { + "id": "PR.AC.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AC‑17" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.19", + "value": "AC-19" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.20", + "value": "AC-20" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRemote access is managed\u003c/p\u003e" + ] + }, + { + "id": "PR.AC.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.2", + "value": "AC-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.3", + "value": "AC-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.5", + "value": "AC-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.6", + "value": "AC-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.16", + "value": "AC-16" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAccess permissions and authorizations are managed, incorporating the principles of least privilege and separation of duties\u003c/p\u003e" + ] + }, + { + "id": "PR.AC.5", + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.4", + "value": "AC-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sc.7", + "value": "SC-7" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eNetwork integrity is protected, incorporating network segregation where appropriate\u003c/p\u003e" + ] + }, + { + "id": "PR.AC.6", + "props": [ + { + "class": "number", + "value": "6" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.2", + "value": "AC-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.3", + "value": "AC-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.5", + "value": "AC-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.6", + "value": "AC-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.16", + "value": "AC-16" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.19", + "value": "AC-19" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.24", + "value": "AC-24" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ia.2", + "value": "IA-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ia.4", + "value": "IA-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ia.5", + "value": "IA-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ia.8", + "value": "IA-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.2", + "value": "PE-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ps.3", + "value": "PS-3" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIdentities are proofed and bound to credentials, and asserted in interactions when appropriate\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "PR.AT", + "title": "Awareness and Training", + "props": [ + { + "class": "category-id", + "value": "PR.AT" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization’s personnel and partners are provided cybersecurity awareness education and are adequately trained to perform their information security-related duties and responsibilities consistent with related policies, procedures, and agreements.\u003c/p\u003e" + ], + "components": [ + { + "id": "PR.AT.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#at.2", + "value": "AT-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.13", + "value": "PM-13" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAll users are informed and trained\u003c/p\u003e" + ] + }, + { + "id": "PR.AT.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#at.3", + "value": "AT-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.13", + "value": "PM-13" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePrivileged users understand roles \u0026amp; responsibilities\u003c/p\u003e" + ] + }, + { + "id": "PR.AT.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ps.7", + "value": "PS-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.9", + "value": "SA-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThird-party stakeholders (e.g., suppliers, customers, partners) understand roles \u0026amp; responsibilities\u003c/p\u003e" + ] + }, + { + "id": "PR.AT.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#at.3", + "value": "AT-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.13", + "value": "PM-13" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eSenior executives understand roles \u0026amp; responsibilities\u003c/p\u003e" + ] + }, + { + "id": "PR.AT.5", + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#at.3", + "value": "AT-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.13", + "value": "PM-13" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePhysical and information security personnel understand roles \u0026amp; responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "PR.DS", + "title": "Data Security", + "props": [ + { + "class": "category-id", + "value": "PR.DS" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eInformation and records (data) are managed consistent with the organization’s risk strategy to protect the confidentiality, integrity, and availability of information.\u003c/p\u003e" + ], + "components": [ + { + "id": "PR.DS.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sc.28", + "value": "SC-28" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eData-at-rest is protected\u003c/p\u003e" + ] + }, + { + "id": "PR.DS.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sc.8", + "value": "SC-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eData-in-transit is protected\u003c/p\u003e" + ] + }, + { + "id": "PR.DS.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.8", + "value": "CM-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#mp.6", + "value": "MP-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.16", + "value": "PE-16" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAssets are formally managed throughout removal, transfers, and disposition\u003c/p\u003e" + ] + }, + { + "id": "PR.DS.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.4", + "value": "AU-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sc.5", + "value": "SC-5" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAdequate capacity to ensure availability is maintained\u003c/p\u003e" + ] + }, + { + "id": "PR.DS.5", + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.4", + "value": "AC-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.5", + "value": "AC-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.6", + "value": "AC-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.19", + "value": "PE-19" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ps.3", + "value": "PS-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ps.6", + "value": "PS-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sc.7", + "value": "SC-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sc.8", + "value": "SC-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sc.13", + "value": "SC-13" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sc.31", + "value": "SC-31" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eProtections against data leaks are implemented\u003c/p\u003e" + ] + }, + { + "id": "PR.DS.6", + "props": [ + { + "class": "number", + "value": "6" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.7", + "value": "SI-7" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIntegrity checking mechanisms are used to verify software, firmware, and information integrity\u003c/p\u003e" + ] + }, + { + "id": "PR.DS.7", + "props": [ + { + "class": "number", + "value": "7" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.2", + "value": "CM-2" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe development and testing environment(s) are separate from the production environment\u003c/p\u003e" + ] + }, + { + "id": "PR.DS.8", + "props": [ + { + "class": "number", + "value": "8" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.10", + "value": "SA-10" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.7", + "value": "SI-7" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIntegrity checking mechanisms are used to verify hardware integrity\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "PR.IP", + "title": "Information Protection Processes and Procedures", + "props": [ + { + "class": "category-id", + "value": "PR.IP" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eSecurity policies (that address purpose, scope, roles, responsibilities, management commitment, and coordination among organizational entities), processes, and procedures are maintained and used to manage protection of information systems and assets.\u003c/p\u003e" + ], + "components": [ + { + "id": "PR.IP.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.2", + "value": "CM-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.3", + "value": "CM-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.4", + "value": "CM-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.5", + "value": "CM-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.6", + "value": "CM-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.7", + "value": "CM-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.9", + "value": "CM-9" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.10", + "value": "SA-10" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eA baseline configuration of information technology/industrial control systems is created and maintained incorporating appropriate security principles (e.g. concept of least functionality)\u003c/p\u003e" + ] + }, + { + "id": "PR.IP.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.3", + "value": "SA-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.4", + "value": "SA-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.8", + "value": "SA-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.10", + "value": "SA-10" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.11", + "value": "SA-11" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.12", + "value": "SA-12" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.15", + "value": "SA-15" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.17", + "value": "SA-17" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pl.8", + "value": "PL-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eA System Development Life Cycle to manage systems is implemented\u003c/p\u003e" + ] + }, + { + "id": "PR.IP.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.3", + "value": "CM-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.4", + "value": "CM-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.10", + "value": "SA-10" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eConfiguration change control processes are in place\u003c/p\u003e" + ] + }, + { + "id": "PR.IP.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.4", + "value": "CP-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.6", + "value": "CP-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.9", + "value": "CP-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eBackups of information are conducted, maintained, and tested periodically\u003c/p\u003e" + ] + }, + { + "id": "PR.IP.5", + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.10", + "value": "PE-10" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.12", + "value": "PE-12" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.13", + "value": "PE-13" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.14", + "value": "PE-14" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.15", + "value": "PE-15" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.18", + "value": "PE-18" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePolicy and regulations regarding the physical operating environment for organizational assets are met\u003c/p\u003e" + ] + }, + { + "id": "PR.IP.6", + "props": [ + { + "class": "number", + "value": "6" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#mp.6", + "value": "MP-6" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eData is destroyed according to policy\u003c/p\u003e" + ] + }, + { + "id": "PR.IP.7", + "props": [ + { + "class": "number", + "value": "7" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pl.2", + "value": "PL-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.6", + "value": "PM-6" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eProtection processes are continuously improved\u003c/p\u003e" + ] + }, + { + "id": "PR.IP.8", + "props": [ + { + "class": "number", + "value": "8" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.21", + "value": "AC-21" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eEffectiveness of protection technologies is shared with appropriate parties\u003c/p\u003e" + ] + }, + { + "id": "PR.IP.9", + "props": [ + { + "class": "number", + "value": "9" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResponse plans (Incident Response and Business Continuity) and recovery plans (Incident Recovery and Disaster Recovery) are in place and managed\u003c/p\u003e" + ] + }, + { + "id": "PR.IP.10", + "props": [ + { + "class": "number", + "value": "10" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.3", + "value": "IR-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.14", + "value": "PM-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResponse and recovery plans are tested\u003c/p\u003e" + ] + }, + { + "id": "PR.IP.11", + "props": [ + { + "class": "number", + "value": "11" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "PS" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eCybersecurity is included in human resources practices (e.g., deprovisioning, personnel screening)\u003c/p\u003e" + ] + }, + { + "id": "PR.IP.12", + "props": [ + { + "class": "number", + "value": "12" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.3", + "value": "RA-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.5", + "value": "RA-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.2", + "value": "SI-2" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eA vulnerability management plan is developed and implemented\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "PR.MA", + "title": "Maintenance", + "props": [ + { + "class": "category-id", + "value": "PR.MA" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eMaintenance and repairs of industrial control and information system components is performed consistent with policies and procedures.\u003c/p\u003e" + ], + "components": [ + { + "id": "PR.MA.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ma.2", + "value": "MA-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ma.3", + "value": "MA-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ma.5", + "value": "MA-5" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eMaintenance and repair of organizational assets is performed and logged in a timely manner, with approved and controlled tools\u003c/p\u003e" + ] + }, + { + "id": "PR.MA.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ma.4", + "value": "MA-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRemote maintenance of organizational assets is approved, logged, and performed in a manner that prevents unauthorized access\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "PR.PT", + "title": "Protective Technology", + "props": [ + { + "class": "category-id", + "value": "PR.PT" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eTechnical security solutions are managed to ensure the security and resilience of systems and assets, consistent with related policies, procedures, and agreements.\u003c/p\u003e" + ], + "components": [ + { + "id": "PR.PT.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AU" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAudit/log records are determined, documented, implemented, and reviewed in accordance with policy\u003c/p\u003e" + ] + }, + { + "id": "PR.PT.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#mp.2", + "value": "MP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#mp.4", + "value": "MP-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#mp.5", + "value": "MP-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#mp.7", + "value": "MP-7" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRemovable media is protected and its use restricted according to policy\u003c/p\u003e" + ] + }, + { + "id": "PR.PT.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.3", + "value": "AC-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.7", + "value": "CM-7" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe principle of least functionality is incorporated by configuring systems to provide only essential capabilities\u003c/p\u003e" + ] + }, + { + "id": "PR.PT.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.4", + "value": "AC-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.17", + "value": "AC-17" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.18", + "value": "AC-18" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.8", + "value": "CP-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sc.7", + "value": "SC-7" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eCommunications and control networks are protected\u003c/p\u003e" + ] + }, + { + "id": "PR.PT.5", + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.7", + "value": "CP-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.8", + "value": "CP-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.11", + "value": "CP-11" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.13", + "value": "CP-13" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pl.8", + "value": "PL-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.14", + "value": "SA-14" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sc.6", + "value": "SC-6" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eSystems operate in pre-defined functional states to achieve availability (e.g. under duress, under attack, during recovery, normal operations).\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "function", + "id": "DE", + "title": "Detect", + "props": [ + { + "class": "function-id", + "value": "DE" + } + ], + "groups": [ + { + "class": "category", + "id": "DE.AE", + "title": "Anomalies and Events", + "props": [ + { + "class": "category-id", + "value": "DE.AE" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAnomalous activity is detected in a timely manner and the potential impact of events is understood.\u003c/p\u003e" + ], + "components": [ + { + "id": "DE.AE.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.4", + "value": "AC-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.3", + "value": "CA-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.2", + "value": "CM-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eA baseline of network operations and expected data flows for users and systems is established and managed\u003c/p\u003e" + ] + }, + { + "id": "DE.AE.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.6", + "value": "AU-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eDetected events are analyzed to understand attack targets and methods\u003c/p\u003e" + ] + }, + { + "id": "DE.AE.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.6", + "value": "AU-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.5", + "value": "IR-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eEvent data are aggregated and correlated from multiple sources and sensors\u003c/p\u003e" + ] + }, + { + "id": "DE.AE.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.3", + "value": "RA-3" + }, + { + "rel": "control", + "href": "", + "value": "SI -4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eImpact of events is determined\u003c/p\u003e" + ] + }, + { + "id": "DE.AE.5", + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.5", + "value": "IR-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIncident alert thresholds are established\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "DE.CM", + "title": "Security Continuous Monitoring", + "props": [ + { + "class": "category-id", + "value": "DE.CM" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe information system and assets are monitored at discrete intervals to identify cybersecurity events and verify the effectiveness of protective measures.\u003c/p\u003e" + ], + "components": [ + { + "id": "DE.CM.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.2", + "value": "AC-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.12", + "value": "AU-12" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.3", + "value": "CM-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sc.5", + "value": "SC-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sc.7", + "value": "SC-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe network is monitored to detect potential cybersecurity events\u003c/p\u003e" + ] + }, + { + "id": "DE.CM.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.3", + "value": "PE-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.6", + "value": "PE-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.20", + "value": "PE-20" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe physical environment is monitored to detect potential cybersecurity events\u003c/p\u003e" + ] + }, + { + "id": "DE.CM.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ac.2", + "value": "AC-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.12", + "value": "AU-12" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.13", + "value": "AU-13" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.10", + "value": "CM-10" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.11", + "value": "CM-11" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePersonnel activity is monitored to detect potential cybersecurity events\u003c/p\u003e" + ] + }, + { + "id": "DE.CM.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.3", + "value": "SI-3" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eMalicious code is detected\u003c/p\u003e" + ] + }, + { + "id": "DE.CM.5", + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sc.18", + "value": "SC-18" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sc.44", + "value": "SC-44" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eUnauthorized mobile code is detected\u003c/p\u003e" + ] + }, + { + "id": "DE.CM.6", + "props": [ + { + "class": "number", + "value": "6" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ps.7", + "value": "PS-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.4", + "value": "SA-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#sa.9", + "value": "SA-9" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eExternal service provider activity is monitored to detect potential cybersecurity events\u003c/p\u003e" + ] + }, + { + "id": "DE.CM.7", + "props": [ + { + "class": "number", + "value": "7" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.12", + "value": "AU-12" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.3", + "value": "CM-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cm.8", + "value": "CM-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.3", + "value": "PE-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.6", + "value": "PE-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.20", + "value": "PE-20" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eMonitoring for unauthorized personnel, connections, devices, and software is performed\u003c/p\u003e" + ] + }, + { + "id": "DE.CM.8", + "props": [ + { + "class": "number", + "value": "8" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.5", + "value": "RA-5" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eVulnerability scans are performed\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "DE.DP", + "title": "Detection Processes", + "props": [ + { + "class": "category-id", + "value": "DE.DP" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eDetection processes and procedures are maintained and tested to ensure timely and adequate awareness of anomalous events.\u003c/p\u003e" + ], + "components": [ + { + "id": "DE.DP.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.2", + "value": "CA-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.14", + "value": "PM-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRoles and responsibilities for detection are well defined to ensure accountability\u003c/p\u003e" + ] + }, + { + "id": "DE.DP.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.2", + "value": "CA-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.14", + "value": "PM-14" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eDetection activities comply with all applicable requirements\u003c/p\u003e" + ] + }, + { + "id": "DE.DP.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.2", + "value": "CA-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.3", + "value": "PE-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.14", + "value": "PM-14" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.3", + "value": "SI-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eDetection processes are tested\u003c/p\u003e" + ] + }, + { + "id": "DE.DP.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.6", + "value": "AU-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.2", + "value": "CA-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.5", + "value": "RA-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eEvent detection information is communicated to appropriate parties\u003c/p\u003e" + ] + }, + { + "id": "DE.DP.5", + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.2", + "value": "CA-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pl.2", + "value": "PL-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.5", + "value": "RA-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.14", + "value": "PM-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eDetection processes are continuously improved\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "function", + "id": "RS", + "title": "Respond", + "props": [ + { + "class": "function-id", + "value": "RS" + } + ], + "groups": [ + { + "class": "category", + "id": "RS.RP", + "title": "Response Planning", + "props": [ + { + "class": "category-id", + "value": "RS.RP" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResponse processes and procedures are executed and maintained, to ensure timely response to detected cybersecurity events.\u003c/p\u003e" + ], + "components": [ + { + "id": "RS.RP.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.10", + "value": "CP-10" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResponse plan is executed during or after an event\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "RS.CO", + "title": "Communications", + "props": [ + { + "class": "category-id", + "value": "RS.CO" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResponse activities are coordinated with internal and external stakeholders, as appropriate, to include external support from law enforcement agencies.\u003c/p\u003e" + ], + "components": [ + { + "id": "RS.CO.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.3", + "value": "CP-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.3", + "value": "IR-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePersonnel know their roles and order of operations when a response is needed\u003c/p\u003e" + ] + }, + { + "id": "RS.CO.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.6", + "value": "AU-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.6", + "value": "IR-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eEvents are reported consistent with established criteria\u003c/p\u003e" + ] + }, + { + "id": "RS.CO.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.2", + "value": "CA-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.6", + "value": "PE-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.5", + "value": "RA-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eInformation is shared consistent with response plans\u003c/p\u003e" + ] + }, + { + "id": "RS.CO.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eCoordination with stakeholders occurs consistent with response plans\u003c/p\u003e" + ] + }, + { + "id": "RS.CO.5", + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pm.15", + "value": "PM-15" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.5", + "value": "SI-5" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eVoluntary information sharing occurs with external stakeholders to achieve broader cybersecurity situational awareness\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "RS.AN", + "title": "Analysis", + "props": [ + { + "class": "category-id", + "value": "RS.AN" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAnalysis is conducted to ensure adequate response and support recovery activities.\u003c/p\u003e" + ], + "components": [ + { + "id": "RS.AN.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.6", + "value": "AU-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.5", + "value": "IR-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#pe.6", + "value": "PE-6" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#si.4", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eNotifications from detection systems are investigated\u003c/p\u003e" + ] + }, + { + "id": "RS.AN.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe impact of the incident is understood\u003c/p\u003e" + ] + }, + { + "id": "RS.AN.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#au.7", + "value": "AU-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eForensics are performed\u003c/p\u003e" + ] + }, + { + "id": "RS.AN.4", + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.5", + "value": "IR-5" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIncidents are categorized consistent with response plans\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "RS.MI", + "title": "Mitigation", + "props": [ + { + "class": "category-id", + "value": "RS.MI" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eActivities are performed to prevent expansion of an event, mitigate its effects, and eradicate the incident.\u003c/p\u003e" + ], + "components": [ + { + "id": "RS.MI.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIncidents are contained\u003c/p\u003e" + ] + }, + { + "id": "RS.MI.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIncidents are mitigated\u003c/p\u003e" + ] + }, + { + "id": "RS.MI.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ca.7", + "value": "CA-7" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.3", + "value": "RA-3" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ra.5", + "value": "RA-5" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eNewly identified vulnerabilities are mitigated or documented as accepted risks\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "RS.IM", + "title": "Improvements", + "props": [ + { + "class": "category-id", + "value": "RS.IM" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eOrganizational response activities are improved by incorporating lessons learned from current and previous detection/response activities.\u003c/p\u003e" + ], + "components": [ + { + "id": "RS.IM.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResponse plans incorporate lessons learned\u003c/p\u003e" + ] + }, + { + "id": "RS.IM.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResponse strategies are updated\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "function", + "id": "RC", + "title": "Recover", + "props": [ + { + "class": "function-id", + "value": "RC" + } + ], + "groups": [ + { + "class": "category", + "id": "RC.RP", + "title": "Recovery Planning", + "props": [ + { + "class": "category-id", + "value": "RC.RP" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRecovery processes and procedures are executed and maintained to ensure timely restoration of systems or assets affected by cybersecurity events.\u003c/p\u003e" + ], + "components": [ + { + "id": "RC.RP.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.10", + "value": "CP-10" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRecovery plan is executed during or after an event\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "RC.IM", + "title": "Improvements", + "props": [ + { + "class": "category-id", + "value": "RC.IM" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRecovery planning and processes are improved by incorporating lessons learned into future activities.\u003c/p\u003e" + ], + "components": [ + { + "id": "RC.IM.1", + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRecovery plans incorporate lessons learned\u003c/p\u003e" + ] + }, + { + "id": "RC.IM.2", + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.8", + "value": "IR-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRecovery strategies are updated\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "id": "RC.CO", + "title": "Communications", + "props": [ + { + "class": "category-id", + "value": "RC.CO" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRestoration activities are coordinated with internal and external parties, such as coordinating centers, Internet Service Providers, owners of attacking systems, victims, other CSIRTs, and vendors.\u003c/p\u003e" + ], + "components": [ + { + "id": "RC.CO.3", + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#cp.2", + "value": "CP-2" + }, + { + "rel": "control", + "href": "../SP800-53/SP800-53-OSCAL-refined.xml#ir.4", + "value": "IR-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRecovery activities are communicated to internal stakeholders and executive and management teams\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + } +} \ No newline at end of file diff --git a/working/CSF/csf-framework-oscal.json b/working/CSF/csf-framework-oscal.json new file mode 100644 index 0000000000..b4af188323 --- /dev/null +++ b/working/CSF/csf-framework-oscal.json @@ -0,0 +1,3594 @@ +{ + "framework": { + "title": "CSF Framework in OSCAL [DRAFT]", + "groups": [ + { + "class": "function", + "title": "Identify", + "props": [ + { + "class": "function-id", + "value": "ID" + } + ], + "components": [ + { + "class": "category", + "title": "Asset Management", + "props": [ + { + "class": "category-id", + "value": "ID.AM" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe data, personnel, devices, systems, and facilities that enable the organization to achieve business purposes are identified and managed consistent with their relative importance to business objectives and the organization’s risk strategy.\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CM-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePhysical devices and systems within the organization are inventoried\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CM-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eSoftware platforms and applications within the organization are inventoried\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AC-4" + }, + { + "rel": "control", + "href": "", + "value": "CA-3" + }, + { + "rel": "control", + "href": "", + "value": "CA-9" + }, + { + "rel": "control", + "href": "", + "value": "PL-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eOrganizational communication and data flows are mapped\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AC-20" + }, + { + "rel": "control", + "href": "", + "value": "SA-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eExternal information systems are cataloged\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CP-2" + }, + { + "rel": "control", + "href": "", + "value": "RA-2" + }, + { + "rel": "control", + "href": "", + "value": "SA-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResources (e.g., hardware, devices, data, time, and software) are prioritized based on their classification, criticality, and business value\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "6" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CP-2" + }, + { + "rel": "control", + "href": "", + "value": "PS-7" + }, + { + "rel": "control", + "href": "", + "value": "PM-11" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eCybersecurity roles and responsibilities for the entire workforce and third-party stakeholders (e.g., suppliers, customers, partners) are established\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "title": "Business Environment", + "props": [ + { + "class": "category-id", + "value": "ID.BE" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization’s mission, objectives, stakeholders, and activities are understood and prioritized; this information is used to inform cybersecurity roles, responsibilities, and risk management decisions.\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CP-2" + }, + { + "rel": "control", + "href": "", + "value": "SA-12" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization’s role in the supply chain is identified and communicated\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "PM-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization’s place in critical infrastructure and its industry sector is identified and communicated\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "PM-11" + }, + { + "rel": "control", + "href": "", + "value": "SA-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePriorities for organizational mission, objectives, and activities are established and communicated\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CP-8" + }, + { + "rel": "control", + "href": "", + "value": "PE-9" + }, + { + "rel": "control", + "href": "", + "value": "PE-11" + }, + { + "rel": "control", + "href": "", + "value": "PM-8" + }, + { + "rel": "control", + "href": "", + "value": "SA-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eDependencies and critical functions for delivery of critical services are established\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CP-2" + }, + { + "rel": "control", + "href": "", + "value": "CP-11" + }, + { + "rel": "control", + "href": "", + "value": "SA-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResilience requirements to support delivery of critical services are established for all operating states (e.g. under duress/attack, during recovery, normal operations)\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "title": "Governance", + "props": [ + { + "class": "category-id", + "value": "ID.GV" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe policies, procedures, and processes to manage and monitor the organization’s regulatory, legal, risk, environmental, and operational requirements are understood and inform the management of cybersecurity risk.\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "All" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eOrganizational information security policy is established\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "PM-1" + }, + { + "rel": "control", + "href": "", + "value": "PS-7" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eInformation security roles \u0026amp; responsibilities are coordinated and aligned with internal roles and external partners\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "All" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eLegal and regulatory requirements regarding cybersecurity, including privacy and civil liberties obligations, are understood and managed\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "PM-9" + }, + { + "rel": "control", + "href": "", + "value": "PM-11" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eGovernance and risk management processes address cybersecurity risks\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "title": "Risk Assessment", + "props": [ + { + "class": "category-id", + "value": "ID.RA" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization understands the cybersecurity risk to organizational operations (including mission, functions, image, or reputation), organizational assets, and individuals.\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CA-2" + }, + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "CA-8" + }, + { + "rel": "control", + "href": "", + "value": "RA-3" + }, + { + "rel": "control", + "href": "", + "value": "RA-5" + }, + { + "rel": "control", + "href": "", + "value": "SA-5" + }, + { + "rel": "control", + "href": "", + "value": "SA-11" + }, + { + "rel": "control", + "href": "", + "value": "SI-2" + }, + { + "rel": "control", + "href": "", + "value": "SI-4" + }, + { + "rel": "control", + "href": "", + "value": "SI-5" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAsset vulnerabilities are identified and documented\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "PM-15" + }, + { + "rel": "control", + "href": "", + "value": "PM-16" + }, + { + "rel": "control", + "href": "", + "value": "SI-5" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eCyber threat intelligence is received from information sharing forums and sources\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "RA-3" + }, + { + "rel": "control", + "href": "", + "value": "SI-5" + }, + { + "rel": "control", + "href": "", + "value": "PM-12" + }, + { + "rel": "control", + "href": "", + "value": "PM-16" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThreats, both internal and external, are identified and documented\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "RA-2" + }, + { + "rel": "control", + "href": "", + "value": "RA-3" + }, + { + "rel": "control", + "href": "", + "value": "PM-9" + }, + { + "rel": "control", + "href": "", + "value": "PM-11" + }, + { + "rel": "control", + "href": "", + "value": "SA-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePotential business impacts and likelihoods are identified\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "RA-2" + }, + { + "rel": "control", + "href": "", + "value": "RA-3" + }, + { + "rel": "control", + "href": "", + "value": "PM-16" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThreats, vulnerabilities, likelihoods, and impacts are used to determine risk\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "6" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "PM-4" + }, + { + "rel": "control", + "href": "", + "value": "PM-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRisk responses are identified and prioritized\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "title": "Risk Management Strategy", + "props": [ + { + "class": "category-id", + "value": "ID.RM" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization’s priorities, constraints, risk tolerances, and assumptions are established and used to support operational risk decisions.\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "PM-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRisk management processes are established, managed, and agreed to by organizational stakeholders\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "PM-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eOrganizational risk tolerance is determined and clearly expressed\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "PM-8" + }, + { + "rel": "control", + "href": "", + "value": "PM-9" + }, + { + "rel": "control", + "href": "", + "value": "PM-11" + }, + { + "rel": "control", + "href": "", + "value": "SA-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization’s determination of risk tolerance is informed by its role in critical infrastructure and sector specific risk analysis\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "title": "Supply Chain Risk Management", + "props": [ + { + "class": "category-id", + "value": "ID.SC" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization’s priorities, constraints, risk tolerances, and assumptions are established and used to support operational risk decisions.\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "SA-9" + }, + { + "rel": "control", + "href": "", + "value": "SA-12" + }, + { + "rel": "control", + "href": "", + "value": "PM-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eCyber supply chain risk management processes are identified, established, assessed, managed, and agreed to by organizational stakeholders\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "RA-2" + }, + { + "rel": "control", + "href": "", + "value": "RA-3" + }, + { + "rel": "control", + "href": "", + "value": "SA-12" + }, + { + "rel": "control", + "href": "", + "value": "SA-14" + }, + { + "rel": "control", + "href": "", + "value": "SA-15" + }, + { + "rel": "control", + "href": "", + "value": "PM-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIdentify, prioritize and assess suppliers and partners of critical information systems, components and services using a cyber supply chain risk assessment process\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "SA-9" + }, + { + "rel": "control", + "href": "", + "value": "SA-11" + }, + { + "rel": "control", + "href": "", + "value": "SA-12" + }, + { + "rel": "control", + "href": "", + "value": "PM-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eSuppliers and partners are required by contract to implement appropriate measures designed to meet the objectives of the Information Security program or Cyber Supply Chain Risk Management Plan.\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AU-2" + }, + { + "rel": "control", + "href": "", + "value": "AU-6" + }, + { + "rel": "control", + "href": "", + "value": "AU-12" + }, + { + "rel": "control", + "href": "", + "value": "AU-16" + }, + { + "rel": "control", + "href": "", + "value": "PS-7" + }, + { + "rel": "control", + "href": "", + "value": "SA-9" + }, + { + "rel": "control", + "href": "", + "value": "SA-12" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eSuppliers and partners are monitored to confirm that they have satisfied their obligations as required. Reviews of audits, summaries of test results, or other equivalent evaluations of suppliers/providers are conducted\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CP-2" + }, + { + "rel": "control", + "href": "", + "value": "CP-4" + }, + { + "rel": "control", + "href": "", + "value": "IR-3" + }, + { + "rel": "control", + "href": "", + "value": "IR-4" + }, + { + "rel": "control", + "href": "", + "value": "IR-6" + }, + { + "rel": "control", + "href": "", + "value": "IR-8" + }, + { + "rel": "control", + "href": "", + "value": "IR-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResponse and recovery planning and testing are conducted with critical suppliers/providers\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "function", + "title": "Protect", + "props": [ + { + "class": "function-id", + "value": "PR" + } + ], + "components": [ + { + "class": "category", + "title": "Identity Management and Access Control", + "props": [ + { + "class": "category-id", + "value": "PR.AC" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAccess to physical and logical assets and associated facilities is limited to authorized users, processes, and devices, and is managed consistent with the assessed risk of unauthorized access\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AC-2" + }, + { + "rel": "control", + "href": "", + "value": "IA" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIdentities and credentials are issued, managed, revoked, and audited for authorized devices, users, and processes\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "PE-2" + }, + { + "rel": "control", + "href": "", + "value": "PE-3" + }, + { + "rel": "control", + "href": "", + "value": "PE-4" + }, + { + "rel": "control", + "href": "", + "value": "PE-5" + }, + { + "rel": "control", + "href": "", + "value": "PE-6" + }, + { + "rel": "control", + "href": "", + "value": "PE-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePhysical access to assets is managed and protected\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AC‑17" + }, + { + "rel": "control", + "href": "", + "value": "AC-19" + }, + { + "rel": "control", + "href": "", + "value": "AC-20" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRemote access is managed\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AC-2" + }, + { + "rel": "control", + "href": "", + "value": "AC-3" + }, + { + "rel": "control", + "href": "", + "value": "AC-5" + }, 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"AC-6" + }, + { + "rel": "control", + "href": "", + "value": "AC-16" + }, + { + "rel": "control", + "href": "", + "value": "AC-19" + }, + { + "rel": "control", + "href": "", + "value": "AC-24" + }, + { + "rel": "control", + "href": "", + "value": "IA-2" + }, + { + "rel": "control", + "href": "", + "value": "IA-4" + }, + { + "rel": "control", + "href": "", + "value": "IA-5" + }, + { + "rel": "control", + "href": "", + "value": "IA-8" + }, + { + "rel": "control", + "href": "", + "value": "PE-2" + }, + { + "rel": "control", + "href": "", + "value": "PS-3" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIdentities are proofed and bound to credentials, and asserted in interactions when appropriate\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "title": "Awareness and Training", + "props": [ + { + "class": "category-id", + "value": "PR.AT" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe organization’s personnel and partners are provided cybersecurity awareness education and are adequately trained to perform their information security-related duties and responsibilities consistent with related policies, procedures, and agreements.\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AT-2" + }, + { + "rel": "control", + "href": "", + "value": "PM-13" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAll users are informed and trained\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AT-3" + }, + { + "rel": "control", + "href": "", + "value": "PM-13" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePrivileged users understand roles \u0026amp; responsibilities\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "PS-7" + }, + { + "rel": "control", + "href": "", + "value": "SA-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThird-party stakeholders (e.g., suppliers, customers, partners) understand roles \u0026amp; responsibilities\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AT-3" + }, + { + "rel": "control", + "href": "", + "value": "PM-13" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eSenior executives understand roles \u0026amp; responsibilities\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AT-3" + }, + { + "rel": "control", + "href": "", + "value": "PM-13" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePhysical and information security personnel understand roles \u0026amp; responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "title": "Data Security", + "props": [ + { + "class": "category-id", + "value": "PR.DS" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eInformation and records (data) are managed consistent with the organization’s risk strategy to protect the confidentiality, integrity, and availability of information.\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "SC-28" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eData-at-rest is protected\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "SC-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eData-in-transit is protected\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CM-8" + }, + { + "rel": "control", + "href": "", + "value": "MP-6" + }, + { + "rel": "control", + "href": "", + "value": "PE-16" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAssets are formally managed throughout removal, transfers, and disposition\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AU-4" + }, + { + "rel": "control", + "href": "", + "value": "CP-2" + }, + { + "rel": "control", + "href": "", + "value": "SC-5" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAdequate capacity to ensure availability is maintained\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AC-4" + }, + { + "rel": "control", + "href": "", + "value": "AC-5" + }, + { + "rel": "control", + "href": "", + "value": "AC-6" + }, + { + "rel": "control", + "href": "", + "value": "PE-19" + }, + { + "rel": "control", + "href": "", + "value": "PS-3" + }, + { + "rel": "control", + "href": "", + "value": "PS-6" + }, + { + "rel": "control", + "href": "", + "value": "SC-7" + }, + { + "rel": "control", + "href": "", + "value": "SC-8" + }, + { + "rel": "control", + "href": "", + "value": "SC-13" + }, + { + "rel": "control", + "href": "", + "value": "SC-31" + }, + { + "rel": "control", + "href": "", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eProtections against data leaks are implemented\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "6" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "SI-7" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIntegrity checking mechanisms are used to verify software, firmware, and information integrity\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "7" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CM-2" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe development and testing environment(s) are separate from the production environment\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "8" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "SA-10" + }, + { + "rel": "control", + "href": "", + "value": "SI-7" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIntegrity checking mechanisms are used to verify hardware integrity\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "title": "Information Protection Processes and Procedures", + "props": [ + { + "class": "category-id", + "value": "PR.IP" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eSecurity policies (that address purpose, scope, roles, responsibilities, management commitment, and coordination among organizational entities), processes, and procedures are maintained and used to manage protection of information systems and assets.\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CM-2" + }, + { + "rel": "control", + "href": "", + "value": "CM-3" + }, + { + "rel": "control", + "href": "", + "value": "CM-4" + }, + { + "rel": "control", + "href": "", + "value": "CM-5" + }, + { + "rel": "control", + "href": "", + "value": "CM-6" + }, + { + "rel": "control", + "href": "", + "value": "CM-7" + }, + { + "rel": "control", + "href": "", + "value": "CM-9" + }, + { + "rel": "control", + "href": "", + "value": "SA-10" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eA baseline configuration of information technology/industrial control systems is created and maintained incorporating appropriate security principles (e.g. concept of least functionality)\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "SA-3" + }, + { + "rel": "control", + "href": "", + "value": "SA-4" + }, + { + "rel": "control", + "href": "", + "value": "SA-8" + }, + { + "rel": "control", + "href": "", + "value": "SA-10" + }, + { + "rel": "control", + "href": "", + "value": "SA-11" + }, + { + "rel": "control", + "href": "", + "value": "SA-12" + }, + { + "rel": "control", + "href": "", + "value": "SA-15" + }, + { + "rel": "control", + "href": "", + "value": "SA-17" + }, + { + "rel": "control", + "href": "", + "value": "PL-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eA System Development Life Cycle to manage systems is implemented\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CM-3" + }, + { + "rel": "control", + "href": "", + "value": "CM-4" + }, + { + "rel": "control", + "href": "", + "value": "SA-10" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eConfiguration change control processes are in place\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CP-4" + }, + { + "rel": "control", + "href": "", + "value": "CP-6" + }, + { + "rel": "control", + "href": "", + "value": "CP-9" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eBackups of information are conducted, maintained, and tested periodically\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "PE-10" + }, + { + "rel": "control", + "href": "", + "value": "PE-12" + }, + { + "rel": "control", + "href": "", + "value": "PE-13" + }, + { + "rel": "control", + "href": "", + "value": "PE-14" + }, + { + "rel": "control", + "href": "", + "value": "PE-15" + }, + { + "rel": "control", + "href": "", + "value": "PE-18" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePolicy and regulations regarding the physical operating environment for organizational assets are met\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "6" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "MP-6" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eData is destroyed according to policy\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "7" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "CP-2" + }, + { + "rel": "control", + "href": "", + "value": "IR-8" + }, + { + "rel": "control", + "href": "", + "value": "PL-2" + }, + { + "rel": "control", + "href": "", + "value": "PM-6" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eProtection processes are continuously improved\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "8" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AC-21" + }, + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eEffectiveness of protection technologies is shared with appropriate parties\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "9" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CP-2" + }, + { + "rel": "control", + "href": "", + "value": "IR-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResponse plans (Incident Response and Business Continuity) and recovery plans (Incident Recovery and Disaster Recovery) are in place and managed\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "10" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "IR-3" + }, + { + "rel": "control", + "href": "", + "value": "PM-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eResponse and recovery plans are tested\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "11" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "PS" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eCybersecurity is included in human resources practices (e.g., deprovisioning, personnel screening)\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "12" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "RA-3" + }, + { + "rel": "control", + "href": "", + "value": "RA-5" + }, + { + "rel": "control", + "href": "", + "value": "SI-2" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eA vulnerability management plan is developed and implemented\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "title": "Maintenance", + "props": [ + { + "class": "category-id", + "value": "PR.MA" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eMaintenance and repairs of industrial control and information system components is performed consistent with policies and procedures.\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "MA-2" + }, + { + "rel": "control", + "href": "", + "value": "MA-3" + }, + { + "rel": "control", + "href": "", + "value": "MA-5" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eMaintenance and repair of organizational assets is performed and logged in a timely manner, with approved and controlled tools\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "MA-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRemote maintenance of organizational assets is approved, logged, and performed in a manner that prevents unauthorized access\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "title": "Protective Technology", + "props": [ + { + "class": "category-id", + "value": "PR.PT" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eTechnical security solutions are managed to ensure the security and resilience of systems and assets, consistent with related policies, procedures, and agreements.\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AU" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAudit/log records are determined, documented, implemented, and reviewed in accordance with policy\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "MP-2" + }, + { + "rel": "control", + "href": "", + "value": "MP-4" + }, + { + "rel": "control", + "href": "", + "value": "MP-5" + }, + { + "rel": "control", + "href": "", + "value": "MP-7" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRemovable media is protected and its use restricted according to policy\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AC-3" + }, + { + "rel": "control", + "href": "", + "value": "CM-7" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe principle of least functionality is incorporated by configuring systems to provide only essential capabilities\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AC-4" + }, + { + "rel": "control", + "href": "", + "value": "AC-17" + }, + { + "rel": "control", + "href": "", + "value": "AC-18" + }, + { + "rel": "control", + "href": "", + "value": "CP-8" + }, + { + "rel": "control", + "href": "", + "value": "SC-7" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eCommunications and control networks are protected\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CP-7" + }, + { + "rel": "control", + "href": "", + "value": "CP-8" + }, + { + "rel": "control", + "href": "", + "value": "CP-11" + }, + { + "rel": "control", + "href": "", + "value": "CP-13" + }, + { + "rel": "control", + "href": "", + "value": "PL-8" + }, + { + "rel": "control", + "href": "", + "value": "SA-14" + }, + { + "rel": "control", + "href": "", + "value": "SC-6" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eSystems operate in pre-defined functional states to achieve availability (e.g. under duress, under attack, during recovery, normal operations).\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "function", + "title": "Detect", + "props": [ + { + "class": "function-id", + "value": "DE" + } + ], + "components": [ + { + "class": "category", + "title": "Anomalies and Events", + "props": [ + { + "class": "category-id", + "value": "DE.AE" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eAnomalous activity is detected in a timely manner and the potential impact of events is understood.\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AC-4" + }, + { + "rel": "control", + "href": "", + "value": "CA-3" + }, + { + "rel": "control", + "href": "", + "value": "CM-2" + }, + { + "rel": "control", + "href": "", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eA baseline of network operations and expected data flows for users and systems is established and managed\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AU-6" + }, + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "IR-4" + }, + { + "rel": "control", + "href": "", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eDetected events are analyzed to understand attack targets and methods\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AU-6" + }, + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "IR-4" + }, + { + "rel": "control", + "href": "", + "value": "IR-5" + }, + { + "rel": "control", + "href": "", + "value": "IR-8" + }, + { + "rel": "control", + "href": "", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eEvent data are aggregated and correlated from multiple sources and sensors\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CP-2" + }, + { + "rel": "control", + "href": "", + "value": "IR-4" + }, + { + "rel": "control", + "href": "", + "value": "RA-3" + }, + { + "rel": "control", + "href": "", + "value": "SI -4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eImpact of events is determined\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "IR-4" + }, + { + "rel": "control", + "href": "", + "value": "IR-5" + }, + { + "rel": "control", + "href": "", + "value": "IR-8" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eIncident alert thresholds are established\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "title": "Security Continuous Monitoring", + "props": [ + { + "class": "category-id", + "value": "DE.CM" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe information system and assets are monitored at discrete intervals to identify cybersecurity events and verify the effectiveness of protective measures.\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AC-2" + }, + { + "rel": "control", + "href": "", + "value": "AU-12" + }, + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "CM-3" + }, + { + "rel": "control", + "href": "", + "value": "SC-5" + }, + { + "rel": "control", + "href": "", + "value": "SC-7" + }, + { + "rel": "control", + "href": "", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe network is monitored to detect potential cybersecurity events\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "PE-3" + }, + { + "rel": "control", + "href": "", + "value": "PE-6" + }, + { + "rel": "control", + "href": "", + "value": "PE-20" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eThe physical environment is monitored to detect potential cybersecurity events\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AC-2" + }, + { + "rel": "control", + "href": "", + "value": "AU-12" + }, + { + "rel": "control", + "href": "", + "value": "AU-13" + }, + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "CM-10" + }, + { + "rel": "control", + "href": "", + "value": "CM-11" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003ePersonnel activity is monitored to detect potential cybersecurity events\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "SI-3" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eMalicious code is detected\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "SC-18" + }, + { + "rel": "control", + "href": "", + "value": "SI-4" + }, + { + "rel": "control", + "href": "", + "value": "SC-44" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eUnauthorized mobile code is detected\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "6" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "PS-7" + }, + { + "rel": "control", + "href": "", + "value": "SA-4" + }, + { + "rel": "control", + "href": "", + "value": "SA-9" + }, + { + "rel": "control", + "href": "", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eExternal service provider activity is monitored to detect potential cybersecurity events\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "7" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AU-12" + }, + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "CM-3" + }, + { + "rel": "control", + "href": "", + "value": "CM-8" + }, + { + "rel": "control", + "href": "", + "value": "PE-3" + }, + { + "rel": "control", + "href": "", + "value": "PE-6" + }, + { + "rel": "control", + "href": "", + "value": "PE-20" + }, + { + "rel": "control", + "href": "", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eMonitoring for unauthorized personnel, connections, devices, and software is performed\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "8" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "RA-5" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eVulnerability scans are performed\u003c/p\u003e" + ] + } + ] + }, + { + "class": "category", + "title": "Detection Processes", + "props": [ + { + "class": "category-id", + "value": "DE.DP" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eDetection processes and procedures are maintained and tested to ensure timely and adequate awareness of anomalous events.\u003c/p\u003e" + ], + "components": [ + { + "props": [ + { + "class": "number", + "value": "1" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CA-2" + }, + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "PM-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eRoles and responsibilities for detection are well defined to ensure accountability\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "2" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CA-2" + }, + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "PM-14" + }, + { + "rel": "control", + "href": "", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eDetection activities comply with all applicable requirements\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "3" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CA-2" + }, + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "PE-3" + }, + { + "rel": "control", + "href": "", + "value": "PM-14" + }, + { + "rel": "control", + "href": "", + "value": "SI-3" + }, + { + "rel": "control", + "href": "", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eDetection processes are tested\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "4" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "AU-6" + }, + { + "rel": "control", + "href": "", + "value": "CA-2" + }, + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "RA-5" + }, + { + "rel": "control", + "href": "", + "value": "SI-4" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eEvent detection information is communicated to appropriate parties\u003c/p\u003e" + ] + }, + { + "props": [ + { + "class": "number", + "value": "5" + } + ], + "links": [ + { + "rel": "control", + "href": "", + "value": "CA-2" + }, + { + "rel": "control", + "href": "", + "value": "CA-7" + }, + { + "rel": "control", + "href": "", + "value": "PL-2" + }, + { + "rel": "control", + "href": "", + "value": "RA-5" + }, + { + "rel": "control", + "href": "", + "value": "SI-4" + }, + { + "rel": "control", + "href": "", + "value": "PM-14" + } + ], + "prose": [ + "\u003cp class=\"description\"\u003eDetection processes are continuously improved\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "function", + "title": "Respond", + "props": [ + { + "class": "function-id", + "value": "RS" + } + ], + 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"ps.1" + }, + { + "controlId": "ps.2" + }, + { + "controlId": "ps.3" + }, + { + "controlId": "ps.4" + }, + { + "subcontrolId": "ps.4.2." + }, + { + "controlId": "ps.5" + }, + { + "controlId": "ps.6" + }, + { + "controlId": "ps.7" + }, + { + "controlId": "ps.8" + }, + { + "controlId": "ra.1" + }, + { + "controlId": "ra.2" + }, + { + "controlId": "ra.3" + }, + { + "controlId": "ra.5" + }, + { + "subcontrolId": "ra.5.1." + }, + { + "subcontrolId": "ra.5.2." + }, + { + "subcontrolId": "ra.5.4." + }, + { + "subcontrolId": "ra.5.5." + }, + { + "controlId": "sa.1" + }, + { + "controlId": "sa.2" + }, + { + "controlId": "sa.3" + }, + { + "controlId": "sa.4" + }, + { + "subcontrolId": "sa.4.1." + }, + { + "subcontrolId": "sa.4.2." + }, + { + "subcontrolId": "sa.4.9." + }, + { + "subcontrolId": "sa.4.10." + }, + { + "controlId": "sa.5" + }, + { + "controlId": "sa.8" + }, + { + "controlId": "sa.9" + }, + { + "subcontrolId": "sa.9.2." + }, + { + "controlId": "sa.10" + }, + { + "controlId": "sa.11" + }, + { + "controlId": "sa.12" + }, + { + "controlId": "sa.15" + }, + { + "controlId": "sa.16" + }, + { + "controlId": "sa.17" + }, + { + "controlId": "sc.1" + }, + { + "controlId": "sc.2" + }, + { + "controlId": "sc.3" + }, + { + "controlId": "sc.4" + }, + { + "controlId": "sc.5" + }, + { + "controlId": "sc.7" + }, + { + "subcontrolId": "sc.7.3." + }, + { + "subcontrolId": "sc.7.4." + }, + { + "subcontrolId": "sc.7.5." + }, + { + "subcontrolId": "sc.7.7." + }, + { + "subcontrolId": "sc.7.8." + }, + { + "subcontrolId": "sc.7.18." + }, + { + "subcontrolId": "sc.7.21." + }, + { + "controlId": "sc.8" + }, + { + "subcontrolId": "sc.8.1." + }, + { + "controlId": "sc.10" + }, + { + "controlId": "sc.12" + }, + { + "subcontrolId": "sc.12.1." + }, + { + "controlId": "sc.13" + }, + { + "controlId": "sc.15" + }, + { + "controlId": "sc.17" + }, + { + "controlId": "sc.18" + }, + { + "controlId": "sc.19" + }, + { + "controlId": "sc.20" + }, + { + "controlId": "sc.21" + }, + { + "controlId": "sc.22" + }, + { + "controlId": "sc.23" + }, + { + "controlId": "sc.24" + }, + { + "controlId": "sc.28" + }, + { + "controlId": "sc.39" + }, + { + "controlId": "si.1" + }, + { + "controlId": "si.2" + }, + { + "subcontrolId": "si.2.1." + }, + { + "subcontrolId": "si.2.2." + }, + { + "controlId": "si.3" + }, + { + "subcontrolId": "si.3.1." + }, + { + "subcontrolId": "si.3.2." + }, + { + "controlId": "si.4" + }, + { + "subcontrolId": "si.4.2." + }, + { + "subcontrolId": "si.4.4." + }, + { + "subcontrolId": "si.4.5." + }, + { + "controlId": "si.5" + }, + { + "subcontrolId": "si.5.1." + }, + { + "controlId": "si.6" + }, + { + "controlId": "si.7" + }, + { + "subcontrolId": "si.7.1." + }, + { + "subcontrolId": "si.7.2." + }, + { + "subcontrolId": "si.7.5." + }, + { + "subcontrolId": "si.7.7." + }, + { + "subcontrolId": "si.7.14." + }, + { + "controlId": "si.8" + }, + { + "subcontrolId": "si.8.1." + }, + { + "subcontrolId": "si.8.2." + }, + { + "controlId": "si.10" + }, + { + "controlId": "si.11" + }, + { + "controlId": "si.12" + }, + { + "controlId": "si.16" + } + ] + }, + "paramSettings": [ + { + "paramId": "ac-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ac-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ac-2_a", + "desc": "organization-defined information system account types", + "value": "organization-defined information system account types" + }, + { + "paramId": "ac-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-2_c", + "desc": "organization-defined procedures or conditions", + "value": "organization-defined procedures or conditions" + }, + { + "paramId": "ac-2_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ac-2_e", + "desc": "organization-defined time period for each type of account", + "value": "organization-defined time period for each type of account" + }, + { + "paramId": "ac-2_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-2_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-2_h", + "desc": "organization-defined time-period of expected inactivity or description of when to log out", + "value": "organization-defined time-period of expected inactivity or description of when to log out" + }, + { + "paramId": "ac-2_m", + "desc": "organization-defined circumstances and/or usage conditions", + "value": "organization-defined circumstances and/or usage conditions" + }, + { + "paramId": "ac-2_n", + "desc": "organization-defined information system accounts", + "value": "organization-defined information system accounts" + }, + { + "paramId": "ac-2_o", + "desc": "organization-defined atypical usage", + "value": "organization-defined atypical usage" + }, + { + "paramId": "ac-2_p", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-2_q", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-4_a", + "desc": "organization-defined information flow control policies", + "value": "organization-defined information flow control policies" + }, + { + "paramId": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "organization-defined duties of individuals" + }, + { + "paramId": "ac-6_a", + "desc": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information", + "value": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information" + }, + { + "paramId": "ac-6_b", + "desc": "organization-defined security functions or security-relevant information", + "value": "organization-defined security functions or security-relevant information" + }, + { + "paramId": "ac-6_c", + "desc": "organization-defined privileged commands", + "value": "organization-defined privileged commands" + }, + { + "paramId": "ac-6_d", + "desc": "organization-defined compelling operational needs", + "value": "organization-defined compelling operational needs" + }, + { + "paramId": "ac-6_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-7_a", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ac-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-7_c", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-7_d", + "desc": "organization-defined delay algorithm", + "value": "organization-defined delay algorithm" + }, + { + "paramId": "ac-8_a", + "desc": "organization-defined system use notification message or banner", + "value": "organization-defined system use notification message or banner" + }, + { + "paramId": "ac-8_b", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + }, + { + "paramId": "ac-10_a", + "desc": "organization-defined account and/or account type", + "value": "organization-defined account and/or account type" + }, + { + "paramId": "ac-10_b", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ac-11_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-12_a", + "desc": "organization-defined conditions or trigger events requiring session disconnect", + "value": "organization-defined conditions or trigger events requiring session disconnect" + }, + { + "paramId": "ac-14_a", + "desc": "organization-defined user actions", + "value": "organization-defined user actions" + }, + { + "paramId": "ac-17_a", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ac-17_b", + "desc": "organization-defined needs", + "value": "organization-defined needs" + }, + { + "paramId": "ac-19_c", + "desc": "organization-defined mobile devices", + "value": "organization-defined mobile devices" + }, + { + "paramId": "ac-21_a", + "desc": "organization-defined information sharing circumstances where user discretion is required", + "value": "organization-defined information sharing circumstances where user discretion is required" + }, + { + "paramId": "ac-21_b", + "desc": "organization-defined automated mechanisms or manual processes", + "value": "organization-defined automated mechanisms or manual processes" + }, + { + "paramId": "ac-22_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "at-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "au-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-2_a", + "desc": "organization-defined auditable events", + "value": "organization-defined auditable events" + }, + { + "paramId": "au-2_b", + "desc": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event", + "value": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event" + }, + { + "paramId": "au-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-3_a", + "desc": "organization-defined additional, more detailed information", + "value": "organization-defined additional, more detailed information" + }, + { + "paramId": "au-3_b", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "au-4_a", + "desc": "organization-defined audit record storage requirements", + "value": "organization-defined audit record storage requirements" + }, + { + "paramId": "au-5_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-5_b", + "desc": "organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)", + "value": "organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)" + }, + { + "paramId": "au-5_c", + "desc": "organization-defined personnel, roles, and/or locations", + "value": "organization-defined personnel, roles, and/or locations" + }, + { + "paramId": "au-5_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "au-5_e", + "desc": "organization-defined percentage", + "value": "organization-defined percentage" + }, + { + "paramId": "au-5_f", + "desc": "organization-defined real-time period", + "value": "organization-defined real-time period" + }, + { + "paramId": "au-5_g", + "desc": "organization-defined personnel, roles, and/or locations", + "value": "organization-defined personnel, roles, and/or locations" + }, + { + "paramId": "au-5_h", + "desc": "organization-defined audit failure events requiring real-time alerts", + "value": "organization-defined audit failure events requiring real-time alerts" + }, + { + "paramId": "au-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-6_b", + "desc": "organization-defined inappropriate or unusual activity", + "value": "organization-defined inappropriate or unusual activity" + }, + { + "paramId": "au-6_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-6_d", + "desc": "organization-defined data/information collected from other sources", + "value": "organization-defined data/information collected from other sources" + }, + { + "paramId": "au-7_a", + "desc": "organization-defined audit fields within audit records", + "value": "organization-defined audit fields within audit records" + }, + { + "paramId": "au-8_a", + "desc": "organization-defined granularity of time measurement", + "value": "organization-defined granularity of time measurement" + }, + { + "paramId": "au-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-8_c", + "desc": "organization-defined authoritative time source", + "value": "organization-defined authoritative time source" + }, + { + "paramId": "au-8_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "au-9_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-9_b", + "desc": "organization-defined subset of privileged users", + "value": "organization-defined subset of privileged users" + }, + { + "paramId": "au-10_a", + "desc": "organization-defined actions to be covered by non-repudiation", + "value": "organization-defined actions to be covered by non-repudiation" + }, + { + "paramId": "au-11_a", + "desc": "organization-defined time period consistent with records retention policy", + "value": "organization-defined time period consistent with records retention policy" + }, + { + "paramId": "au-12_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "au-12_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-12_c", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "au-12_d", + "desc": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail", + "value": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail" + }, + { + "paramId": "au-12_e", + "desc": "organization-defined individuals or roles", + "value": "organization-defined individuals or roles" + }, + { + "paramId": "au-12_f", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "au-12_g", + "desc": "organization-defined selectable event criteria", + "value": "organization-defined selectable event criteria" + }, + { + "paramId": "au-12_h", + "desc": "organization-defined time thresholds", + "value": "organization-defined time thresholds" + }, + { + "paramId": "ca-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ca-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-2_b", + "desc": "organization-defined individuals or roles", + "value": "organization-defined individuals or roles" + }, + { + "paramId": "ca-2_c", + "desc": "organization-defined level of independence", + "value": "organization-defined level of independence" + }, + { + "paramId": "ca-2_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-2_e", + "desc": "organization-defined other forms of security assessment", + "value": "organization-defined other forms of security assessment" + }, + { + "paramId": "ca-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-3_h", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + }, + { + "paramId": "ca-5_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-7_a", + "desc": "organization-defined metrics", + "value": "organization-defined metrics" + }, + { + "paramId": "ca-7_b", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "paramId": "ca-7_c", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "paramId": "ca-7_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ca-7_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-7_f", + "desc": "organization-defined level of independence", + "value": "organization-defined level of independence" + }, + { + "paramId": "ca-8_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-8_b", + "desc": "organization-defined information systems or system components", + "value": "organization-defined information systems or system components" + }, + { + "paramId": "ca-9_a", + "desc": "organization-defined information system components or classes of components", + "value": "organization-defined information system components or classes of components" + }, + { + "paramId": "cm-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cm-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-2_b", + "desc": "Assignment organization-defined circumstances", + "value": "Assignment organization-defined circumstances" + }, + { + "paramId": "cm-2_c", + "desc": "organization-defined previous versions of baseline configurations of the information system", + "value": "organization-defined previous versions of baseline configurations of the information system" + }, + { + "paramId": "cm-2_d", + "desc": "organization-defined information systems, system components, or devices", + "value": "organization-defined information systems, system components, or devices" + }, + { + "paramId": "cm-2_e", + "desc": "organization-defined configurations", + "value": "organization-defined configurations" + }, + { + "paramId": "cm-2_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "cm-3_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cm-3_b", + "desc": "organization-defined configuration change control element (e.g., committee, board)", + "value": "organization-defined configuration change control element (e.g., committee, board)" + }, + { + "paramId": "cm-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-3_d", + "desc": "organization-defined configuration change conditions", + "value": "organization-defined configuration change conditions" + }, + { + "paramId": "cm-3_e", + "desc": "organized-defined approval authorities", + "value": "organized-defined approval authorities" + }, + { + "paramId": "cm-3_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cm-3_g", + "desc": "organization-defined personnel", + "value": "organization-defined personnel" + }, + { + "paramId": "cm-5_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-5_b", + "desc": "organization-defined circumstances", + "value": "organization-defined circumstances" + }, + { + "paramId": "cm-5_c", + "desc": "organization-defined software and firmware components", + "value": "organization-defined software and firmware components" + }, + { + "paramId": "cm-6_a", + "desc": "organization-defined security configuration checklists", + "value": "organization-defined security configuration checklists" + }, + { + "paramId": "cm-6_b", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "cm-6_c", + "desc": "organization-defined operational requirements", + "value": "organization-defined operational requirements" + }, + { + "paramId": "cm-6_d", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "cm-6_e", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "cm-6_f", + "desc": "organization-defined configuration settings", + "value": "organization-defined configuration settings" + }, + { + "paramId": "cm-7_a", + "desc": "organization-defined prohibited or restricted functions, ports, protocols, and/or services", + "value": "organization-defined prohibited or restricted functions, ports, protocols, and/or services" + }, + { + "paramId": "cm-7_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-7_c", + "desc": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure", + "value": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure" + }, + { + "paramId": "cm-7_d", + "desc": "organization-defined policies regarding software program usage and restrictions", + "value": "organization-defined policies regarding software program usage and restrictions" + }, + { + "paramId": "cm-7_h", + "desc": "organization-defined software programs authorized to execute on the information system", + "value": "organization-defined software programs authorized to execute on the information system" + }, + { + "paramId": "cm-7_i", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-8_a", + "desc": "organization-defined information deemed necessary to achieve effective information system component accountability", + "value": "organization-defined information deemed necessary to achieve effective information system component accountability" + }, + { + "paramId": "cm-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-8_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cm-11_a", + "desc": "organization-defined policies", + "value": "organization-defined policies" + }, + { + "paramId": "cm-11_b", + "desc": "organization-defined methods", + "value": "organization-defined methods" + }, + { + "paramId": "cm-11_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cp-2_b", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "cp-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-2_d", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "cp-2_e", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-2_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-3_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-4_b", + "desc": "organization-defined tests", + "value": "organization-defined tests" + }, + { + "paramId": "cp-7_a", + "desc": "organization-defined information system operations", + "value": "organization-defined information system operations" + }, + { + "paramId": "cp-7_b", + "desc": "organization-defined time period consistent with recovery time and recovery point objectives", + "value": "organization-defined time period consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-8_a", + "desc": "organization-defined information system operations", + "value": "organization-defined information system operations" + }, + { + "paramId": "cp-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-9_a", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_b", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_c", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-9_e", + "desc": "organization-defined critical information system software and other security-related information", + "value": "organization-defined critical information system software and other security-related information" + }, + { + "paramId": "cp-9_f", + "desc": "organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives", + "value": "organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives" + }, + { + "paramId": "cp-10_a", + "desc": "organization-defined restoration time-periods", + "value": "organization-defined restoration time-periods" + }, + { + "paramId": "ia-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ia-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ia-2_d", + "desc": "organization-defined strength of mechanism requirements", + "value": "organization-defined strength of mechanism requirements" + }, + { + "paramId": "ia-3_a", + "desc": "organization-defined specific and/or types of devices", + "value": "organization-defined specific and/or types of devices" + }, + { + "paramId": "ia-4_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-4_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ia-4_c", + "desc": "organization-defined time period of inactivity", + "value": "organization-defined time period of inactivity" + }, + { + "paramId": "ia-5_a", + "desc": "organization-defined time period by authenticator type", + "value": "organization-defined time period by authenticator type" + }, + { + "paramId": "ia-5_b", + "desc": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type", + "value": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type" + }, + { + "paramId": "ia-5_c", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ia-5_d", + "desc": "organization-defined numbers for lifetime minimum, lifetime maximum", + "value": "organization-defined numbers for lifetime minimum, lifetime maximum" + }, + { + "paramId": "ia-5_e", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ia-5_f", + "desc": "organization-defined types of and/or specific authenticators", + "value": "organization-defined types of and/or specific authenticators" + }, + { + "paramId": "ia-5_g", + "desc": "organization-defined registration authority", + "value": "organization-defined registration authority" + }, + { + "paramId": "ia-5_h", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-5_l", + "desc": "organization-defined token quality requirements", + "value": "organization-defined token quality requirements" + }, + { + "paramId": "ia-8_a", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + }, + { + "paramId": "ir-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ir-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ir-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-3_b", + "desc": "organization-defined tests", + "value": "organization-defined tests" + }, + { + "paramId": "ir-6_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ir-6_b", + "desc": "organization-defined authorities", + "value": "organization-defined authorities" + }, + { + "paramId": "ir-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ir-8_b", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "ir-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-8_d", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "ma-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ma-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ma-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-2_b", + "desc": "organization-defined maintenance-related information", + "value": "organization-defined maintenance-related information" + }, + { + "paramId": "ma-3_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-6_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "ma-6_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "mp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "mp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-2_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "paramId": "mp-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "mp-3_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-3_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + }, + { + "paramId": "mp-4_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "paramId": "mp-4_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + }, + { + "paramId": "mp-5_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "mp-6_a", + "desc": "organization-defined information system media", + "value": "organization-defined information system media" + }, + { + "paramId": "mp-6_b", + "desc": "organization-defined sanitization techniques and procedures", + "value": "organization-defined sanitization techniques and procedures" + }, + { + "paramId": "mp-6_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-6_d", + "desc": "organization-defined circumstances requiring sanitization of portable storage devices", + "value": "organization-defined circumstances requiring sanitization of portable storage devices" + }, + { + "paramId": "mp-7_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-7_b", + "desc": "organization-defined information systems or system components", + "value": "organization-defined information systems or system components" + }, + { + "paramId": "mp-7_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pe-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_a", + "desc": "organization-defined entry/exit points to the facility where the information system resides", + "value": "organization-defined entry/exit points to the facility where the information system resides" + }, + { + "paramId": "pe-3_b", + "desc": "organization-defined physical access control systems/devices", + "value": "organization-defined physical access control systems/devices" + }, + { + "paramId": "pe-3_c", + "desc": "organization-defined entry/exit points", + "value": "organization-defined entry/exit points" + }, + { + "paramId": "pe-3_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-3_e", + "desc": "organization-defined circumstances requiring visitor escorts and monitoring", + "value": "organization-defined circumstances requiring visitor escorts and monitoring" + }, + { + "paramId": "pe-3_f", + "desc": "organization-defined physical access devices", + "value": "organization-defined physical access devices" + }, + { + "paramId": "pe-3_g", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_h", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_i", + "desc": "organization-defined physical spaces containing one or more components of the information system", + "value": "organization-defined physical spaces containing one or more components of the information system" + }, + { + "paramId": "pe-4_a", + "desc": "organization-defined information system distribution and transmission lines", + "value": "organization-defined information system distribution and transmission lines" + }, + { + "paramId": "pe-4_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-6_b", + "desc": "organization-defined events or potential indications of events", + "value": "organization-defined events or potential indications of events" + }, + { + "paramId": "pe-6_g", + "desc": "organization-defined physical spaces containing one or more components of the information system", + "value": "organization-defined physical spaces containing one or more components of the information system" + }, + { + "paramId": "pe-8_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "pe-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-10_a", + "desc": "organization-defined location by information system or system component", + "value": "organization-defined location by information system or system component" + }, + { + "paramId": "pe-13_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pe-13_b", + "desc": "organization-defined emergency responders", + "value": "organization-defined emergency responders" + }, + { + "paramId": "pe-13_c", + "desc": "organization-defined emergency responders", + "value": "organization-defined emergency responders" + }, + { + "paramId": "pe-14_a", + "desc": "organization-defined acceptable levels", + "value": "organization-defined acceptable levels" + }, + { + "paramId": "pe-14_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-15_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pe-16_a", + "desc": "organization-defined types of information system components", + "value": "organization-defined types of information system components" + }, + { + "paramId": "pe-17_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + }, + { + "paramId": "pe-18_a", + "desc": "organization-defined physical and environmental hazards", + "value": "organization-defined physical and environmental hazards" + }, + { + "paramId": "pl-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pl-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pl-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-2_c", + "desc": "organization-defined individuals or groups", + "value": "organization-defined individuals or groups" + }, + { + "paramId": "pl-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-8_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-3_a", + "desc": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening", + "value": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening" + }, + { + "paramId": "ps-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-4_b", + "desc": "organization-defined information security topics", + "value": "organization-defined information security topics" + }, + { + "paramId": "ps-4_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-4_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-4_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-5_a", + "desc": "organization-defined transfer or reassignment actions", + "value": "organization-defined transfer or reassignment actions" + }, + { + "paramId": "ps-5_b", + "desc": "organization-defined time period following the formal transfer action", + "value": "organization-defined time period following the formal transfer action" + }, + { + "paramId": "ps-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-5_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-6_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-7_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ra-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-3_a", + "desc": "organization-defined document", + "value": "organization-defined document" + }, + { + "paramId": "ra-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-3_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-3_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-5_a", + "desc": "organization-defined frequency and/or randomly in accordance with organization-defined process", + "value": "organization-defined frequency and/or randomly in accordance with organization-defined process" + }, + { + "paramId": "ra-5_b", + "desc": "organization-defined response times", + "value": "organization-defined response times" + }, + { + "paramId": "ra-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-5_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-5_e", + "desc": "organization-defined corrective actions", + "value": "organization-defined corrective actions" + }, + { + "paramId": "ra-5_f", + "desc": "organization-identified information system components", + "value": "organization-identified information system components" + }, + { + "paramId": "ra-5_g", + "desc": "organization-defined vulnerability scanning activities", + "value": "organization-defined vulnerability scanning activities" + }, + { + "paramId": "sa-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-3_a", + "desc": "organization-defined system development life cycle", + "value": "organization-defined system development life cycle" + }, + { + "paramId": "sa-4_a", + "desc": "organization-defined design/implementation information", + "value": "organization-defined design/implementation information" + }, + { + "paramId": "sa-4_b", + "desc": "organization-defined level of detail", + "value": "organization-defined level of detail" + }, + { + "paramId": "sa-5_a", + "desc": "organization-defined actions", + "value": "organization-defined actions" + }, + { + "paramId": "sa-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-9_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + }, + { + "paramId": "sa-9_b", + "desc": "organization-defined processes, methods, and techniques", + "value": "organization-defined processes, methods, and techniques" + }, + { + "paramId": "sa-9_d", + "desc": "organization-defined external information system services", + "value": "organization-defined external information system services" + }, + { + "paramId": "sa-10_a", + "desc": "organization-defined configuration items under configuration management", + "value": "organization-defined configuration items under configuration management" + }, + { + "paramId": "sa-10_b", + "desc": "organization-defined personnel", + "value": "organization-defined personnel" + }, + { + "paramId": "sa-11_a", + "desc": "organization-defined depth and coverage", + "value": "organization-defined depth and coverage" + }, + { + "paramId": "sa-12_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "sa-15_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-15_b", + "desc": "organization-defined security requirements", + "value": "organization-defined security requirements" + }, + { + "paramId": "sa-16_a", + "desc": "organization-defined training", + "value": "organization-defined training" + }, + { + "paramId": "sc-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sc-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-5_a", + "desc": "organization-defined types of denial of service attacks or references to sources for such information", + "value": "organization-defined types of denial of service attacks or references to sources for such information" + }, + { + "paramId": "sc-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "sc-7_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-7_b", + "desc": "organization-defined internal communications traffic", + "value": "organization-defined internal communications traffic" + }, + { + "paramId": "sc-7_c", + "desc": "organization-defined external networks", + "value": "organization-defined external networks" + }, + { + "paramId": "sc-7_l", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "sc-7_m", + "desc": "organization-defined missions and/or business functions", + "value": "organization-defined missions and/or business functions" + }, + { + "paramId": "sc-8_a", + "desc": "organization-defined alternative physical safeguards", + "value": "organization-defined alternative physical safeguards" + }, + { + "paramId": "sc-10_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "sc-12_a", + "desc": "organization-defined requirements for key generation, distribution, storage, access, and destruction", + "value": "organization-defined requirements for key generation, distribution, storage, access, and destruction" + }, + { + "paramId": "sc-13_a", + "desc": "organization-defined cryptographic uses and type of cryptography required for each use", + "value": "organization-defined cryptographic uses and type of cryptography required for each use" + }, + { + "paramId": "sc-15_a", + "desc": "organization-defined exceptions where remote activation is to be allowed", + "value": "organization-defined exceptions where remote activation is to be allowed" + }, + { + "paramId": "sc-17_a", + "desc": "organization-defined certificate policy", + "value": "organization-defined certificate policy" + }, + { + "paramId": "sc-24_a", + "desc": "organization-defined known-state", + "value": "organization-defined known-state" + }, + { + "paramId": "sc-24_b", + "desc": "organization-defined types of failures", + "value": "organization-defined types of failures" + }, + { + "paramId": "sc-24_c", + "desc": "organization-defined system state information", + "value": "organization-defined system state information" + }, + { + "paramId": "sc-28_a", + "desc": "organization-defined information at rest", + "value": "organization-defined information at rest" + }, + { + "paramId": "si-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "si-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-3_b", + "desc": "organization-defined action", + "value": "organization-defined action" + }, + { + "paramId": "si-4_a", + "desc": "organization-defined monitoring objectives", + "value": "organization-defined monitoring objectives" + }, + { + "paramId": "si-4_b", + "desc": "organization-defined techniques and methods", + "value": "organization-defined techniques and methods" + }, + { + "paramId": "si-4_c", + "desc": "organization-defined information system monitoring information", + "value": "organization-defined information system monitoring information" + }, + { + "paramId": "si-4_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-4_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-4_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-4_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-4_h", + "desc": "organization-defined compromise indicators", + "value": "organization-defined compromise indicators" + }, + { + "paramId": "si-5_a", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "paramId": "si-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-5_c", + "desc": "organization-defined elements within the organization", + "value": "organization-defined elements within the organization" + }, + { + "paramId": "si-5_d", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "paramId": "si-6_a", + "desc": "organization-defined security functions", + "value": "organization-defined security functions" + }, + { + "paramId": "si-6_b", + "desc": "organization-defined system transitional states", + "value": "organization-defined system transitional states" + }, + { + "paramId": "si-6_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-6_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-6_e", + "desc": "organization-defined alternative action(s)", + "value": "organization-defined alternative action(s)" + }, + { + "paramId": "si-7_a", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + }, + { + "paramId": "si-7_b", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + }, + { + "paramId": "si-7_c", + "desc": "organization-defined transitional states or security-relevant events", + "value": "organization-defined transitional states or security-relevant events" + }, + { + "paramId": "si-7_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-7_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-7_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "si-7_g", + "desc": "organization-defined security-relevant changes to the information system", + "value": "organization-defined security-relevant changes to the information system" + }, + { + "paramId": "si-10_a", + "desc": "organization-defined information inputs", + "value": "organization-defined information inputs" + }, + { + "paramId": "si-11_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-16_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "alterations": [ + { + "controlId": "ac.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-1 (b) (1) [at least annually] AC-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (j) [monthly for privileged accessed, every six (6) months for non-privileged access]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (2) [Selection: disables] [Assignment: 24 hours from last use]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (3) [35 days for user accounts]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (3) Requirement: The service provider defines the time period for non-user accounts (e.g., accounts associated with devices). The time periods are approved and accepted by the JAB/AO. Where user management is a function of the service, reports of activity of consumer users shall be made available.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (4) [organization and/or service provider system owner]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (5) [inactivity is anticipated to exceed Fifteen (15) minutes]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (5) Guidance: Should use a shorter timeframe than AC-12.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.11.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNIST added this control to the NIST High Baseline during the 1/15/2015\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.12.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (12) (b)[at a minimum, the ISSO and/or similar role within the organization]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (12)(a) Guidance: Required for privileged accounts. AC-2 (12)(b) Guidance: Required for privileged accounts.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.13.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (13) [one (1) hour]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-5 Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-6 (1) [all functions not publicly accessible and all security-relevant information not publicly available]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-6 (2) [all security functions]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-6 (2) Guidance: Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-6 (3)-1 [all privileged commands]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.9.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-7(a)-1 [not more than three (3)]\u003c/p\u003e", + "\u003cp\u003eAC-7(a)-2 [fifteen (15) minutes] AC-7(b) [locks the account/node for a minimum of three (3) hours or until unlocked by an administrator]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-8 (a) [see additional Requirements and Guidance] AC-8 (c) (1) [see additional Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-8 Requirement: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO. Requirement: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. Guidance: If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. Requirement: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-10-2 [three (3) sessions for privileged access and two (2) sessions for non-privileged access]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.11", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-11(a) [fifteen (15) minutes]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.11.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.12", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.14", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.17", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.18", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.18.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.18.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.18.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.19", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.19.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.20", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.20.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.20.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.21", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.22", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-22 (d) [at least quarterly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.1", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "SECURITY AWARENESS AND TRAINING POLICY ANDPROCEDURES" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-1 (b) (1) [at least annually or whenever a significant change occurs] AT-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "at.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-3 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-4 (b) [five (5) years or 5 years after completion of a specific training program]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-1 (b) (1) [at least annually] AU-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-2 (a) [successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes] AU-2 (d) [organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event].\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-2 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-2 (3) [annually or whenever there is a change in the threat environment]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-2 (3) Guidance: Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.3.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-3 (1) [session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-3 (1) Guidance: For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.3.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-3 (2) [all network, data storage, and computing devices]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-5 (b). [organization-defined actions to be taken (overwrite oldest record)\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.5.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-5 (2)-1 [real-time] AU-5 (1)-2 [service provider personnel with authority to address failed audit events] AU-5 (1)-3 [audit failure events requiring real-time alerts, as defined by organization audit policy].\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-6 (a)-1 [at least weekly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-6 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-6 (5) [Selection (one or more): vulnerability scanning information; performance data; information system monitoring information; penetration test data; [Organization -defined data/information collected from other sources]]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-6 (6) Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-8 (b) [one second granularity of time measurement]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-8 (1) [http://tf.nist.gov/tf-cgi/servers.cgi] [At least hourly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-8 (1) Requirement: The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server. AU-8 (1) Requirement: The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server. AU-8 (1) Guidance: Synchronization of system clocks improves the accuracy of log analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.9.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-9 (2) [at least weekly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.9.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.9.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-10 [minimum actions including the addition, modification, deletion, approval, sending, or receiving of data]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.11", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-11 [at least one (1) year]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-11 Requirement: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.12", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-12 (a) [all information system and network components where audit capability is deployed/available]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.12.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNon-repudiation\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-12 (1) [all network, data storage, and computing devices]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.12.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNon-repudiation\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-12 (3) (1) [service provider-defined individuals or roles with audit configuration responsibilities] AU-12 (3) (2) [all network, data storage, and computing devices]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-1 (b) (1) [at least annually] CA-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-2 (b) [at least annually] CA-2 (d) [individuals or roles to include FedRAMP PMO]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-2 (1) Requirement: For JAB Authorization, must use an accredited 3PAO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-2 (2) [at least annually]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-2 (2) Requirement: To include 'announced', 'vulnerability scanning'\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-3 (c) [At least annually and on input from FedRAMP]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.3.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-3 (5) [deny-all, permit by exception]\u003c/p\u003e", + "\u003cp\u003e[any systems]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-3 (5) Guidance: For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-5 (b) [at least monthly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-5 Guidance: Requirement: POA\u0026amp;Ms must be provided at least monthly.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-6 (c) [at least every three (3) years or when a significant change occurs]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-6 (c) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-7 (g) [to meet Federal and FedRAMP requirements]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-7 Requirement: Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually CA-7 Guidance: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA\u0026amp;M updates. Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-8-1 [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-1 (b) (1) [at least annually] CM-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-2 (1) (a) [at least annually or when a significant change occurs] CM-2 (1) (b) [to include when directed by the JAB]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-2 (1) (a) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-2 (3) [organization-defined previous versions of baseline configurations of the previously approved baseline configuration of IS components]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.2.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-3 Requirement: The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO. CM-3 (e) Guidance: In accordance with record retention policies and procedures.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.3.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-3 (1) (c) [organization agreed upon time period] CM-3 (1) (f) [organization defined configuration management approval authorities]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.3.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.5.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-5 (2) [at least every thirty (30) days]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.5.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-5 (3) Guidance: If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-6 (a) [United States Government Configuration Baseline (USGCB)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-6 (a)-1 Requirement 1: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. CM-6 (a)-2 Requirement 2: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) validated or SCAP compatible (if validated checklists are not available). CM-6 (a) Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.6.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-7 (b) [United States Government Configuration Baseline (USGCB)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-7 (b) Requirement: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. CM-7 Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. (Partially derived from AC-17(8).\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-7 (1) (a) [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.7.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-7 (2) Guidance: This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.7.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-7(5) (c) [at least quarterly or when there is a change]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-8 (b) [at least monthly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-8 Requirement: must be provided at least monthly or when there is a change.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-8 (3) (a). [Continuously, using automated mechanisms with a maximum five-minute delay in detection.]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-8 (4) [position and role]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.11", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-11 (c) [Continuously (via CM-7 (5))]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-1 (b) (1) [at least annually] CP-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-2 (d) [at least annually]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-2 Requirement: For JAB authorizations the contingency lists include designated FedRAMP personnel.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-2 (4) [time period defined in service provider and organization SLA]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-3 (a) [ten (10) days] CP-3 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.3.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-4 (a)-1 [at least annually] CP-4 (a)-2 [functional exercises]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-4 (a) Requirement: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.6.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.6.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-7 (a) Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-7 (1) Guidance: The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-8 Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.8.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.8.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.8.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-8 (4) (c) [annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (a) [daily incremental; weekly full] CP-9 (b) [daily incremental; weekly full] CP-9 (c) [daily incremental; weekly full]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-9 Requirement: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. CP-9 (a) Requirement: The service provider maintains at least three backup copies of user-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (b) Requirement: The service provider maintains at least three backup copies of system-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (c) Requirement: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online) or provides an equivalent alternative.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.9.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (1). [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.9.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.9.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.9.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (5) [time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA].\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.10.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.10.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-10 (4) [time period consistent with the restoration time-periods defined in the service provider and organization SLA]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-1 (b) (1) [at least annually] IA-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.9.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.11.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-2 (11) [FIPS 140-2, NIAP Certification, or NSA approval]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-2 (11) Guidance: PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.12.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-2 (12) Guidance: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-4(a) [at a minimum, the ISSO (or similar role within the organization)] IA-4 (d) [at least two (2) years] IA-4 (e) [thirty-five (35) days] (See additional requirements and guidance.)\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-4 (e) Requirement: The service provider defines the time period of inactivity for device identifiers. Guidance: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (g) [to include sixty (60) days for passwords]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-5 Requirement: Authenticators must be compliant with NIST SP 800-63-2 Electronic Authentication Guideline assurance Level 4 (Link http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-63-2.pdf)\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (1) (a) [case sensitive, minimum of fourteen (14) characters, and at least one (1) each of upper-case letters, lower-case letters, numbers, and special characters] IA-5 (1) (b) [at least fifty percent (50%)] IA-5 (1) (d) [one (1) day minimum, sixty (60) day maximum] IA-5 (1) (e) [twenty four (24)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (3)-1 [All hardware/biometric (multifactor authenticators] IA-5 (3)-2 [in person]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.11.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.8", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "IDENTIFICATION AND AUTHENTICATION (NON- ORGANIZATIONAL USERS)" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.8.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.8.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.8.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High 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For JAB authorization, the service provider provides test plans to the JAB/AO annually. Test plans are approved and accepted by the JAB/AO prior to test commencing.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.3.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-4 Requirement: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-6 (a) [US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-6 Requirement: Reports security incident information according to FedRAMP Incident Communications Procedure.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.7.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-8 (b) [see additional FedRAMP Requirements and Guidance] IR-8 (c) [at least annually] IR-8 (e) [see additional FedRAMP Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-8 (b) Requirement: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. IR-8 (e) Requirement: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMA-1 (b) (1) [at least annually] MA-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.2.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.3.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.3.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.3.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMA-3 (3) (d). [the information owner explicitly authorizing removal of the equipment from the facility]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.4.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-1 (b) (1) [at least annually] MP-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-2-1 [any digital and non-digital media deemed sensitive]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-3 (b)-1 [no removable media types] MP-3 (b)-2 [organization-defined security safeguards not applicable]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-3 (b) Guidance: Second parameter not-applicable\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-4 (a)-1 [all types of digital and non-digital media with sensitive information] MP-4 (a)-2 [see additional FedRAMP requirements and guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-4 (a) Requirement: The service provider defines controlled areas within facilities where the information and information system reside.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-5 (a) [all media with sensitive information] [prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-5 (a) Requirement: The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.5.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-6(a)-2 [techniques and procedures IAW NIST SP 800-88 and Section 5.9: Reuse and Disposal of Storage Media and Hardware]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.6.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.6.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-6 (2) [at least every six (6) months]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-6 (2) Guidance: Equipment and procedures may be tested or validated for effectiveness\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.6.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.7.1.", + "augment": { + "parts": [ + { + "class": 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"justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-3 (a) (2) [CSP defined physical access control systems/devices AND guards] PE-3 (d) [in all circumstances within restricted access area where the information system resides] PE-3 (f) [at least annually] PE-3 (g) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.3.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + 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"\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-8 (a) [for a minimum of one (1) year] PE-8 (b) [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.10", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.11", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.11.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.12", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.13", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.13.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-13 (1) -1 [service provider building maintenance/physical security personnel] PE-13 (1) -2 [service provider emergency responders with incident response responsibilities]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.13.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.13.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.14", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-14 (a) [consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments] PE-14 (b) [continuously]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003ePE-14 (a) Requirements: The service provider measures temperature at server inlets and humidity levels by dew point.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.15", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.15.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-15 (1) [service provider building maintenance/physical security personnel]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.16", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-16 [all information system components]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.17", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.18", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-18 [physical and environmental hazards identified during threat assessment]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-1 (b) (1) [at least annually] PL-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pl.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-4 (c) [annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pl.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-8 (b) [at least annually or when a significant change occurs]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003ePL-8 (b) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-1 (b) (1) [at least annually] PS-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-3 (b) [for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-4 (a) [eight (8) hours]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ps.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-4 (2) [access control personnel responsible for disabling access to the system]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-5 (b)-2 [twenty-four (24) hours] PS-5 (d)-2 [twenty-four (24) hours]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-6 (b) [at least annually] PS-6 (c) (2) [at least annually and any time there is a change to the user's level of access]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.7", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-7 (d)-2 [terminations: immediately; transfers: within twenty-four (24) hours]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-8(b)-1 [at a minimum, the ISSO and/or similar role within the organization]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-1 (b) (1) [at least annually] RA-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-3 (b) [security assessment report]\u003c/p\u003e", + "\u003cp\u003eRA-3 (c) [at least annually or whenever a significant change occurs]\u003c/p\u003e", + "\u003cp\u003eRA-3 (e) [annually]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-3 Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. RA-3 (d) Requirement: Include all Authoring Officials and FedRAMP ISSOs.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (a) [monthly operating system/infrastructure; monthly web applications and databases] RA-5 (d) [high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (a) Requirement: an accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually. RA-5 (e) Requirement: to include the Risk Executive; for JAB authorizations to include FedRAMP\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (2) [prior to a new scan]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (4) [notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (5)-1 [operating systems / web applications / databases] RA-5 (5)-2 [all scans]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.1", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-1 (b) (1) [at least annually] SA-1 (b) (2) [at least annually or whenever a significant change occurs]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.2", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.3", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.4", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-4 Guidance: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See http://www.niap-ccevs.org/vpl or http://www.commoncriteriaportal.org/products.html.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-4 (2)-1 [at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information]]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.9.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.5", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-5E [at a minimum, the ISSO (or similar role within the organization)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.8", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (a) [FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system] SA-9 (c) [Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.9.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in NIST High Baseline, Rev 4 and FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (2) [all external systems where Federal information is processed or stored]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.10", + "augment": { + "parts": [ + 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"justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (7) (c) [disables/revokes access within a organization-specified timeframe]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.9.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "RESTRICTIONS ON USE OF SHARED GROUPS / ACCOUNTS" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (9) [organization-defined need with justification statement that explains why such accounts are necessary]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (9) Required if shared/group accounts are deployed\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-2 (10) Required if shared/group accounts are deployed\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.4.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. If there is a significant high-impact risk of inadvertent or intentional data leakage with a system deployed in a shared-service environment, this control is justified to mitigate that risk. Similar justification applies when an organization needs to ensure data isolation between different types of information enclaves within the organization. ANALYSIS. Although this control is usually employed to control flows between different classified enclaves, it can also apply to non-classified scenarios (e.g., the need to isolate legal, personnel, health-related, financial, or other information or files deemed sensitive. SAMPLE THREAT VECTORS. Sensitive free-text information passes from the personnel department to the rest of the organization. Law-enforcement sensitive information is inadvertently pulled from the organization's general counsel case management system and passed outside the department to users without authorization to view that information. HIPAA-protected health information flows freely from the HR department to all employees. Privacy-Act information flows from an HR system into a publicly released report. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Adaptive, Manageable, Assessed, Auditable, Regulated, Controlled, Monitored, Providing Good Data Stewardship, Assured, Competent, Confidential, Data Controllable, Access-Controlled.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.4.21.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eCSP Insider Threat mitigation; Good housekeeping and a best business practice for the protection of the CSP and customer alike. In a cloud environment, the power (and potentially harm) of the privileged users is greatly magnified because of the scale. For that reason periodic review of privileges is important.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: HIGH\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-6 (7)(a)-1 at a minimum, annually AC-6 (7)(a)-2 all users with privileges\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eThis control is not part of the NIST high baseline and was added for FedRAMP at the recommendation of DoD and NIST. This is a CNSSI 1253 control.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-6 (8) [any software except software explicitly documented]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.7.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. If an organization’s mobile devices carry information whose loss would have a high impact, this control is warranted in order to mitigate the risk of such loss. ANALYSIS. The technologies associated with this control are well established COTS hardware and software. SAMPLE THREAT VECTORS. Mobile device is lost, falls into the hands of people without authorization to view the information contained on the device. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Usable, Adaptive, Manageable, Agile, Supported, Assessed, Auditable, Regulated, Controlled, Monitored, Providing Good Data Stewardship, Assured, Confidential, Data Controllable, Access-Controlled, Mission Assured.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-7 (2)-1 [mobile devices as defined by organization policy] AC-7 (2)-3 [three (3)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.12.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRecommended by High Baseline Tiger Team. vulnerabilities associated with not having a logout button are well-documented.\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-12 (1) Guidance: https://www.owasp.org/index.php/Testing_for_logout_functionality_%28OTG-SESS-006%29\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.17.9.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-17 (9) [fifteen (15) minutes]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.18.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Best business practice for the protection of the CSP and customer alike \" when not intended for use\". This is an unanticipated vector for attack if present and active. While probably not an issue with data center servers and networking devices, wireless is becoming embedded in many components and devices such as printers, fax devices, copiers, scanners, communications devices, etc. There is the additional potential that wireless capabilities may become available in air conditioners, power centers, power controllers, lighting, alarm systems, etc. There is a potential that these capabilities could exist without organizational awareness. Selection drivedsawareness. It's better to perform the check than to make assumptions about what devices are in the IS.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs The application of this control enchancement should include all systems and devices in the CSP facility such as printers, fax devices, copiers, scanners, communications devices, air conditioners, power centers, power controllers, lighting, alarm systems, etc. Wireless networking capabilities should be disabled when they are near or networked with systems supporting customer's services.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: Moderate (Low L1/2)\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "at.3.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems warrant significantly elevated protection; one of these elevated protections is provided through simulated no-notice attacks that exercise users’ ability to detect and respond correctly to attempts to steal internal information in their possession. ANALYSIS. These controls are well understood and widely installed; COTS components keep implementation time and cost low. SAMPLE THREAT VECTORS. Cybersecurity staff do not know how to monitor, respond, and manage complex enforcement systems and subsystems. Cybersecurity staff is not properly trained to understand how the controls are to operate. Staff does not understand the event alarms/logs. Staff is not able to protect from unauthorized disclosure. Staff is careless with handling data, or unwilling to follow the established security protocols, or willing to cut corners to save time. RELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Assessed, Auditable, Controlled, Monitored, Providing Good Data Stewardship, Assured, Competent, Confidential.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "at.3.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems warrant significantly elevated protection.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. These controls are well understood and widely installed.\u003c/p\u003e", + "\u003cp\u003eTHREAT VECTORS ADDRESSED. Staff does not know how to monitor or manage complex systems in a way that supports effective management decision or control. Malicious actors manipulate the system to appear as if functioning normally when in reality, it is not. People fail to review event logs. People make unauthorized changes to event logger.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Assessed, Auditable, Controlled, Monitored, Providing Good Data Stewardship, Assured, Competent, Confidential.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-3 (4) [malicious code indicators as defined by organization incident policy/capability]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Due to the complexity of independent systems exchanging security-related monitoring data, and high-impact systems implemented in shared-service environments, the responsible organization needs a centralized capability that integrates these various data sources into a unified whole permitting central review and analysis of diverse log data relevant to security audits. ANALYSIS. This control permits analysts and auditors to focus on their primary duty of analyzing log data, and relieves them of the usual burden of discovery, collection, validation, aggregation, and indexing of large log datasets relevant to system security. Since these latter collection tasks have been automated under this control, less time and funding will be required to execute this core audit/analysis activity. SAMPLE THREAT VECTORS. Staff does not know how to monitor or manage complex systems in a way that supports effective management decision or control. Malicious actors manipulate the system to appear as if functioning normally, when it is not. People fail to review event logs. People make unauthorized changes to event logger.\" RELEVANT SECURITY CONTROL ATTRIBUTES. Monitored.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eThis control is not part of the NIST high baseline and was added for FedRAMP.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-6 (7) [information system process; role; user]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection L3-6: In support of cyber security threat / incident response activities. Supports flexibility in auditing levels based on threat level. Supports CSP integration with DoD security architecture. The sensitivity of the information at levels 3-6 warrents the adjustment of auditing levels based on threat level.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: This CE supports cyber security threat / incident response activities and flexibility in auditing levels based on threat level. This CE also supports CSP integration with DoD security architecture and the ability to respond to USCYBERCOM and DoD CNDSP alerts and directives. NOTE L1/2: The handling of alerts from US-CERT and other credible sources is sufficient to change auditing activities if this CE is tailored in via an SLA. NOTE: L3-6: The handling of alerts and directives from USCYBERCOM and DoD CNDSPs is required at these levels in addition to handling of alerts from US-CERTand other credible sources.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-2 (3)-1 [any FedRAMP Accredited 3PAO] CA-2 (3)-1-2 [any FedRAMP Accredited 3PAO] CA-2 (3)-1-3 [the conditions of the JAB/AO in the FedRAMP Repository]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.3.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-3 (3) [boundary protections which meet the Trusted Internet Connection (TIC) requirements]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-3 (3) Guidance: Refer to Appendix H – Cloud Considerations of the TIC 2.0 Reference Architecture document.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.7.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Organization requires independent data to validate that current security monitoring continues to target the right data, and that no gaps have opened between what is currently measured and what needs to be measured given the constantly evolving threat environment. In particular, the organization determines that security management will need trend analytics tuned to the current security climate to ensure the organization’s security officials maintain general situational awareness of larger security trends that may pose a threat to the organization’s high-impact systems fielded in shared-service environments.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. Implementation of this control should provide security management with a technical advantage by forcing them to maintain continual current awareness of the larger security threat-scape, rather than become lost in the lower-level details of specific security metrics.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS ADDRESSED. Stakeholders do not have the information they need to make sound decisions due to technology capability. System fails to send alarms, logs, and other pertinent data to the event manager. Control processes involve too many layers of review, concurrence, and revision to support effective and timely conveyance of relevant information to decision-makers. Monitoring not effectively linked to control processes.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Monitored, Controlled\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.8.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.3.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for De-Selection L1/2: The sensitivity of the information at these levels may not require a information security representative to be a member of the organization-defined configuration change control element. Rationale for Selection L3-6: This is a best business practice for the protection of the CSP and customer alike in that the security representative will be more aware of IA issues that configuration changes can introduce and he/she can more easily provide IA guidance for issues spotted.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-3 (4) Configuration control board (CCB) or similar (as defined in CM-3)\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.3.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for SA L1: Cryptographic mechanisms are only required at this level for priviledged user (system administrator / SA) access control and the transport of privileged commands or configuration files. Not the publicly released information served at this level. Rationale for Selection L2-6: Best practice. Supplemental guidance for this CE refers primarily to the processes surrounding the management of the cryptographic mechanisms used. These processes need to be under change management that addresses security concerns to ensure they remain secure.\u003c/p\u003e", + "\u003cp\u003eCE supplemental guidance. Regardless of the cryptographic means employed (e.g., public key, private key, shared secrets), organizations ensure that there are processes and procedures in place to effectively manage those means. For example, if devices use certificates as a basis for identification and authentication, there needs to be a process in place to address the expiration of those certificates.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-3 (6) All security safeguards that rely on cryptography\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.5.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-5 (5) (b) [at least quarterly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.10.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.11.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems will require special measures to ensure users cannot place the overall system at risk by installing unauthorized software. This control supports that need. ANALYSIS. Implementation of these controls is well understood, and relies on capabilities provided in COTS operating systems. SAMPLE THREAT VECTORS. The system executes malicious and harmful software. Software updates could render the system unstable or cause it to function incorrectly. Software is not designed with adequate safeguards to protect PII and other sensitive information. Users could make mistakes in following policy. Users could intentionally install unapproved/unvetted software. RELEVANT SECURITY CONTROL ATTRIBUTES. Quality Assured, Substantiated Integrity, Maintainable, Testable, Configuration Managed, Change Managed, Supported, Assessed, Auditable, Authorized, Regulated, Enforcement, Controlled, Reliable, Providing Good Data Stewardship, Assured, Confidential, Access-Controlled\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.5.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |\nGROUP AUTHENTICATION" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.4.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-4 (4) [contractors; foreign nationals]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (4) [complexity as identified in IA-5 (1) Control Enhancement Part (a)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-5 (4) Guidance: If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. In those cases where an organization’s user accounts authenticate to more than one system, and at least one of those systems is a high-impact system implemented in a shared-service environment, then this control is warranted as a baseline capability to guard against loss of high-impact, sensitive information. ANALYSIS. Organizations can use COTS tools and techniques to implement this control in many ways. Agencies should be prepared to document their plan and approach to this control technique. THREAT VECTORS ADDRESSED. A user’s account password is cracked, permitting attackers to identify all systems to which the user has access, and to gain access to the information in those systems. RELEVANT SECURITY CONTROL ATTRIBUTES. Monitored, Assessed\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (8) [different authenticators on different systems]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.13.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Best practice for authenticated web services and best business practice for the protection of the CSP and customer alike. ECSB sees this as a significant value add toward the protection of customer accounts on SaaS or customer service / managent interfaces/portals. L1 Rationale for SA: No authenticators are required for user access to public informationl. Info sensitivity does not warrant. However this CE would be required priviledged user access to manage the system server(s) containing public information.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: CSP must minimally implement this control enhancement on all SaaS offerings and customer service / managent interfaces. The time period can be negotiated in the SLA. NOTE: while the browser or other client cashes the authenticator, the server must enforce its expiration if the client does not.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: Low\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Organization requires near real-time subsystem reconfiguration for high-impact systems, especially those deployed wholly or partially into shared-service environments. This dynamic reconfiguration is required for core infrastructure components such as routers, firewalls, messaging gateways, or access control/authentication servers, especially when these core components are under cyber-attack.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. These critical cyber controls are well understood, and to some extent their automated capability has been established. Other aspects still require human decisions. Since this technology area is rapidly changing to meet new cyber-threat scenarios, it is expected that implementation of this control will be subject to significant change for the foreseeable future. Even so, its technology advantages are clear, especially for high-impact systems infrastructure.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. System does not have error-correcting or self-recovery capabilities. The system is not designed to allow for quick remediation of threats that will impact the system.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Survivable, Absorptive, Adaptive, Restorable\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-4 (2) [all network, data storage, and computing devices]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Due to the direct connection between system function and critical mission/business capability, the system requires Continuity-of-Operations (COOP) controls.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. These critical cyber controls are well understood, and to some extent their automated capability has been established. Other aspects still require human decisions. Since this technology area is rapidly changing to meet new cyber-threat scenarios and also changes in subsystem technology, it is expected that implementation of this control will be subject to significant change for the foreseeable future. Even so, its technology advantages are fundamental, especially for high-impact systems infrastructure.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. The system does not have error-correcting or self-recovery capabilities. The system is not designed to allow for quick remediation of threats that will impact the system. Time does not allow for the design in error handling, self-recovery, or to capitalize on system diversity to restore a system. Also, the organization lacks the expertise to develop or implement a plan for restoring system. A malicious change may be implemented to counter the ability to restore the system.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Survivable, Absorptive, Adaptable, Restorable\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems will require special measures to ensure security incidents are correctly and effectively handled in a timely manner. This high-level control supports that need, and is therefore warranted as a baseline for high-impact systems in shared-service environments. ANALYSIS. Implementation of this general control is well understood among Departments and Agencies. However, it may require special funding and time to implement in a shared service environment, where response roles and responsibilities demand vigilant analysis and definition. SAMPLE THREAT VECTORS. Insiders gain access to information for which they have no authorization. Insiders push sensitive information to outside networks not authorized to receive it. Insiders violate agency information-security policies. Insider actions are not monitored. RELEVANT SECURITY CONTROL ATTRIBUTES. Agile, Owned, Enforcement\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eThis control was recommended ecommended by the High Baseline Tiger Team.\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-4 (8) [external organizations including consumer incident responders and network defenders and the appropriate CIRT/CERT (such as US-CERT, DOD CERT, IC CERT)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.7.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.9", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.9.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.9.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-9 (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.9.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.9.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ma.4.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Best practice business practice for the protection of the CSP and customer alike. Protects against unauthorized access and compromise of the CSP infrastructure. See Supplemental Guidance\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: While AC-17(2) is similar to this CE and implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions, System configuration, maintenance and diagnostic communications can be considered sensitive information and it is in DoD. Maintaining the confidrntiality and integrity of nonlocal maintenance and diagnostic communications helps maintain the health of the system, prevents unauthorized access from sniffing and MITM atacks, etc. While beneficial this selection may not be required for nonlocal maintenance and diagnostic communications over the CSP's private network and particularly if that network is out of band. Encryption is required if such communications are over a network external to the CSP (e.g., the Internet).\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.14.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ps.3.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-3 (3) (b) [personnel screening criteria – as required by specific information]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.6.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (6) Guidance: include in Continuous Monitoring ISSO digest/report to JAB/AO\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (8) Requirements: This enhancement is required for all high vulnerability scan findings. Guidance: While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. Organizations commonly run vulnerability scanning tools against diverse enterprise systems and subsystems. These tools are often attuned to the specific subsystems, and often provided by different manufacturers. Because there is no single-vendor consolidation of all scanning tools, organizations need to correlate the outputs of these tools in order to triangulate on potential threats that may be related, or identical at their source. When the security impact is high a shared-service environment may increase the number of independent scanning tools, implementation of this control is warranted.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. Although this control is well understood by vendors, its implementation takes many forms, depending on the scanning tools adopted by a particular organization.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Different scanning tools discover low-impact vulnerabilities in multiple subsystems of a system. Considered individually, none of them warrants immediate action,; yet when considered together, they constitute a significant attack pattern.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Interoperable, Change Managed, Agile, Supported, Assessed, Monitored\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (10) Guidance: If multiple tools are not used, this control is not applicable.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-4 (8) [at least the minimum requirement as defined in control CA-7]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-4 (8) Guidance: CSP must use the same security standards regardless of where the system component or information system service is acquired.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.9.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.9.4.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (4)-2 [all external systems where Federal information is processed or stored]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.9.5.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (5)-1 [information processing, information data, AND information services]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.10.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.11.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-11 (1) Requirement: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.11.2.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.11.8.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-11 (8) Requirement: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.6", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.10.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems warrant careful attention to scenarios associated with exfiltration of sensitive organizational information. Different systems and implementation will trigger different scenarios, but regardless of the specific system context, organizations are warranted in establishing this control for high-impact systems with subsystems deployed into shared-service environments.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. Organizations should devote careful attention to design considerations relative to this control.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Authorized processes push very large volumes of data to external networks. Internal devices send address/status/security information to external networks.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES: Integrity-Assured, Absorptive, Survivable, Adaptive, Agile, Auditable, Monitored, Controlled, Data Controllable, Access-Controlled\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.12.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-7(12)-1 [Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.13.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSC-7 (13) Requirement: The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets. Guidance: Examples include: information security tools, mechanisms, and support components such as, but not limited to PKI, patching infrastructure, cyber defense tools, special purpose gateway, vulnerability tracking systems, internet access points (IAPs); network element and data center administrative/management traffic; Demilitarized Zones (DMZs), Server farms/computing centers, centralized audit log servers etc.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.20.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. High-impact systems warrant careful attention to situations where specific sources or methods become suspect. Such situations can involve specific user accounts, messages, message payloads, data, applications, or even entire subsystems. Under these circumstances, a capability for dynamic segregation is highly justified.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. Isolation techniques are well understood in the cyber market, and constantly evolving. Example techniques include honey pots and honey nets. Both techniques can isolate a user, an autonomous application, or an entire subsystem.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Anomalous user behavior is detected Messages arrive from suspect domains. Messages arrive with suspect attachments. Applications begin to behave anomalously. Subsystems begin moving data anomalously.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Integrity-Assured, Absorptive, Survivable, Adaptive, Agile, Auditable, Monitored, Controlled, Data Controllable, Access-Controlled\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.12.2.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT |\nSYMMETRIC KEYS" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-12 (2) [NIST FIPS-compliant]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.12.3.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT |\nASYMMETRIC KEYS" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.23.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Rationale for Selection for SA L1: At L1 this CE is only applicable to privileged user sessions.\u003c/p\u003e", + "\u003cp\u003eRationale for Selection L1-6: Best Practice; APT. This CE mitigates the threat/vulnerability inherant in authenticated sessions whereby If an adversary captures a session identifier that remains valid after the session is terminated, the adversary could use it to reinitiate the session thus gaining unauthorized access to CSP and CSP customer resources and information/data.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: If an adversary captures a session identifier that remains valid after the session is terminated, the adversary could use it to reinitiate the session thus gaining unauthorized access to CSP and/or CSP customer resources and information/data. While unnessary for user sessions at L1, this enhancement is selected for System Administrator sessions.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.28.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + }, + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-28 (1)-2 [all information system components storing customer data deemed sensitive]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.2.3.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.3.7.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.1.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.11.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. When a high-impact system is implemented in a shared-service environment, organizations should ensure their sensitive data is properly protected against classic threats to the confidentiality of its sensitive information. This control partially meets that need.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. The tools and techniques for implementing this monitoring control are now well understood and embedded in COTS operating systems and software.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Large outbound file transfers execute without being detected. External malware network sites are accessed from within the organization without detection. Network sessions remain connected for long periods of time without detection. Esoteric protocols are active and undetected on ports not defined by the organization.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Monitored\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.14.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.16.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.18.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. When a high-impact system is implemented in a shared-service environment, organizations should ensure their sensitive data is properly protected against classic threats to the confidentiality of sensitive information. This control partially meets that need.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. The tools and techniques for implementing this monitoring control are now well understood, and embedded in COTS operating systems and software.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Large outbound files are disguised to transfer without being detected. Communications with external malware network sites are embedded to avoid detection.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Substantiated Integrity, Monitored, Assessed\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.19.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for De-Selection L1-3: The information sensitivity at these levels does not seem to warrant implementation of this CE. The costs for instituting fine-grained monitoring per individual far may outweigh the risks\u003c/p\u003e", + "\u003cp\u003eRationale for selection L4-6: SP Insider Threat mitigation; The information sensitivity at these levels warrants implementation of this CE.Best business practice for the protection of the CSP and customer alike. This enhancement works in conjunction with AC-2 (13) account disablement for such individuals and IR-4 (6).\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: This enhancement works in conjunction with or opposite of AC-2 (13) which requires acount disablement within a specific time frame of discovering or identifying an individual posing a significant insider threat. In some instances the best action is not to terminate the individual's account, but rather to monitor their actions. This allows for the ability to collect evidence (for prosecution) and obtain insight into the TTPs that they may be using and others they may working with. Termination of the account is often best left as a final act.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: Moderate\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.20.", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "PRIVILEGED USER" + } + ], + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eRationale for Selection: Best business practice for the protection of the CSP and customer alike. Given the scale of a cloud, the possible harm by an malicious insider is greatly magnified over normal systems.\u003c/p\u003e", + "\u003cp\u003eECSB Supplemental Guidance as the C/CE relates to CSPs: his CE is on a par with SI-4 (9), IR-4 (6) and the various other insider threat Cs/CEs. Supports the mitigation of insider threat from those that can do the most damage. While CSPs typically claim they only have privileged users in their infrastructure (other than customers), this CEadds value for privilege users that have higher privilege than others. These higher privileged users should be subject to additional monitoring.\u003c/p\u003e", + "\u003cp\u003ePriority for adding to FedRAMP-M: High\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.22.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. When a high-impact system is implemented across networks in a shared-service environment, organizations should monitor network services to protect against unauthorized services capable of exfiltrating sensitive information. This control meets that monitoring need.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. The tools and techniques for implementing this monitoring control are well understood, and embedded in COTS operating systems and software.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Systems daemons and application services running in the background, exfiltrating sensitive information to external networks.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Monitored, Assessed\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.23.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eIncluded in FedRAMP Moderate Baseline, Rev 4\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "si.4.24.", + "augment": { + "parts": [ + { + "class": "justification", + "prose": [ + "\u003cp\u003eNEED. When a high-impact system is implemented across networks in a shared-service environment, organizations should aggressively monitor for symptoms that system integrity has been compromised. This control addresses that monitoring need.\u003c/p\u003e", + "\u003cp\u003eANALYSIS. The tools and techniques for implementing this monitoring control are no longer unusual, but their implementation still requires careful initial analysis of tools, standards, and sources for indicators of compromise (IOC) data. This capability is not a simple matter of installing COTS software and watching for alerts. Rather, it requires staff to maintain a keen understanding of the threat-scape in order to properly understand the alerts coming from the IOC subsystem.\u003c/p\u003e", + "\u003cp\u003eSAMPLE THREAT VECTORS. Temporary files appear but are not associated with any known system processes; independent security services warn of new surveillance techniques appearing globally; evidence of those new techniques appears in an organization’s event logs. Reports on the payload of a new botnet indicate that the system has been touched by the botnet.\u003c/p\u003e", + "\u003cp\u003eRELEVANT SECURITY CONTROL ATTRIBUTES. Monitored, Assessed\u003c/p\u003e" + ] + } + ] + } + } + ] + } + ] +} \ No newline at end of file diff --git a/working/FedRAMP/FedRAMP-LOW-working.json b/working/FedRAMP/FedRAMP-LOW-working.json new file mode 100644 index 0000000000..6cf30fe93c --- /dev/null +++ b/working/FedRAMP/FedRAMP-LOW-working.json @@ -0,0 +1,2751 @@ +{ + "id": "uuid-84130014-44f3-49c0-85d2-088596a9f496", + "title": "FedRAMP LOW Baseline PROFILE (extracted and aligned, no edits)", + "invocations": [ + { + "href": "../SP800-53/SP800-53-LOW-baseline.json", + "include": { + "calls": [ + { + "controlId": "ac.1" + }, + { + "controlId": "ac.2" + }, + { + "controlId": "ac.3" + }, + { + "controlId": "ac.7" + }, + { + "controlId": "ac.8" + }, + { + "controlId": "ac.14" + }, + { + "controlId": "ac.17" + }, + { + "controlId": "ac.18" + }, + { + "controlId": "ac.19" + }, + { + "controlId": "ac.20" + }, + { + "controlId": "ac.22" + }, + { + "controlId": "at.1" + }, + { + "controlId": "at.2" + }, + { + "controlId": "at.3" + }, 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system account types" + }, + { + "paramId": "ac-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-2_c", + "desc": "organization-defined procedures or conditions", + "value": "organization-defined procedures or conditions" + }, + { + "paramId": "ac-2_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ac-7_a", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ac-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-7_c", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-7_d", + "desc": "organization-defined delay algorithm", + "value": "organization-defined delay algorithm" + }, + { + "paramId": "ac-8_a", + "desc": "organization-defined system use notification message or banner", + "value": "organization-defined system use notification message or banner" + }, + { + "paramId": "ac-8_b", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + }, + { + "paramId": "ac-14_a", + "desc": "organization-defined user actions", + "value": "organization-defined user actions" + }, + { + "paramId": "ac-22_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "at-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "au-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-2_a", + "desc": "organization-defined auditable events", + "value": "organization-defined auditable events" + }, + { + "paramId": "au-2_b", + "desc": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event", + "value": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event" + }, + { + "paramId": "au-4_a", + "desc": "organization-defined audit record storage requirements", + "value": "organization-defined audit record storage requirements" + }, + { + "paramId": "au-5_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-5_b", + "desc": "organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)", + "value": "organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)" + }, + { + "paramId": "au-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-6_b", + "desc": "organization-defined inappropriate or unusual activity", + "value": "organization-defined inappropriate or unusual activity" + }, + { + "paramId": "au-6_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-8_a", + "desc": "organization-defined granularity of time measurement", + "value": "organization-defined granularity of time measurement" + }, + { + "paramId": "au-11_a", + "desc": "organization-defined time period consistent with records retention policy", + "value": "organization-defined time period consistent with records retention policy" + }, + { + "paramId": "au-12_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "au-12_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ca-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ca-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-2_b", + "desc": "organization-defined individuals or roles", + "value": "organization-defined individuals or roles" + }, + { + "paramId": "ca-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-5_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-7_a", + "desc": "organization-defined metrics", + "value": "organization-defined metrics" + }, + { + "paramId": "ca-7_b", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "paramId": "ca-7_c", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "paramId": "ca-7_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ca-7_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-9_a", + "desc": "organization-defined information system components or classes of components", + "value": "organization-defined information system components or classes of components" + }, + { + "paramId": "cm-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cm-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-6_a", + "desc": "organization-defined security configuration checklists", + "value": "organization-defined security configuration checklists" + }, + { + "paramId": "cm-6_b", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "cm-6_c", + "desc": "organization-defined operational requirements", + "value": "organization-defined operational requirements" + }, + { + "paramId": "cm-7_a", + "desc": "organization-defined prohibited or restricted functions, ports, protocols, and/or services", + "value": "organization-defined prohibited or restricted functions, ports, protocols, and/or services" + }, + { + "paramId": "cm-8_a", + "desc": "organization-defined information deemed necessary to achieve effective information system component accountability", + "value": "organization-defined information deemed necessary to achieve effective information system component accountability" + }, + { + "paramId": "cm-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-11_a", + "desc": "organization-defined policies", + "value": "organization-defined policies" + }, + { + "paramId": "cm-11_b", + "desc": "organization-defined methods", + "value": "organization-defined methods" + }, + { + "paramId": "cm-11_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cp-2_b", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "cp-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-2_d", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "cp-3_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-4_b", + "desc": "organization-defined tests", + "value": "organization-defined tests" + }, + { + "paramId": "cp-9_a", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_b", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_c", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "ia-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ia-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ia-4_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-4_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ia-4_c", + "desc": "organization-defined time period of inactivity", + "value": "organization-defined time period of inactivity" + }, + { + "paramId": "ia-5_a", + "desc": "organization-defined time period by authenticator type", + "value": "organization-defined time period by authenticator type" + }, + { + "paramId": "ia-5_b", + "desc": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type", + "value": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type" + }, + { + "paramId": "ia-5_c", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ia-5_d", + "desc": "organization-defined numbers for lifetime minimum, lifetime maximum", + "value": "organization-defined numbers for lifetime minimum, lifetime maximum" + }, + { + "paramId": "ia-5_e", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ia-5_l", + "desc": "organization-defined token quality requirements", + "value": "organization-defined token quality requirements" + }, + { + "paramId": "ia-8_a", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + }, + { + "paramId": "ir-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ir-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ir-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-6_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ir-6_b", + "desc": "organization-defined authorities", + "value": "organization-defined authorities" + }, + { + "paramId": "ir-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ir-8_b", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "ir-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-8_d", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "ma-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ma-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ma-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-2_b", + "desc": "organization-defined maintenance-related information", + "value": "organization-defined maintenance-related information" + }, + { + "paramId": "mp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "mp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-2_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "paramId": "mp-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "mp-6_a", + "desc": "organization-defined information system media", + "value": "organization-defined information system media" + }, + { + "paramId": "mp-6_b", + "desc": "organization-defined sanitization techniques and procedures", + "value": "organization-defined sanitization techniques and procedures" + }, + { + "paramId": "mp-7_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-7_b", + "desc": "organization-defined information systems or system components", + "value": "organization-defined information systems or system components" + }, + { + "paramId": "mp-7_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pe-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_a", + "desc": "organization-defined entry/exit points to the facility where the information system resides", + "value": "organization-defined entry/exit points to the facility where the information system resides" + }, + { + "paramId": "pe-3_b", + "desc": "organization-defined physical access control systems/devices", + "value": "organization-defined physical access control systems/devices" + }, + { + "paramId": "pe-3_c", + "desc": "organization-defined entry/exit points", + "value": "organization-defined entry/exit points" + }, + { + "paramId": "pe-3_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-3_e", + "desc": "organization-defined circumstances requiring visitor escorts and monitoring", + "value": "organization-defined circumstances requiring visitor escorts and monitoring" + }, + { + "paramId": "pe-3_f", + "desc": "organization-defined physical access devices", + "value": "organization-defined physical access devices" + }, + { + "paramId": "pe-3_g", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_h", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-6_b", + "desc": "organization-defined events or potential indications of events", + "value": "organization-defined events or potential indications of events" + }, + { + "paramId": "pe-8_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "pe-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-14_a", + "desc": "organization-defined acceptable levels", + "value": "organization-defined acceptable levels" + }, + { + "paramId": "pe-14_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-16_a", + "desc": "organization-defined types of information system components", + "value": "organization-defined types of information system components" + }, + { + "paramId": "pl-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pl-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pl-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-3_a", + "desc": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening", + "value": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening" + }, + { + "paramId": "ps-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-4_b", + "desc": "organization-defined information security topics", + "value": "organization-defined information security topics" + }, + { + "paramId": "ps-4_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-4_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-5_a", + "desc": "organization-defined transfer or reassignment actions", + "value": "organization-defined transfer or reassignment actions" + }, + { + "paramId": "ps-5_b", + "desc": "organization-defined time period following the formal transfer action", + "value": "organization-defined time period following the formal transfer action" + }, + { + "paramId": "ps-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-5_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-6_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-7_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ra-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-3_a", + "desc": "organization-defined document", + "value": "organization-defined document" + }, + { + "paramId": "ra-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-3_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-3_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-5_a", + "desc": "organization-defined frequency and/or randomly in accordance with organization-defined process", + "value": "organization-defined frequency and/or randomly in accordance with organization-defined process" + }, + { + "paramId": "ra-5_b", + "desc": "organization-defined response times", + "value": "organization-defined response times" + }, + { + "paramId": "ra-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-3_a", + "desc": "organization-defined system development life cycle", + "value": "organization-defined system development life cycle" + }, + { + "paramId": "sa-5_a", + "desc": "organization-defined actions", + "value": "organization-defined actions" + }, + { + "paramId": "sa-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-9_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + }, + { + "paramId": "sa-9_b", + "desc": "organization-defined processes, methods, and techniques", + "value": "organization-defined processes, methods, and techniques" + }, + { + "paramId": "sc-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sc-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-5_a", + "desc": "organization-defined types of denial of service attacks or references to sources for such information", + "value": "organization-defined types of denial of service attacks or references to sources for such information" + }, + { + "paramId": "sc-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "sc-12_a", + "desc": "organization-defined requirements for key generation, distribution, storage, access, and destruction", + "value": "organization-defined requirements for key generation, distribution, storage, access, and destruction" + }, + { + "paramId": "sc-13_a", + "desc": "organization-defined cryptographic uses and type of cryptography required for each use", + "value": "organization-defined cryptographic uses and type of cryptography required for each use" + }, + { + "paramId": "sc-15_a", + "desc": "organization-defined exceptions where remote activation is to be allowed", + "value": "organization-defined exceptions where remote activation is to be allowed" + }, + { + "paramId": "si-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "si-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-3_b", + "desc": "organization-defined action", + "value": "organization-defined action" + }, + { + "paramId": "si-4_a", + "desc": "organization-defined monitoring objectives", + "value": "organization-defined monitoring objectives" + }, + { + "paramId": "si-4_b", + "desc": "organization-defined techniques and methods", + "value": "organization-defined techniques and methods" + }, + { + "paramId": "si-4_c", + "desc": "organization-defined information system monitoring information", + "value": "organization-defined information system monitoring information" + }, + { + "paramId": "si-4_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-4_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-5_a", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "paramId": "si-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-5_c", + "desc": "organization-defined elements within the organization", + "value": "organization-defined elements within the organization" + }, + { + "paramId": "si-5_d", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + } + ], + "alterations": [ + { + "controlId": "ac.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-1 (b) (1) [at least every 3 years] AC-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (j) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.3", + "augment": true + }, + { + "controlId": "ac.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-7(a) [not more than three] [fifteen minutes] AC-7(b) [locks the account/node for thirty minutes]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-8 (a) [see additional Requirements and Guidance] AC-8 (c) [see additional Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-8 Requirement: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB. AC-08 Requirement: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB. AC-8 Guidance: If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. AC-8 Requirement: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.14", + "augment": true + }, + { + "controlId": "ac.17", + "augment": true + }, + { + "controlId": "ac.18", + "augment": true + }, + { + "controlId": "ac.19", + "augment": true + }, + { + "controlId": "ac.20", + "augment": true + }, + { + "controlId": "ac.22", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-22 (d) [at least quarterly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.1", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "SECURITY AWARENESS AND TRAINING POLICY ANDPROCEDURES" + } + ], + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-1 (b) (1) [at least every 3 years] AT-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-2(c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-3 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-4 (b) [At least one year]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-1 (b) (1) [at least every 3 years] AU-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-2 (a) [Successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes] AU-2 (d) [organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-2 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.3", + "augment": true + }, + { + "controlId": "au.4", + "augment": true + }, + { + "controlId": "au.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-5 (b) [organization-defined actions to be taken (overwrite oldest record)\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-6 (a)-1 [at least weekly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-6 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.8", + "augment": true + }, + { + "controlId": "au.9", + "augment": true + }, + { + "controlId": "au.11", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-11 [at least ninety days]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-11. Requirement: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.12", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-12 (a) [all information system and network components where audit capability is deployed/available]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-1 (b) (1) [at least every 3 years] CA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-2 (b) [at least annually] CA-2 (d) [individuals or roles to include FedRAMP PMO]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-3 (c) [at least annually and on input from FedRAMP]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-5 (b) [at least monthly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-5 Guidance: Requirement: POA\u0026amp;Ms must be provided at least monthly.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-6 (c) [at least every three years or when a significant change occurs]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-6c. Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-7 (g) [To meet Federal and FedRAMP requirements]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-7 Requirement: Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually CA-7 Guidance: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA\u0026amp;M updates. Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.9", + "augment": true + }, + { + "controlId": "cm.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-1 (b) (1) [at least every 3 years] CM-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.2", + "augment": true + }, + { + "controlId": "cm.4", + "augment": true + }, + { + "controlId": "cm.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-6 (a) [United States Government Configuration Baseline (USGCB)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-6 (a) Requirement 1: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. CM-6 (a) Requirement 2: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) validated or SCAP compatible (if validated checklists are not available). CM-6 (a) Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-7 (b) [United States Government Configuration Baseline (USGCB)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-7 (b) Requirement: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. CM-7. Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. (Partially derived from AC-17(8).)\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-8 (b) [at least monthly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-8 Requirement: must be provided at least monthly or when there is a change.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.10", + "augment": true + }, + { + "controlId": "cm.11", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-11 (c) [Continuously (via CM-7 (5))]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-1 (b)(1) [at least every 3 years] CP-1 (b)(2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-2 (d) [at least annually]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-2 Requirement: For JAB authorizations the contingency lists include designated FedRAMP personnel.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-3 (a) [10 days] CP-3 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-4 (a)-1 [at least annually for moderate impact systems; at least every three years for low impact systems] CP-4 (a)-2 [functional exercises for moderate impact systems; classroom exercises/table top written tests for low impact systems]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-4 (a). Requirement: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.9", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (a) [daily incremental; weekly full] CP-9 (b) [daily incremental; weekly full] CP-9 (c) [daily incremental; weekly full]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-9 Requirement: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. CP-9 (a) Requirement: The service provider maintains at least three backup copies of user-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (b) Requirement: The service provider maintains at least three backup copies of system-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (c) Requirement: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online) or provides an equivalent alternative.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.10", + "augment": true + }, + { + "controlId": "ia.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-1 (b) (1) [at least every 3 years] IA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.2", + "augment": true + }, + { + "subcontrolId": "ia.2.1.", + "augment": true + }, + { + "subcontrolId": "ia.2.12.", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-2 (12) Guidance: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-4 (d) [at least two years] IA-4 (e) [ninety days for user identifiers] (See additional requirements and guidance)\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-4 (e) Requirement: The service provider defines time period of inactivity for device identifiers. Guidance: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (g) [to include sixty days for passwords]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (1) (a) [case sensitive, minimum of twelve characters, and at least one each of upper-case letters, lower-case letters, numbers, and special characters] IA-5 (1) (b) [at least one] IA-5 (1) (d) [one day minimum, sixty day maximum] IA-5 (1) (e) [twenty four]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.11.", + "augment": true + }, + { + "controlId": "ia.6", + "augment": true + }, + { + "controlId": "ia.7", + "augment": true + }, + { + "controlId": "ia.8", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "IDENTIFICATION AND AUTHENTICATION (NON- ORGANIZATIONAL USERS)" + } + ] + } + }, + { + "subcontrolId": "ia.8.1.", + "augment": true + }, + { + "subcontrolId": "ia.8.2.", + "augment": true + }, + { + "subcontrolId": "ia.8.3.", + "augment": true + }, + { + "subcontrolId": "ia.8.4.", + "augment": true + }, + { + "controlId": "ir.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-1 (b) (1) [at least every 3 years] IR-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.4", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-4 Requirement: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.5", + "augment": true + }, + { + "controlId": "ir.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-6 (a) [US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-6 Requirement: Reports security incident information according to FedRAMP Incident Communications Procedure.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.7", + "augment": true + }, + { + "controlId": "ir.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-8 (b) [see additional FedRAMP Requirements and Guidance] IR-8 (c) [at least annually] IR-8 (e) [see additional FedRAMP Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-8 (b) Additional FedRAMP Requirements and Guidance: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. IR-8 (e) Additional FedRAMP Requirements and Guidance: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMA-1 (b) (1) [at least every 3 years] MA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.2", + "augment": true + }, + { + "controlId": "ma.4", + "augment": true + }, + { + "controlId": "ma.5", + "augment": true + }, + { + "controlId": "mp.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-1 (b) (1) [at least every 3 years] MP-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.2", + "augment": true + }, + { + "controlId": "mp.6", + "augment": true + }, + { + "controlId": "mp.7", + "augment": true + }, + { + "controlId": "pe.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-1 (b) (1) [at least every 3 years] PE-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-3 (a) (2) [CSP defined physical access control systems/devices AND guards] PE-3 (d) [in all circumstances within restricted access area where the information system resides] PE-3 (f) [at least annually] PE-3 (g) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-6 (b) [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-8 (a) [for a minimum of one year] PE-8 (b) [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.12", + "augment": true + }, + { + "controlId": "pe.13", + "augment": true + }, + { + "controlId": "pe.14", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-14 (a) [consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments] PE-14 (b) [continuously]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003ePE-14 (a). Requirements: The service provider measures temperature at server inlets and humidity levels by dew point.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.15", + "augment": true + }, + { + "controlId": "pe.16", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-16 [all information system components]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-1 (b) (1) [at least every 3 years] PL-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-4 (c) [At least every 3 years]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-1 (b) (1) [at least every 3 years] PS-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-2 (c) [at least every three years]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-3 (b) [for national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year There is no reinvestigation for other moderate risk positions or any low risk positions]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-4 (a) [same day]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-5 (d)-2 [five days of the time period following the formal transfer action (DoD 24 hours)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-6 (b) [at least annually] PS-6 (c) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-7 (d)-2 [organization-defined time period – same day]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.8", + "augment": true + }, + { + "controlId": "ra.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-1 (b) (1) [at least every 3 years] RA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.2", + "augment": true + }, + { + "controlId": "ra.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-3 (b) [security assessment report] RA-3 (c) [at least every three (3) years or when a significant change occurs] RA-3 (d) [to include all Authoring Officials and FedRAMP ISSOs] RA-3 (e) [at least every three (3) years or when a significant change occurs]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-3 Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (a) [monthly operating system/infrastructure; monthly web applications and databases] RA-5 (d) [high-risk vulnerabilities mitigated within thirty days from date of discovery; moderate-risk vulnerabilities mitigated within ninety days from date of discovery]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (a) Requirement: an accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually. RA-5 (e) Requirement: to include the Risk Executive; for JAB authorizations to include FedRAMP\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-1 (b) (1) [at least every 3 years] SA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.2", + "augment": true + }, + { + "controlId": "sa.3", + "augment": true + }, + { + "controlId": "sa.4", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-4 Guidance: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See http://www.niap-ccevs.org/vpl or http://www.commoncriteriaportal.org/products.html.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.5", + "augment": true + }, + { + "controlId": "sa.9", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (a) [FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system] SA-9 (c) [Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-1 (b) (1) [at least every 3 years] SC-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.5", + "augment": true + }, + { + "controlId": "sc.7", + "augment": true + }, + { + "controlId": "sc.12", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eSC-12 Guidance: Federally approved cryptography\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.13", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-13 [FIPS-validated or NSA-approved cryptography]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.15", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-15 (a) [no exceptions]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSC-15 Additional FedRAMP Requirements and Guidance: Requirement: The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.20", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "SECURE NAME /ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)" + } + ] + } + }, + { + "controlId": "sc.21", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "SECURE NAME /ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING\n RESOLVER)" + } + ] + } + }, + { + "controlId": "sc.22", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "ARCHITECTURE AND PROVISIONING FOR NAME/ADDRESS RESOLUTION\n SERVICE" + } + ] + } + }, + { + "controlId": "sc.39", + "augment": true + }, + { + "controlId": "si.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSI-1 (b) (1) [at least every 3 years] SI-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "si.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSI-2 (c) [within 30 days of release of updates]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "si.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSI-3 (c) (1)-1 [at least weekly] SI-3 (c) (1)-2 [to include endpoints] SI-3 (c) (2) [to include alerting administrator or defined security personnel]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "si.4", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eSI-4 Guidance: See US-CERT Incident Response Reporting Guidelines.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "si.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSI-5 (a) [to include US-CERT] SI-5 (c) [to include system security personnel and administrators with configuration/patch-management responsibilities]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "si.12", + "augment": true + } + ] + }, + { + "href": "../SP800-53/SP800-53-MODERATE-baseline.json", + "include": { + "calls": [ + { + "subcontrolId": "ca.2.1." + }, + { + "controlId": "si.16" + } + ] + }, + "paramSettings": [ + { + "paramId": "ca-2_c", + "desc": "organization-defined level of independence", + "value": "organization-defined level of independence" + }, + { + "paramId": "si-16_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "alterations": [ + { + "subcontrolId": "ca.2.1.", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-2(1) Requirement: Must use an accredited 3PAO for JAB authorization\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "si.16", + "augment": true + } + ] + } + ] +} \ No newline at end of file diff --git a/working/FedRAMP/FedRAMP-MODERATE-working.json b/working/FedRAMP/FedRAMP-MODERATE-working.json new file mode 100644 index 0000000000..fb9de6c7c5 --- /dev/null +++ b/working/FedRAMP/FedRAMP-MODERATE-working.json @@ -0,0 +1,5677 @@ +{ + "id": "uuid-4a36cdf2-d112-49c3-bde0-7bdec2864842", + "title": "FedRAMP MODERATE Baseline PROFILE (extracted and aligned, no edits)", + "invocations": [ + { + "href": "../SP800-53/SP800-53-MODERATE-baseline.json", + "include": { + "calls": [ + { + 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}, + { + "subcontrolId": "ma.3.2." + }, + { + "controlId": "ma.4" + }, + { + "subcontrolId": "ma.4.2." + }, + { + "controlId": "ma.5" + }, + { + "controlId": "ma.6" + }, + { + "controlId": "mp.1" + }, + { + "controlId": "mp.2" + }, + { + "controlId": "mp.3" + }, + { + "controlId": "mp.4" + }, + { + "controlId": "mp.5" + }, + { + "subcontrolId": "mp.5.4." + }, + { + "controlId": "mp.6" + }, + { + "controlId": "mp.7" + }, + { + "subcontrolId": "mp.7.1." + }, + { + "controlId": "pe.1" + }, + { + "controlId": "pe.2" + }, + { + "controlId": "pe.3" + }, + { + "controlId": "pe.4" + }, + { + "controlId": "pe.5" + }, + { + "controlId": "pe.6" + }, + { + "subcontrolId": "pe.6.1." + }, + { + "controlId": "pe.8" + }, + { + "controlId": "pe.9" + }, + { + "controlId": "pe.10" + }, + { + "controlId": "pe.11" + }, + { + "controlId": "pe.12" + }, + { + "controlId": "pe.13" + }, + { + "subcontrolId": "pe.13.3." + }, + { + "controlId": "pe.14" + }, + { + "controlId": "pe.15" + }, + { + "controlId": "pe.16" + }, + { + "controlId": "pe.17" + }, + { + "controlId": "pl.1" + }, + { + "controlId": "pl.2" + }, + { + "subcontrolId": "pl.2.3." + }, + { + "controlId": "pl.4" + }, + { + "subcontrolId": "pl.4.1." + }, + { + "controlId": "pl.8" + }, + { + "controlId": "ps.1" + }, + { + "controlId": "ps.2" + }, + { + "controlId": "ps.3" + }, + { + "controlId": "ps.4" + }, + { + "controlId": "ps.5" + }, + { + "controlId": "ps.6" + }, + { + "controlId": "ps.7" + }, + { + "controlId": "ps.8" + }, + { + "controlId": "ra.1" + }, + { + "controlId": "ra.2" + }, + { + "controlId": "ra.3" + }, + { + "controlId": "ra.5" + }, + { + "subcontrolId": "ra.5.1." + }, + { + "subcontrolId": "ra.5.2." + }, + { + "subcontrolId": "ra.5.5." + }, + { + "controlId": "sa.1" + }, + { + "controlId": "sa.2" + }, + { + "controlId": "sa.3" + }, + { + "controlId": "sa.4" + }, + { + "subcontrolId": "sa.4.1." + }, + { + "subcontrolId": "sa.4.2." + }, + { + "subcontrolId": "sa.4.9." + }, + { + "subcontrolId": "sa.4.10." + }, + { + "controlId": "sa.5" + }, + { + "controlId": "sa.8" + }, + { + "controlId": "sa.9" + }, + { + "subcontrolId": "sa.9.2." + }, + { + "controlId": "sa.10" + }, + { + "controlId": "sa.11" + }, + { + "controlId": "sc.1" + }, + { + "controlId": "sc.2" + }, + { + "controlId": "sc.4" + }, + { + "controlId": "sc.5" + }, + { + "controlId": "sc.7" + }, + { + "subcontrolId": "sc.7.3." + }, + { + "subcontrolId": "sc.7.4." + }, + { + "subcontrolId": "sc.7.5." + }, + { + "subcontrolId": "sc.7.7." + }, + { + "controlId": "sc.8" + }, + { + "subcontrolId": "sc.8.1." + }, + { + "controlId": "sc.10" + }, + { + "controlId": "sc.12" + }, + { + "controlId": "sc.13" + }, + { + "controlId": "sc.15" + }, + { + "controlId": "sc.17" + }, + { + "controlId": "sc.18" + }, + { + "controlId": "sc.19" + }, + { + "controlId": "sc.20" + }, + { + "controlId": "sc.21" + }, + { + "controlId": "sc.22" + }, + { + "controlId": "sc.23" + }, + { + "controlId": "sc.28" + }, + { + "controlId": "sc.39" + }, + { + "controlId": "si.1" + }, + { + "controlId": "si.2" + }, + { + "subcontrolId": "si.2.2." + }, + { + "controlId": "si.3" + }, + { + "subcontrolId": "si.3.1." + }, + { + "subcontrolId": "si.3.2." + }, + { + "controlId": "si.4" + }, + { + "subcontrolId": "si.4.2." + }, + { + "subcontrolId": "si.4.4." + }, + { + "subcontrolId": "si.4.5." + }, + { + "controlId": "si.5" + }, + { + "controlId": "si.7" + }, + { + "subcontrolId": "si.7.1." + }, + { + "subcontrolId": "si.7.7." + }, + { + "controlId": "si.8" + }, + { + "subcontrolId": "si.8.1." + }, + { + "subcontrolId": "si.8.2." + }, + { + "controlId": "si.10" + }, + { + "controlId": "si.11" + }, + { + "controlId": "si.12" + }, + { + "controlId": "si.16" + } + ] + }, + "paramSettings": [ + { + "paramId": "ac-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ac-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ac-2_a", + "desc": "organization-defined information system account types", + "value": "organization-defined information system account types" + }, + { + "paramId": "ac-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-2_c", + "desc": "organization-defined procedures or conditions", + "value": "organization-defined procedures or conditions" + }, + { + "paramId": "ac-2_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ac-2_e", + "desc": "organization-defined time period for each type of account", + "value": "organization-defined time period for each type of account" + }, + { + "paramId": "ac-2_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-2_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-4_a", + "desc": "organization-defined information flow control policies", + "value": "organization-defined information flow control policies" + }, + { + "paramId": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "organization-defined duties of individuals" + }, + { + "paramId": "ac-6_a", + "desc": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information", + "value": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information" + }, + { + "paramId": "ac-6_b", + "desc": "organization-defined security functions or security-relevant information", + "value": "organization-defined security functions or security-relevant information" + }, + { + "paramId": "ac-6_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ac-7_a", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ac-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-7_c", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-7_d", + "desc": "organization-defined delay algorithm", + "value": "organization-defined delay algorithm" + }, + { + "paramId": "ac-8_a", + "desc": "organization-defined system use notification message or banner", + "value": "organization-defined system use notification message or banner" + }, + { + "paramId": "ac-8_b", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + }, + { + "paramId": "ac-11_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ac-12_a", + "desc": "organization-defined conditions or trigger events requiring session disconnect", + "value": "organization-defined conditions or trigger events requiring session disconnect" + }, + { + "paramId": "ac-14_a", + "desc": "organization-defined user actions", + "value": "organization-defined user actions" + }, + { + "paramId": "ac-17_a", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ac-17_b", + "desc": "organization-defined needs", + "value": "organization-defined needs" + }, + { + "paramId": "ac-19_c", + "desc": "organization-defined mobile devices", + "value": "organization-defined mobile devices" + }, + { + "paramId": "ac-21_a", + "desc": "organization-defined information sharing circumstances where user discretion is required", + "value": "organization-defined information sharing circumstances where user discretion is required" + }, + { + "paramId": "ac-21_b", + "desc": "organization-defined automated mechanisms or manual processes", + "value": "organization-defined automated mechanisms or manual processes" + }, + { + "paramId": "ac-22_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "at-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "at-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "au-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-2_a", + "desc": "organization-defined auditable events", + "value": "organization-defined auditable events" + }, + { + "paramId": "au-2_b", + "desc": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event", + "value": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event" + }, + { + "paramId": "au-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-3_a", + "desc": "organization-defined additional, more detailed information", + "value": "organization-defined additional, more detailed information" + }, + { + "paramId": "au-4_a", + "desc": "organization-defined audit record storage requirements", + "value": "organization-defined audit record storage requirements" + }, + { + "paramId": "au-5_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-5_b", + "desc": "organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)", + "value": "organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)" + }, + { + "paramId": "au-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-6_b", + "desc": "organization-defined inappropriate or unusual activity", + "value": "organization-defined inappropriate or unusual activity" + }, + { + "paramId": "au-6_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "au-7_a", + "desc": "organization-defined audit fields within audit records", + "value": "organization-defined audit fields within audit records" + }, + { + "paramId": "au-8_a", + "desc": "organization-defined granularity of time measurement", + "value": "organization-defined granularity of time measurement" + }, + { + "paramId": "au-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "au-8_c", + "desc": "organization-defined authoritative time source", + "value": "organization-defined authoritative time source" + }, + { + "paramId": "au-8_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "au-9_b", + "desc": "organization-defined subset of privileged users", + "value": "organization-defined subset of privileged users" + }, + { + "paramId": "au-11_a", + "desc": "organization-defined time period consistent with records retention policy", + "value": "organization-defined time period consistent with records retention policy" + }, + { + "paramId": "au-12_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "au-12_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ca-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ca-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-2_b", + "desc": "organization-defined individuals or roles", + "value": "organization-defined individuals or roles" + }, + { + "paramId": "ca-2_c", + "desc": "organization-defined level of independence", + "value": "organization-defined level of independence" + }, + { + "paramId": "ca-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-3_h", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + }, + { + "paramId": "ca-5_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-7_a", + "desc": "organization-defined metrics", + "value": "organization-defined metrics" + }, + { + "paramId": "ca-7_b", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "paramId": "ca-7_c", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "paramId": "ca-7_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ca-7_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ca-7_f", + "desc": "organization-defined level of independence", + "value": "organization-defined level of independence" + }, + { + "paramId": "ca-9_a", + "desc": "organization-defined information system components or classes of components", + "value": "organization-defined information system components or classes of components" + }, + { + "paramId": "cm-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cm-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-2_b", + "desc": "Assignment organization-defined circumstances", + "value": "Assignment organization-defined circumstances" + }, + { + "paramId": "cm-2_c", + "desc": "organization-defined previous versions of baseline configurations of the information system", + "value": "organization-defined previous versions of baseline configurations of the information system" + }, + { + "paramId": "cm-2_d", + "desc": "organization-defined information systems, system components, or devices", + "value": "organization-defined information systems, system components, or devices" + }, + { + "paramId": "cm-2_e", + "desc": "organization-defined configurations", + "value": "organization-defined configurations" + }, + { + "paramId": "cm-2_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "cm-3_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cm-3_b", + "desc": "organization-defined configuration change control element (e.g., committee, board)", + "value": "organization-defined configuration change control element (e.g., committee, board)" + }, + { + "paramId": "cm-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-3_d", + "desc": "organization-defined configuration change conditions", + "value": "organization-defined configuration change conditions" + }, + { + "paramId": "cm-6_a", + "desc": "organization-defined security configuration checklists", + "value": "organization-defined security configuration checklists" + }, + { + "paramId": "cm-6_b", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "cm-6_c", + "desc": "organization-defined operational requirements", + "value": "organization-defined operational requirements" + }, + { + "paramId": "cm-7_a", + "desc": "organization-defined prohibited or restricted functions, ports, protocols, and/or services", + "value": "organization-defined prohibited or restricted functions, ports, protocols, and/or services" + }, + { + "paramId": "cm-7_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-7_c", + "desc": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure", + "value": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure" + }, + { + "paramId": "cm-7_d", + "desc": "organization-defined policies regarding software program usage and restrictions", + "value": "organization-defined policies regarding software program usage and restrictions" + }, + { + "paramId": "cm-8_a", + "desc": "organization-defined information deemed necessary to achieve effective information system component accountability", + "value": "organization-defined information deemed necessary to achieve effective information system component accountability" + }, + { + "paramId": "cm-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cm-8_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cm-11_a", + "desc": "organization-defined policies", + "value": "organization-defined policies" + }, + { + "paramId": "cm-11_b", + "desc": "organization-defined methods", + "value": "organization-defined methods" + }, + { + "paramId": "cm-11_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "cp-2_b", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "cp-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-2_d", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "cp-2_e", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-3_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "cp-4_b", + "desc": "organization-defined tests", + "value": "organization-defined tests" + }, + { + "paramId": "cp-7_a", + "desc": "organization-defined information system operations", + "value": "organization-defined information system operations" + }, + { + "paramId": "cp-7_b", + "desc": "organization-defined time period consistent with recovery time and recovery point objectives", + "value": "organization-defined time period consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-8_a", + "desc": "organization-defined information system operations", + "value": "organization-defined information system operations" + }, + { + "paramId": "cp-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "cp-9_a", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_b", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_c", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "paramId": "cp-9_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ia-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ia-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ia-2_d", + "desc": "organization-defined strength of mechanism requirements", + "value": "organization-defined strength of mechanism requirements" + }, + { + "paramId": "ia-3_a", + "desc": "organization-defined specific and/or types of devices", + "value": "organization-defined specific and/or types of devices" + }, + { + "paramId": "ia-4_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-4_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ia-4_c", + "desc": "organization-defined time period of inactivity", + "value": "organization-defined time period of inactivity" + }, + { + "paramId": "ia-5_a", + "desc": "organization-defined time period by authenticator type", + "value": "organization-defined time period by authenticator type" + }, + { + "paramId": "ia-5_b", + "desc": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type", + "value": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type" + }, + { + "paramId": "ia-5_c", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ia-5_d", + "desc": "organization-defined numbers for lifetime minimum, lifetime maximum", + "value": "organization-defined numbers for lifetime minimum, lifetime maximum" + }, + { + "paramId": "ia-5_e", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "paramId": "ia-5_f", + "desc": "organization-defined types of and/or specific authenticators", + "value": "organization-defined types of and/or specific authenticators" + }, + { + "paramId": "ia-5_g", + "desc": "organization-defined registration authority", + "value": "organization-defined registration authority" + }, + { + "paramId": "ia-5_h", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ia-5_l", + "desc": "organization-defined token quality requirements", + "value": "organization-defined token quality requirements" + }, + { + "paramId": "ia-8_a", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + }, + { + "paramId": "ir-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ir-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ir-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-3_b", + "desc": "organization-defined tests", + "value": "organization-defined tests" + }, + { + "paramId": "ir-6_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ir-6_b", + "desc": "organization-defined authorities", + "value": "organization-defined authorities" + }, + { + "paramId": "ir-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ir-8_b", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "ir-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ir-8_d", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "paramId": "ma-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ma-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ma-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ma-2_b", + "desc": "organization-defined maintenance-related information", + "value": "organization-defined maintenance-related information" + }, + { + "paramId": "ma-6_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "paramId": "ma-6_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "mp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "mp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "mp-2_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "paramId": "mp-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "mp-3_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-3_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + }, + { + "paramId": "mp-4_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "paramId": "mp-4_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + }, + { + "paramId": "mp-5_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "mp-6_a", + "desc": "organization-defined information system media", + "value": "organization-defined information system media" + }, + { + "paramId": "mp-6_b", + "desc": "organization-defined sanitization techniques and procedures", + "value": "organization-defined sanitization techniques and procedures" + }, + { + "paramId": "mp-7_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "paramId": "mp-7_b", + "desc": "organization-defined information systems or system components", + "value": "organization-defined information systems or system components" + }, + { + "paramId": "mp-7_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pe-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_a", + "desc": "organization-defined entry/exit points to the facility where the information system resides", + "value": "organization-defined entry/exit points to the facility where the information system resides" + }, + { + "paramId": "pe-3_b", + "desc": "organization-defined physical access control systems/devices", + "value": "organization-defined physical access control systems/devices" + }, + { + "paramId": "pe-3_c", + "desc": "organization-defined entry/exit points", + "value": "organization-defined entry/exit points" + }, + { + "paramId": "pe-3_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-3_e", + "desc": "organization-defined circumstances requiring visitor escorts and monitoring", + "value": "organization-defined circumstances requiring visitor escorts and monitoring" + }, + { + "paramId": "pe-3_f", + "desc": "organization-defined physical access devices", + "value": "organization-defined physical access devices" + }, + { + "paramId": "pe-3_g", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-3_h", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-4_a", + "desc": "organization-defined information system distribution and transmission lines", + "value": "organization-defined information system distribution and transmission lines" + }, + { + "paramId": "pe-4_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "pe-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-6_b", + "desc": "organization-defined events or potential indications of events", + "value": "organization-defined events or potential indications of events" + }, + { + "paramId": "pe-8_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "pe-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-10_a", + "desc": "organization-defined location by information system or system component", + "value": "organization-defined location by information system or system component" + }, + { + "paramId": "pe-14_a", + "desc": "organization-defined acceptable levels", + "value": "organization-defined acceptable levels" + }, + { + "paramId": "pe-14_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pe-16_a", + "desc": "organization-defined types of information system components", + "value": "organization-defined types of information system components" + }, + { + "paramId": "pe-17_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + }, + { + "paramId": "pl-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pl-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "pl-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-2_c", + "desc": "organization-defined individuals or groups", + "value": "organization-defined individuals or groups" + }, + { + "paramId": "pl-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "pl-8_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-3_a", + "desc": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening", + "value": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening" + }, + { + "paramId": "ps-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-4_b", + "desc": "organization-defined information security topics", + "value": "organization-defined information security topics" + }, + { + "paramId": "ps-4_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-4_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-5_a", + "desc": "organization-defined transfer or reassignment actions", + "value": "organization-defined transfer or reassignment actions" + }, + { + "paramId": "ps-5_b", + "desc": "organization-defined time period following the formal transfer action", + "value": "organization-defined time period following the formal transfer action" + }, + { + "paramId": "ps-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-5_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-6_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ps-7_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ps-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ps-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "ra-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-3_a", + "desc": "organization-defined document", + "value": "organization-defined document" + }, + { + "paramId": "ra-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-3_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-3_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-5_a", + "desc": "organization-defined frequency and/or randomly in accordance with organization-defined process", + "value": "organization-defined frequency and/or randomly in accordance with organization-defined process" + }, + { + "paramId": "ra-5_b", + "desc": "organization-defined response times", + "value": "organization-defined response times" + }, + { + "paramId": "ra-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "ra-5_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "ra-5_f", + "desc": "organization-identified information system components", + "value": "organization-identified information system components" + }, + { + "paramId": "ra-5_g", + "desc": "organization-defined vulnerability scanning activities", + "value": "organization-defined vulnerability scanning activities" + }, + { + "paramId": "sa-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sa-3_a", + "desc": "organization-defined system development life cycle", + "value": "organization-defined system development life cycle" + }, + { + "paramId": "sa-4_a", + "desc": "organization-defined design/implementation information", + "value": "organization-defined design/implementation information" + }, + { + "paramId": "sa-4_b", + "desc": "organization-defined level of detail", + "value": "organization-defined level of detail" + }, + { + "paramId": "sa-5_a", + "desc": "organization-defined actions", + "value": "organization-defined actions" + }, + { + "paramId": "sa-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sa-9_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + }, + { + "paramId": "sa-9_b", + "desc": "organization-defined processes, methods, and techniques", + "value": "organization-defined processes, methods, and techniques" + }, + { + "paramId": "sa-9_d", + "desc": "organization-defined external information system services", + "value": "organization-defined external information system services" + }, + { + "paramId": "sa-10_a", + "desc": "organization-defined configuration items under configuration management", + "value": "organization-defined configuration items under configuration management" + }, + { + "paramId": "sa-10_b", + "desc": "organization-defined personnel", + "value": "organization-defined personnel" + }, + { + "paramId": "sa-11_a", + "desc": "organization-defined depth and coverage", + "value": "organization-defined depth and coverage" + }, + { + "paramId": "sc-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "sc-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-5_a", + "desc": "organization-defined types of denial of service attacks or references to sources for such information", + "value": "organization-defined types of denial of service attacks or references to sources for such information" + }, + { + "paramId": "sc-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "paramId": "sc-7_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "sc-8_a", + "desc": "organization-defined alternative physical safeguards", + "value": "organization-defined alternative physical safeguards" + }, + { + "paramId": "sc-10_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "sc-12_a", + "desc": "organization-defined requirements for key generation, distribution, storage, access, and destruction", + "value": "organization-defined requirements for key generation, distribution, storage, access, and destruction" + }, + { + "paramId": "sc-13_a", + "desc": "organization-defined cryptographic uses and type of cryptography required for each use", + "value": "organization-defined cryptographic uses and type of cryptography required for each use" + }, + { + "paramId": "sc-15_a", + "desc": "organization-defined exceptions where remote activation is to be allowed", + "value": "organization-defined exceptions where remote activation is to be allowed" + }, + { + "paramId": "sc-17_a", + "desc": "organization-defined certificate policy", + "value": "organization-defined certificate policy" + }, + { + "paramId": "sc-28_a", + "desc": "organization-defined information at rest", + "value": "organization-defined information at rest" + }, + { + "paramId": "si-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "paramId": "si-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-3_b", + "desc": "organization-defined action", + "value": "organization-defined action" + }, + { + "paramId": "si-4_a", + "desc": "organization-defined monitoring objectives", + "value": "organization-defined monitoring objectives" + }, + { + "paramId": "si-4_b", + "desc": "organization-defined techniques and methods", + "value": "organization-defined techniques and methods" + }, + { + "paramId": "si-4_c", + "desc": "organization-defined information system monitoring information", + "value": "organization-defined information system monitoring information" + }, + { + "paramId": "si-4_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-4_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-4_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-4_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-4_h", + "desc": "organization-defined compromise indicators", + "value": "organization-defined compromise indicators" + }, + { + "paramId": "si-5_a", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "paramId": "si-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-5_c", + "desc": "organization-defined elements within the organization", + "value": "organization-defined elements within the organization" + }, + { + "paramId": "si-5_d", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "paramId": "si-7_a", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + }, + { + "paramId": "si-7_b", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + }, + { + "paramId": "si-7_c", + "desc": "organization-defined transitional states or security-relevant events", + "value": "organization-defined transitional states or security-relevant events" + }, + { + "paramId": "si-7_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "paramId": "si-7_g", + "desc": "organization-defined security-relevant changes to the information system", + "value": "organization-defined security-relevant changes to the information system" + }, + { + "paramId": "si-10_a", + "desc": "organization-defined information inputs", + "value": "organization-defined information inputs" + }, + { + "paramId": "si-11_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "paramId": "si-16_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "alterations": [ + { + "controlId": "ac.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-1 (b) (1) [at least every 3 years] AC-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (j) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.1.", + "augment": true + }, + { + "subcontrolId": "ac.2.2.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (2) [no more than 30 days for temporary and emergency account types]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.3.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-2 (3) [90 days for user accounts]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.2.4.", + "augment": true + }, + { + "controlId": "ac.3", + "augment": true + }, + { + "controlId": "ac.4", + "augment": true + }, + { + "controlId": "ac.5", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-5 Additional FedRAMP Requirements and Guidance: Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.6", + "augment": true + }, + { + "subcontrolId": "ac.6.1.", + "augment": true + }, + { + "subcontrolId": "ac.6.2.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-6 (2) [all security functions]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-6 (2) Guidance: Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.6.5.", + "augment": true + }, + { + "subcontrolId": "ac.6.9.", + "augment": true + }, + { + "subcontrolId": "ac.6.10.", + "augment": true + }, + { + "controlId": "ac.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-7(a) [not more than three] [fifteen minutes] AC-7(b) [locks the account/node for thirty minutes]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-8 (a) [see additional Requirements and Guidance] AC-8 (c) [see additional Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAC-8 Requirement: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB. AC-08 Requirement: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB. AC-8 Guidance: If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. AC-8 Requirement: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ac.11", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-11(a) [fifteen minutes]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ac.11.1.", + "augment": true + }, + { + "controlId": "ac.12", + "augment": true + }, + { + "controlId": "ac.14", + "augment": true + }, + { + "controlId": "ac.17", + "augment": true + }, + { + "subcontrolId": "ac.17.1.", + "augment": true + }, + { + "subcontrolId": "ac.17.2.", + "augment": true + }, + { + "subcontrolId": "ac.17.3.", + "augment": true + }, + { + "subcontrolId": "ac.17.4.", + "augment": true + }, + { + "controlId": "ac.18", + "augment": true + }, + { + "subcontrolId": "ac.18.1.", + "augment": true + }, + { + "controlId": "ac.19", + "augment": true + }, + { + "subcontrolId": "ac.19.5.", + "augment": true + }, + { + "controlId": "ac.20", + "augment": true + }, + { + "subcontrolId": "ac.20.1.", + "augment": true + }, + { + "subcontrolId": "ac.20.2.", + "augment": true + }, + { + "controlId": "ac.21", + "augment": true + }, + { + "controlId": "ac.22", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAC-22 (d) [at least quarterly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.1", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "SECURITY AWARENESS AND TRAINING POLICY ANDPROCEDURES" + } + ], + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-1 (b) (1) [at least every 3 years] AT-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-2(c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "at.2.2.", + "augment": true + }, + { + "controlId": "at.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-3 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "at.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAT-4 (b) [At least one year]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-1 (b) (1) [at least every 3 years] AU-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-2 (a) [Successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes] AU-2 (d) [organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-2 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.2.3.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-2 (3) [annually or whenever there is a change in the threat environment]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-2 (3) Guidance: Annually or whenever changes in the threat environment are communicated to the service provider by the JAB.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.3", + "augment": true + }, + { + "subcontrolId": "au.3.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-3 (1) [Assignment: organization-defined additional, more detailed information] Parameter: [session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-3 (1). Requirement: The service provider defines audit record types. The audit record types are approved and accepted by the JAB/AO. Guidance: For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.4", + "augment": true + }, + { + "controlId": "au.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-5 (b) [organization-defined actions to be taken (overwrite oldest record)\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-6 (a)-1 [at least weekly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-6 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "au.6.1.", + "augment": true + }, + { + "subcontrolId": "au.6.3.", + "augment": true + }, + { + "controlId": "au.7", + "augment": true + }, + { + "subcontrolId": "au.7.1.", + "augment": true + }, + { + "controlId": "au.8", + "augment": true + }, + { + "subcontrolId": "au.8.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-8 (1) [http://tfnistgov/tf-cgi/serverscgi] [At least hourly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-8 (1) Requirement: The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server. AU-8 (1) Requirement: The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server. AU-8 (1) Guidance: Synchronization of system clocks improves the accuracy of log analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.9", + "augment": true + }, + { + "subcontrolId": "au.9.4.", + "augment": true + }, + { + "controlId": "au.11", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-11 [at least ninety days]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eAU-11. Requirement: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "au.12", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eAU-12 (a) [all information system and network components where audit capability is deployed/available]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-1 (b) (1) [at least every 3 years] CA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-2 (b) [at least annually] CA-2 (d) [individuals or roles to include FedRAMP PMO]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.2.1.", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-2(1) Requirement: Must use an accredited 3PAO for JAB authorization\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-3 (c) [at least annually and on input from FedRAMP]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.3.5.", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-3 (5) For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-5 (b) [at least monthly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-5 Guidance: Requirement: POA\u0026amp;Ms must be provided at least monthly.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-6 (c) [at least every three years or when a significant change occurs]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-6c. Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ca.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCA-7 (g) [To meet Federal and FedRAMP requirements]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCA-7 Requirement: Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually CA-7 Guidance: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA\u0026amp;M updates. Operating System Scans: at least monthly Database and Web Application Scans: at least monthly All scans performed by Independent Assessor: at least annually\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ca.7.1.", + "augment": true + }, + { + "controlId": "ca.9", + "augment": true + }, + { + "controlId": "cm.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-1 (b) (1) [at least every 3 years] CM-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.2", + "augment": true + }, + { + "subcontrolId": "cm.2.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-2 (1) (a) [at least annually or when a significant change occurs] CM-2 (1) (b) [to include when directed by the JAB]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.2.3.", + "augment": true + }, + { + "subcontrolId": "cm.2.7.", + "augment": true + }, + { + "controlId": "cm.3", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-3 Requirement: The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO.\u003c/p\u003e", + "\u003cp\u003eCM-3e Guidance: In accordance with record retention policies and procedures.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.4", + "augment": true + }, + { + "controlId": "cm.5", + "augment": true + }, + { + "controlId": "cm.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-6 (a) [United States Government Configuration Baseline (USGCB)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-6 (a) Requirement 1: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. CM-6 (a) Requirement 2: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) validated or SCAP compatible (if validated checklists are not available). CM-6 (a) Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-7 (b) [United States Government Configuration Baseline (USGCB)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-7 (b) Requirement: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. CM-7. Guidance: Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. (Partially derived from AC-17(8).)\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.7.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-7 (1) (a) [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.7.2.", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-7(2) Guidance: This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cm.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-8 (b) [at least monthly]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCM-8 Requirement: must be provided at least monthly or when there is a change.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.1.", + "augment": true + }, + { + "subcontrolId": "cm.8.3.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-8 (3) (a) [Continuously, using automated mechanisms with a maximum five-minute delay in detection]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cm.8.5.", + "augment": true + }, + { + "controlId": "cm.9", + "augment": true + }, + { + "controlId": "cm.10", + "augment": true + }, + { + "controlId": "cm.11", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCM-11 (c) [Continuously (via CM-7 (5))]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-1 (b)(1) [at least every 3 years] CP-1 (b)(2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-2 (d) [at least annually]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-2 Requirement: For JAB authorizations the contingency lists include designated FedRAMP personnel.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.2.1.", + "augment": true + }, + { + "subcontrolId": "cp.2.3.", + "augment": true + }, + { + "subcontrolId": "cp.2.8.", + "augment": true + }, + { + "controlId": "cp.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-3 (a) [10 days] CP-3 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-4 (a)-1 [at least annually for moderate impact systems; at least every three years for low impact systems] CP-4 (a)-2 [functional exercises for moderate impact systems; classroom exercises/table top written tests for low impact systems]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-4 (a). Requirement: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.4.1.", + "augment": true + }, + { + "controlId": "cp.6", + "augment": true + }, + { + "subcontrolId": "cp.6.1.", + "augment": true + }, + { + "subcontrolId": "cp.6.3.", + "augment": true + }, + { + "controlId": "cp.7", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-7 (a). Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.1.", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-7 (1) Guidance: The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.7.2.", + "augment": true + }, + { + "subcontrolId": "cp.7.3.", + "augment": true + }, + { + "controlId": "cp.8", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-8 Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.8.1.", + "augment": true + }, + { + "subcontrolId": "cp.8.2.", + "augment": true + }, + { + "controlId": "cp.9", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (a) [daily incremental; weekly full] CP-9 (b) [daily incremental; weekly full] CP-9 (c) [daily incremental; weekly full]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eCP-9 Requirement: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. CP-9 (a) Requirement: The service provider maintains at least three backup copies of user-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (b) Requirement: The service provider maintains at least three backup copies of system-level information (at least one of which is available online) or provides an equivalent alternative. CP-9 (c) Requirement: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online) or provides an equivalent alternative.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "cp.9.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eCP-9 (1) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "cp.10", + "augment": true + }, + { + "subcontrolId": "cp.10.2.", + "augment": true + }, + { + "controlId": "ia.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-1 (b) (1) [at least every 3 years] IA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.2", + "augment": true + }, + { + "subcontrolId": "ia.2.1.", + "augment": true + }, + { + "subcontrolId": "ia.2.2.", + "augment": true + }, + { + "subcontrolId": "ia.2.3.", + "augment": true + }, + { + "subcontrolId": "ia.2.8.", + "augment": true + }, + { + "subcontrolId": "ia.2.11.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-2 (11) [FIPS 140-2, NIAP Certification, or NSA approval]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-2 (11) Guidance: PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.2.12.", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-2 (12) Guidance: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.3", + "augment": true + }, + { + "controlId": "ia.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-4 (d) [at least two years] IA-4 (e) [ninety days for user identifiers] (See additional requirements and guidance)\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIA-4 (e) Requirement: The service provider defines time period of inactivity for device identifiers. Guidance: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ia.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (g) [to include sixty days for passwords]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (1) (a) [case sensitive, minimum of twelve characters, and at least one each of upper-case letters, lower-case letters, numbers, and special characters] IA-5 (1) (b) [at least one] IA-5 (1) (d) [one day minimum, sixty day maximum] IA-5 (1) (e) [twenty four]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.2.", + "augment": true + }, + { + "subcontrolId": "ia.5.3.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIA-5 (3)-1 [All hardware/biometric (multifactor authenticators] IA-5 (3)-2 [in person]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ia.5.11.", + "augment": true + }, + { + "controlId": "ia.6", + "augment": true + }, + { + "controlId": "ia.7", + "augment": true + }, + { + "controlId": "ia.8", + "augment": { + "props": [ + { + "class": "profile-title", + "value": "IDENTIFICATION AND AUTHENTICATION (NON- ORGANIZATIONAL USERS)" + } + ] + } + }, + { + "subcontrolId": "ia.8.1.", + "augment": true + }, + { + "subcontrolId": "ia.8.2.", + "augment": true + }, + { + "subcontrolId": "ia.8.3.", + "augment": true + }, + { + "subcontrolId": "ia.8.4.", + "augment": true + }, + { + "controlId": "ir.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-1 (b) (1) [at least every 3 years] IR-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ir.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-3-1 [at least annually] IR-3-2 [see additional FedRAMP Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-3-2 Requirement 1: The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). IR-3-2 Requirement 2: For JAB Authorization, the service provider provides test plans to the JAB/AO annually. IR-3-2 Requirement 3: Test plans are approved and accepted by the Authorizing Official (AO) prior to test commencing.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.3.2.", + "augment": true + }, + { + "controlId": "ir.4", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-4 Requirement: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.4.1.", + "augment": true + }, + { + "controlId": "ir.5", + "augment": true + }, + { + "controlId": "ir.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-6 (a) [US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-6 Requirement: Reports security incident information according to FedRAMP Incident Communications Procedure.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ir.6.1.", + "augment": true + }, + { + "controlId": "ir.7", + "augment": true + }, + { + "subcontrolId": "ir.7.1.", + "augment": true + }, + { + "controlId": "ir.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eIR-8 (b) [see additional FedRAMP Requirements and Guidance] IR-8 (c) [at least annually] IR-8 (e) [see additional FedRAMP Requirements and Guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eIR-8 (b) Additional FedRAMP Requirements and Guidance: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. IR-8 (e) Additional FedRAMP Requirements and Guidance: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMA-1 (b) (1) [at least every 3 years] MA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ma.2", + "augment": true + }, + { + "controlId": "ma.3", + "augment": true + }, + { + "subcontrolId": "ma.3.1.", + "augment": true + }, + { + "subcontrolId": "ma.3.2.", + "augment": true + }, + { + "controlId": "ma.4", + "augment": true + }, + { + "subcontrolId": "ma.4.2.", + "augment": true + }, + { + "controlId": "ma.5", + "augment": true + }, + { + "controlId": "ma.6", + "augment": true + }, + { + "controlId": "mp.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-1 (b) (1) [at least every 3 years] MP-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.2", + "augment": true + }, + { + "controlId": "mp.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-3 (b) [no removable media types]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-3 (b) Guidance: Second parameter not-applicable\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-4 (a)-1 [all types of digital and non-digital media with sensitive information] MP-4 (a)-2 [FedRAMP Assignment: see additional FedRAMP requirements and guidance]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-4 (a) Additional FedRAMP Requirements and Guidance: Requirement: The service provider defines controlled areas within facilities where the information and information system reside.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "mp.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eMP-5 (a) [all media with sensitive information] [prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eMP-5 (a) Additional FedRAMP Requirements and Guidance: Requirement: The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "mp.5.4.", + "augment": true + }, + { + "controlId": "mp.6", + "augment": true + }, + { + "controlId": "mp.7", + "augment": true + }, + { + "subcontrolId": "mp.7.1.", + "augment": true + }, + { + "controlId": "pe.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-1 (b) (1) [at least every 3 years] PE-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-3 (a) (2) [CSP defined physical access control systems/devices AND guards] PE-3 (d) [in all circumstances within restricted access area where the information system resides] PE-3 (f) [at least annually] PE-3 (g) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.4", + "augment": true + }, + { + "controlId": "pe.5", + "augment": true + }, + { + "controlId": "pe.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-6 (b) [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pe.6.1.", + "augment": true + }, + { + "controlId": "pe.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-8 (a) [for a minimum of one year] PE-8 (b) [at least monthly]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.9", + "augment": true + }, + { + "controlId": "pe.10", + "augment": true + }, + { + "controlId": "pe.11", + "augment": true + }, + { + "controlId": "pe.12", + "augment": true + }, + { + "controlId": "pe.13", + "augment": true + }, + { + "subcontrolId": "pe.13.3.", + "augment": true + }, + { + "controlId": "pe.14", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-14 (a) [consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments] PE-14 (b) [continuously]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003ePE-14 (a). Requirements: The service provider measures temperature at server inlets and humidity levels by dew point.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.15", + "augment": true + }, + { + "controlId": "pe.16", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePE-16 [all information system components]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pe.17", + "augment": true + }, + { + "controlId": "pl.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-1 (b) (1) [at least every 3 years] PL-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "pl.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-2 (c) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pl.2.3.", + "augment": true + }, + { + "controlId": "pl.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-4 (c) [At least every 3 years]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "pl.4.1.", + "augment": true + }, + { + "controlId": "pl.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePL-8 (b) [At least annually or when a significant change occurs]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003ePL-8 (b) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-1 (b) (1) [at least every 3 years] PS-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.2", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-2 (c) [at least every three years]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-3 (b) [for national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year There is no reinvestigation for other moderate risk positions or any low risk positions]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.4", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-4 (a) [same day]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-5 (d)-2 [five days of the time period following the formal transfer action (DoD 24 hours)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.6", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-6 (b) [at least annually] PS-6 (c) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.7", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003ePS-7 (d)-2 [organization-defined time period – same day]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ps.8", + "augment": true + }, + { + "controlId": "ra.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-1 (b) (1) [at least every 3 years] RA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.2", + "augment": true + }, + { + "controlId": "ra.3", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-3 (b) [security assessment report] RA-3 (c) [at least every three (3) years or when a significant change occurs] RA-3 (e) [at least every three (3) years or when a significant change occurs]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-3 Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. RA-3 (d) Requirement: Include all Authoring Officials and FedRAMP ISSOs.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "ra.5", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (a) [monthly operating system/infrastructure; monthly web applications and databases] RA-5 (d) [high-risk vulnerabilities mitigated within thirty days from date of discovery; moderate-risk vulnerabilities mitigated within ninety days from date of discovery]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eRA-5 (a) Requirement: an accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually. RA-5 (e) Requirement: to include the Risk Executive; for JAB authorizations to include FedRAMP\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.1.", + "augment": true + }, + { + "subcontrolId": "ra.5.2.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (2) [prior to a new scan]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "ra.5.5.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eRA-5 (5)-1 [operating systems / web applications / databases] RA-5 (5)-2 [all scans]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-1 (b) (1) [at least every 3 years] SA-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.2", + "augment": true + }, + { + "controlId": "sa.3", + "augment": true + }, + { + "controlId": "sa.4", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-4 Guidance: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See http://www.niap-ccevs.org/vpl or http://www.commoncriteriaportal.org/products.html.\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.1.", + "augment": true + }, + { + "subcontrolId": "sa.4.2.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-4 (2)-1 [to include security-relevant external system interfaces and high-level design]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.4.9.", + "augment": true + }, + { + "subcontrolId": "sa.4.10.", + "augment": true + }, + { + "controlId": "sa.5", + "augment": true + }, + { + "controlId": "sa.8", + "augment": true + }, + { + "controlId": "sa.9", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (a) [FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system] SA-9 (c) [Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sa.9.2.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-9 (2) [All external systems where Federal information is processed or stored]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.10", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSA-10 (a) [development, implementation, AND operation]\u003c/p\u003e" + ] + }, + { + "class": "additional", + "prose": [ + "\u003cp\u003eSA-10 (e) Requirement: for JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP.\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sa.11", + "augment": true + }, + { + "controlId": "sc.1", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-1 (b) (1) [at least every 3 years] SC-1 (b) (2) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.2", + "augment": true + }, + { + "controlId": "sc.4", + "augment": true + }, + { + "controlId": "sc.5", + "augment": true + }, + { + "controlId": "sc.7", + "augment": true + }, + { + "subcontrolId": "sc.7.3.", + "augment": true + }, + { + "subcontrolId": "sc.7.4.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-7 (4) (e) [at least annually]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.7.5.", + "augment": true + }, + { + "subcontrolId": "sc.7.7.", + "augment": true + }, + { + "controlId": "sc.8", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-8 [confidentiality AND integrity]\u003c/p\u003e" + ] + } + ] + } + }, + { + "subcontrolId": "sc.8.1.", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-8 (1)-1 [prevent unauthorized disclosure of information AND detect changes to information] SC-8 (1)-1 [a hardened or alarmed carrier Protective Distribution System (PDS)]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.10", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-10 [no longer than 30 minutes for RAS-based sessions or no longer than 60 minutes for non-interactive user sessions]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.12", + "augment": { + "parts": [ + { + "class": "additional", + "prose": [ + "\u003cp\u003eSC-12 Guidance: Federally approved cryptography\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.13", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-13 [FIPS-validated or NSA-approved cryptography]\u003c/p\u003e" + ] + } + ] + } + }, + { + "controlId": "sc.15", + "augment": { + "parts": [ + { + "class": "parameters", + "prose": [ + "\u003cp\u003eSC-15 (a) [no exceptions]\u003c/p\u003e" + ] + }, + { + "class": "additional", + 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XXXXXXXX XX XX XXXXXXXXX XX XXXXXXXXX, XXXXX XXXXXXXX XXXX XX XXXXXXXXXX XX XXXXXXXXXX, XXXXX XXXXXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XX XXXXXX XX X XXXXXX XXX XXXXXXXX XXX XXXX XX XXXXXXXXXX XX XXXXXXXXXX XXXXXX XX XX XXXXXXXXXXXX’X XXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c6-1-3", + "title": "Contact with authorities", + "props": [ + { + "class": "number", + "value": "6.1.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXX XXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXX XXXXXX XXXX XXXXXXXXXX XX XXXXX XXXX XXXXXXX XXXX XXX XX XXXX XXXXXXXXXXX (X.X. XXX XXXXXXXXXXX, XXXXXXXXXX XXXXXX, XXXXXXXXXXX XXXXXXXXXXX) XXXXXX XX XXXXXXXXX XXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXX XX X XXXXXX XXXXXX (X.X. XX XX XX XXXXXXXXX XXXX XXXX XXX XXXX XXXX XXXXXX).\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXX XXXXX XXXXXX XXXX XXX XXXXXXXX XXX XXXX XXXXXXXXXXX XX XXXX XXXXXX XXXXXXX XXX XXXXXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XXXX XXXXXXXX XXX XX X XXXXXXXXXXX XX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXXX (XXX \u003ca\u003eClause 16\u003c/a\u003e) XX XXX XXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXX (XXX \u003ca\u003eClause 17\u003c/a\u003e). XXXXXXXX XXXX XXXXXXXXXX XXXXXX XXX XXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXX XXX XXXXXXXX XXXXXXX XX XXXX XX XXXXXXXXXXX, XXXXX XXXX XX XX XXXXXXXXXXX XX XXX XXXXXXXXXXXX. XXXXXXXX XXXX XXXXX XXXXXXXXXXX XXXXXXX XXXXXXXXX, XXXXXXXXX XXXXXXXX, XXXXXXXXXXX XXXXXXXXX XXX XXXXXX XXX XXXXXX, X.X. XXXX XXXXXXXXXXX (XX XXXXXXXXXX XXXX XXXXXXXX XXXXXXXXXX), XXXXXXXXXXXXXXXXX XXXXXXXXX (XX XXXXXXXXXX XXXX XXXX XXXXXXX XXX XXXXXXXXXXXX) XXX XXXXX XXXXXXXXX (XX XXXXXXXXXX XXXX XXXXXXX XXXXXXXXXX XXX XXXXXXXXX).\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c6-1-4", + "title": "Contact with special interest groups", + "props": [ + { + "class": "number", + "value": "6.1.4" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXX XXXXXXX XXXXXXXX XXXXXX XX XXXXX XXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XX XXXXXXX XXXXXXXX XXXXXX XX XXXXXX XXXXXX XX XXXXXXXXXX XX X XXXXX XX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXX XXXXXXXXX XXXXX XXXX XXXXXXXXX XXX XXXX XX XX XXXX XXXX XXXXXXXX XXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXX XXXXXXXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXX XX XXXXXXX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXX XXXXXXXX XX XXXXXX, XXXXXXXXXX XXX XXXXXXX XXXXXXXXXX XX XXXXXXX XXX XXXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXX XXXXXX XX XXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXX XXXXXXXX XXXXXXXXXXX XXXXX XXX XXXXXXXXXXXX, XXXXXXXX, XXXXXXX XX XXXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXX XXXXXXX XXXXXX XXXX XXXXXXX XXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX (XXX \u003ca\u003eClause 16\u003c/a\u003e).\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXX XXXXXXXXXX XXX XX XXXXXXXXXXX XX XXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXX XXXXXX. XXXX XXXXXXXXXX XXXXXX XXXXXXXX XXXXXXXXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c6-1-5", + "title": "Information security in project management", + "props": [ + { + "class": "number", + "value": "6.1.5" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXXX XXXXXXXXXX, XXXXXXXXXX XX XXX XXXX XX XXX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXXX’X XXXXXXX XXXXXXXXXX XXXXXX(X) XX XXXXXX XXXX XXXXXXXXXXX XXXXXXXX XXXXX XXX XXXXXXXXXX XXX XXXXXXXXX XX XXXX XX X XXXXXXX. XXXX XXXXXXX XXXXXXXXX XX XXX XXXXXXX XXXXXXXXXX XX XXX XXXXXXXXX, X.X. X XXXXXXX XXX X XXXX XXXXXXXX XXXXXXX, XX, XXXXXXXX XXXXXXXXXX XXX XXXXX XXXXXXXXXX XXXXXXXXX. XXX XXXXXXX XXXXXXXXXX XXXXXXX XX XXX XXXXXX XXXXXXX XXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXX XXXXXXXX XX XXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXX XXXXXXXXXXX XXXXXXXX XXXX XXXXXXXXXX XX XXXXXXXXX XX XX XXXXX XXXXX XX XXX XXXXXXX XX XXXXXXXX XXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXX XX XXXX XX XXX XXXXXX XX XXX XXXXXXX XXXXXXX XXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXX XXXXXXXXX XX XXX XXXXXXXX. XXXXXXXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXX XXX XXXXXXXXX XX XXXXXXXXX XXXXX XXXXXXX XX XXX XXXXXXX XXXXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g6-2", + "title": "Mobile devices and teleworking", + "props": [ + { + "class": "number", + "value": "6.2" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XXX XXX XX XXXXXX XXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c6-2-1", + "title": "Mobile device policy", + "props": [ + { + "class": "number", + "value": "6.2.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eX XXXXXX XXX XXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXX XX XXXXXXX XX XXXXXX XXX XXXXX XXXXXXXXXX XX XXXXX XXXXXX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXX XXXXX XXXXXX XXXXXXX, XXXXXXX XXXX XXXXXX XX XXXXX XX XXXXXX XXXX XXXXXXXX XXXXXXXXXXX XX XXX XXXXXXXXXXX. XXX XXXXXX XXXXXX XXXXXX XXXXXX XXXX XXXX XXXXXXX XXX XXXXX XX XXXXXXX XXXX XXXXXX XXXXXXX XX XXXXXXXXXXX XXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXX XXXXXX XXXXXX XXXXXX XXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXXX XX XXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XX XXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXX XXXXXX XXXXXX XXXXXXXX XXXXXXXX XXX XXX XXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXXX, XXXXXXX XX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XX XXX XXXXXXXX XXX XXX XXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXX XXXXXX XX XXXXX XXXX XXXXX XXXXXX XXXXXXX XX XXXXXX XXXXXX, XXXXXXX XXXXX XXX XXXXX XXXXXXXXXXX XXXXX. XXXXXXXXXX XXXXXX XX XX XXXXX XX XXXXX XXX XXXXXXXXXXXX XXXXXX XX XX XXXXXXXXXX XX XXX XXXXXXXXXXX XXXXXX XXX XXXXXXXXX XX XXXXX XXXXXXX, X.X. XXXXX XXXXXXXXXXXXX XXXXXXXXXX (XXX \u003ca\u003eClause 10\u003c/a\u003e) XXX XXXXXXXXX XXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX (XXX \u003ca href=\"#c9-2-4\"\u003e9.2.4\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXXXXXX XXXXXXX XXXXXX XXXX XX XXXXXXXXXX XXXXXXXXX XXXXXXX XXXXX XXXXXXXXXX XXXX XXXX, XXX XXXXXXX, XX XXXX XXX XXXXX XXXXX XX XXXXXXXXX, XXXXX XXXXX, XXXXXXXXXX XXXXXXX XXX XXXXXXX XXXXXX. X XXXXXXXX XXXXXXXXX XXXXXX XXXX XXXXXXX XXXXX, XXXXXXXXX XXX XXXXX XXXXXXXX XXXXXXXXXXXX XX XXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXX XX XXXXX XX XXXX XX XXXXXX XXXXXXX. XXXXXXX XXXXXXXX XXXXXXXXX, XXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXXXXXXX XXXXXX XXX XX XXXX XXXXXXXXXX XXX, XXXXX XXXXXXXX, XXXXXX XX XXXXXXXXXX XXXXXX XXXX, XX XXXXXXX XXXXX XXXXXX XX XXXX XX XXXXXX XXX XXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXX XXXXXX XX XXXXXXXX XXX XXXXXXXXX XXXXX XXXXXX XXXXXXX XX XXXXX XXXXX XXXXXXXXX XX XXX XXXXXXXXXX XXXXX XXXXXXXXX XXXX XXXX XXX XX XXXXXXX XXX XXX XXXXXXXX XXXX XXXXXX XX XXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXX XXX XXXXXX XXXXXX XXXXXX XXXXXX XXX XXX XX XXXXXXXXX XXXXX XXXXXX XXXXXXX, XXX XXXXXX XXX XXXXXXX XXXXXXXX XXXXXXXX XXXXXX XXXX XXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXX XX XXXXXXX XXX XXXXXXXX XXX XX XXX XXXXXXX, XXXXXXXXX XXXXX XXXXXXXX XX XXXXXXX XXXX XXXXXXXXXX XXX XXXXXXX XXXXXXXX XXXX XX X XXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXXX XXXX XXXXX XXXXX XXXX XXXXXX XX XXX XXXX XXXXXXXXX XXXXXXXXXXXXX XXXXX XXXXXX (XXXXXXXX XXXXXXXXXX, XXXXXXXX XXXXXXXX, XXX.), XXXXXXX XXXXXXXXX XX XXXXXXXX XXXX, XXXXXXXX XXXXXX XXXXXX XX XXXX XX XXX XXXXXXXXXXXX XX XXXX XX XXXXX XX XXXX XX XXX XXXXXX XX XXXX XX XXXXXX XXXXXXXXXX XX XXX XXX XXXXXXX. XXXX XXXXXX XXXXX XX XXXX XXXXXXX XX XXXXXXX XXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXX XXXXXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXX XX XXXXX XXXXX XX XXXXXXX XXXXXXXXXX, XXX XXXX XXXXXXXXX XXXXXXXXXXX XXXX XXXXXX XX XXXXXXXXXX XXXX XXXXXXXXXXX XXXXXXXX. XXXXXXX XXXXXXXXXXX XXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXX XXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXX XXX XXXX XXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXX XX XXXXXX XXXXXXX XXX XXX XX XXXXXX-XX XXXXXXX XX XXXXXXX XXXXXXX XXXXXXXXX XX XXXXXXX XXXXXX XXXXXXX XXX XXX XX XXXXXXXXX XX XXX XXXXX XXXX XXXXXXX XXX XXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXX XXXXXXX XXXXXXXXX XXXXX XXXXXX XXXXXXXXX, X.X. XXXXXXXXXX, XXXXXXXX XXXXXX, X-XXXX XXX XXXX XXXXXXXX, XXXX XXXXX XXX XXXXXXX. XXXXXXXXXXX XXXXXXXX XXXXXXXX XXX XXX XXXXXX XXXXXXX XXXXXXXXX XXXXXXX XX XXXXX XXXXXXX XX XXX XXXXX XXX XXXXXXX XXX XXXXX XX XXXXXXX XXXXXXX XXXXXX XX XXXXX XXXXX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c6-2-2", + "title": "Teleworking", + "props": [ + { + "class": "number", + "value": "6.2.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eX XXXXXX XXX XXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXX XXXXXXXXXXX XXXXXXXX, XXXXXXXXX XX XXXXXX XX XXXXXXXXXXX XXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXX XXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXX XXXXX X XXXXXX XXXX XXXXXXX XXX XXXXXXXXXX XXX XXXXXXXXXXXX XXX XXXXX XXXXXXXXXXX. XXXXX XXXXXX XXXXXXXXXX XXX XXXXXXX XX XXX, XXX XXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXXXXX XXXXXXXX XXXXXXXX XX XXX XXXXXXXXXXX XXXX, XXXXXX XXXX XXXXXXX XXX XXXXXXXX XXXXXXXX XX XXX XXXXXXXX XXX XXX XXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXX XXXXXXXX XXXXXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX, XXXXXX XXXX XXXXXXX XXX XXXX XXX XXXXXX XXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXXX, XXX XXXXXXXXXXX XX XXX XXXXXXXXXXX XXXX XXXX XX XXXXXXXX XXX XXXXXX XXXX XXX XXXXXXXXXXXXX XXXX XXX XXX XXXXXXXXXXX XX XXX XXXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXX XX XXXXXXX XXXXXXX XXXXXX XXXX XXXXXXXX XXXXXXXXXX XXX XXXXXXX XX XXXXXXXXXXX XX XXXXXXXXX XXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXX XX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXXXX XXXX XXXXX XXXXXXX XXXXX XXX XXXXXXXXXXXXX, X.X. XXXXXX XXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXX XX XXXX XXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXXXXXX XX XXX XXXXXXXXXXXXX XX XXXXXXXX XXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXXXXXXXXX XX XXXXXXX XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXXX XXXXXXXX XXXXXXXXX XX XXXXXXXXX XXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XX XXXXXXXXX XXXXX XXXXXXXXX (XX XXXXXX XXX XXXXXXXX XX XXX XXXXXXX XX XXXXXX XX XXXXXXXXXXXXX), XXXXX XXX XX XXXXXXXXX XX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXX XXXXXXXXXX XXXX XXX XXXX XXXX XXXXXXXXXXXXX XXX XXXXXX XXXXXX XXX XXXXXXXXX XXX XXXXXX XXXXXXXX XX XXXXXXXXXXXX XXXXX XXXXXXXXX XX XXXXXXXXX XX XXXXXXXX XXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXX XXXXXXXXXX XXX XXXXXXXXXXXX XX XX XXXXXXXXXX XXXXXX XXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXXXXXX XX XXXXXXXX XXXXXXXXX XXX XXXXXXX XXXXXXXXX XXX XXX XXXXXXXXXXX XXXXXXXXXX, XXXXX XXX XXX XX XXXXXXXXX XXXXX XXXXXXXXX XXXX XX XXX XXXXX XXX XXXXXXX XX XXX XXXXXXXXXXXX XX XXX XXXXXXX;\u003c/li\u003e \u003cli\u003eX XXXXXXXXXX XX XXX XXXX XXXXXXXXX, XXX XXXXX XX XXXX, XXX XXXXXXXXXXXXXX XX XXXXXXXXXXX XXXX XXX XX XXXX XXX XXX XXXXXXXX XXXXXXX XXX XXXXXXXX XXXX XXX XXXXXXXXXX XX XXXXXXXXXX XX XXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXX XX XXXXXXXX XXXXXXXXXXXXX XXXXXXXXX, XXXXXXXXX XXXXXXX XXX XXXXXXXX XXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXX XXXXXXXX XX XXXXXX XXX XXXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXX XX XXXXXXXX XXX XXXXXXXX XXXXXXX XXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXX XX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXX XXX XXXXXX XXX XXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXX XXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX XXXXXXXXX XXX XXXXXX XXXXXX, XXX XXX XXXXXX XX XXXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXX XX XXX XXXXX XX XXXX XXXXXXX XX XXX XXXXXX, XXXXXXXXX XXX-XXXXXXXXXXX XXXX XXXXXXXXXXXX, XXXX XX XXXXX XXXXXXXX XX XX “XXXXXXXXXXXXX”, “XXXXXXXX XXXXXXXXX”, “XXXXXX XXXX” XXX “XXXXXXX XXXX” XXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "control-category", + "id": "g7", + "title": "Human resource security", + "props": [ + { + "class": "number", + "value": "7" + } + ], + "groups": [ + { + "class": "clause", + "id": "g7-1", + "title": "Prior to employment", + "props": [ + { + "class": "number", + "value": "7.1" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXXX XXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXX XXXXXXXXXXXXXXXX XXX XXX XXXXXXXX XXX XXX XXXXX XXX XXXXX XXXX XXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c7-1-1", + "title": "Screening", + "props": [ + { + "class": "number", + "value": "7.1.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXXXXXXXX XXXXXX XX XXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXX XX XXXXXXX XXX XX XXXXXXXXXX XXXX XXXXXXXX XXXX, XXXXXXXXXXX XXX XXXXXX XXX XXXXXX XX XXXXXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXXXX, XXX XXXXXXXXXXXXXX XX XXX XXXXXXXXXXX XX XX XXXXXXXX XXX XXX XXXXXXXXX XXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXX XXXXXX XXXX XXXX XXXXXXX XXX XXXXXXXX XXXXXXX, XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXX XXXXX XXXXXXXXXXX, XXX XXXXXX, XXXXX XXXXXXXXX, XXXXXXX XXX XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXX XXXXXXXXXX, X.X. XXX XXXXXXXX XXX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eX XXXXXXXXXXXX (XXX XXXXXXXXXXXX XXX XXXXXXXX) XX XXX XXXXXXXXX’X XXXXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XX XXXXXXX XXXXXXXX XXX XXXXXXXXXXXX XXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX (XXXXXXXX XX XXXXXXX XXXXXXXX);\u003c/li\u003e \u003cli\u003eXXXX XXXXXXXX XXXXXXXXXXXX, XXXX XX XXXXXX XXXXXX XX XXXXXX XX XXXXXXXX XXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXX XX XXXXXXXXXX XX XXXXX XXX X XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXX, XXXXXXXXXXXXX XXXXXX XXXX XXXX XXX XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXX XXXXXXXXX XXXXXXXXXX XX XXXXXXX XXX XXXXXXXX XXXX;\u003c/li\u003e \u003cli\u003eXXX XX XXXXXXX XX XXXX XX XXX XXXX, XXXXXXXXXX XX XXX XXXX XX XXXXXXXX XXX XXX XXXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXX X XXX, XXXXXX XX XXXXXXX XXXXXXXXXXX XX XX XXXXXXXXX, XXXXXXXX XXX XXXXXX XXXXXX XXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX, XXX, XX XXXXXXXXXX, XX XXXXX XXX XXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX, X.X. XXXXXXXXX XXXXXXXXXXX XX XXXXXX XXXXXXXXXXXX XXXXXXXXXXX, XXX XXXXXXXXXXXX XXXXXX XXXX XXXXXXXX XXXXXXX, XXXX XXXXXXXX XXXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXX XXXXXX XXXXXX XXXXXXXX XXX XXXXXXXXXXX XXX XXXXXXXXXXXX XXXXXXX, X.X. XXX XX XXXXXXXX XX XXXXXX XXXXXX XXX XXX, XXXX XXX XXX XXXXXXXXXXXX XXXXXXX XXX XXXXXXX XXX.\u003c/p\u003e", + "\u003cp\u003eX XXXXXXXXX XXXXXXX XXXXXX XXXX XX XXXXXXX XXX XXXXXXXXXXX. XX XXXXX XXXXX, XXX XXXXXXXXX XXXXXXX XXX XXXXXXXXXXXX XXX XXX XXXXXXXXXX XXXXXX XXXXXXX XXXXXXXXXXXXXXXX XXX XXXXXXXXXX XXX XXXXXXXXX XXX XXX XXXXXXXXXXXX XXXXXXXXXX XXXX XXXX XX XX XXXXXXXX XX XXXXXXXXX XXX XXX XXXX XXXXXXXXX XX XX XXX XXXXXXX XXXX XXXXX XXX XXXXX XX XXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XX XXX XXXXXXXXXX XXXXX XXXXXXXXXX XXX XXXXXXXXX XXXXXX XXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXXXXX XXXXXXXX XX XXX XXXXXXXX XXXXXXXXXXXX. XXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXX, XXX XXXXXXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXX XXXXX XXX XXXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c7-1-2", + "title": "Terms and conditions of employment", + "props": [ + { + "class": "number", + "value": "7.1.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXX XXX XXXXXXXXXXX XXXXXX XXXXX XXXXX XXX XXX XXXXXXXXXXXX’X XXXXXXXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXX XXXXXXXXXXX XXX XXXXXXXXX XX XXXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXX XX XXXXXXXXXX XXX XXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXX XXX XXXXXXXXX XXX XXXXXXXXXXX XXX XXX XXXXX XXXXXX XX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XXXX X XXXXXXXXXXXXXXX XX XXX-XXXXXXXXXX XXXXXXXXX XXXXX XX XXXXX XXXXX XXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX (XXX \u003ca href=\"#c13-2-4\"\u003e13.2.4\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXX XXXXXXXX’X XX XXXXXXXXXX’X XXXXX XXXXXXXXXXXXXXXX XXX XXXXXX, X.X. XXXXXXXXX XXXXXXXXX XXXX XX XXXX XXXXXXXXXX XXXXXXXXXXX (XXX \u003ca href=\"#c18-1-2\"\u003e18.1.2\u003c/a\u003e XXX \u003ca href=\"#c18-1-4\"\u003e18.1.4\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXXXXX XXX XXX XXXXXXXXXXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXX XX XXXXXXXXXXXXXX XXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX, XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXX XX XXX XXXXXXXX XX XXXXXXXXXX (XXX \u003ca\u003eClause 8\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXXXXX XX XXX XXXXXXXX XX XXXXXXXXXX XXX XXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXX XXXXX XXXXXXXXX XX XXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XX XXXXX XX XXX XXXXXXXX XX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXXXXXXXX (XXX \u003ca href=\"#c7-2-3\"\u003e7.2.3\u003c/a\u003e).\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXX XXX XXXXXXXXXXXXXXXX XXXXXX XX XXXXXXXXXXXX XX XXX XXXXXXXXXX XXXXXX XXX XXX-XXXXXXXXXX XXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXXXXX XXXXXX XXXXXX XXXX XXXXXXXXX XXX XXXXXXXXXXX XXXXX XX XXXXX XXX XXXXXXXXXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXX XX XXX XXXXXX XXX XXXXXX XX XXXXXX XXXX XXXX XXXX XX XXX XXXXXXXXXXXX’X XXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXXXXXX XXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXX XXXXXXXXXXX, XXXXXXXXXXXXXXXX XXXXXXXXX XXXXXX XXX XXXXX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXX XXXXXXXX XXX X XXXXXXX XXXXXX XXXXX XXX XXX XX XXX XXXXXXXXXX (XXX \u003ca href=\"#g7-3\"\u003e7.3\u003c/a\u003e).\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eX XXXX XX XXXXXXX XXX XX XXXX XX XXXXX XXX XXXXXXXX’X XX XXXXXXXXXX’X XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXX, XXXX XXXXXXXXXX, XXXXXX, XXXXXXXXXXX XXX XX XXX XXXXXXXXXXXX’X XXXXXXXXX XXX XXXXXXXXXX, XX XXXX XX XXXXXXXXX XXXXXXXXX XXXXXXXX XX XXX XXXXXXXXXXXX. XX XXXXXXXX XXXXX, XXXX XXXXX X XXXXXXXXXX XX XXXXXXXXXX, XXX XX XXXXXXXX XX XXXXX XXXX XXXXXXXXXXX XXXXXXXXXXXX XX XXXXXX XX XXX XXXXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g7-2", + "title": "During employment", + "props": [ + { + "class": "number", + "value": "7.2" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXXX XXXXXXXXX XXX XXXXXXXXXXX XXX XXXXX XX XXX XXXXXX XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c7-2-1", + "title": "Management responsibilities", + "props": [ + { + "class": "number", + "value": "7.2.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXX XXX XXXXXXXXXXX XX XXXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXX XXX XXXXXXXXXX XX XXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXXXXXXXXXXXX XXXXXX XXXXXXX XXXXXXXX XXXX XXXXXXXXX XXX XXXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXXXXX XXXXXXX XX XXXXX XXXXXXXXXXX XXXXXXXX XXXXX XXX XXXXXXXXXXXXXXXX XXXXX XX XXXXX XXXXXXX XXXXXX XX XXXXXXXXXXXX XXXXXXXXXXX XX XXXXXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXX XXXX XXXXXXXXXX XX XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XX XXXXX XXXX XXXXXX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXX XX XXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX X XXXXX XX XXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX XX XXXXX XXXXX XXX XXXXXXXXXXXXXXXX XXXXXX XXX XXXXXXXXXXXX (XXX \u003ca href=\"#c7-2-2\"\u003e7.2.2\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXX XXXXX XXX XXXXXXXXXX XX XXXXXXXXXX, XXXXX XXXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXX XX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XX XXXX XXX XXXXXXXXXXX XXXXXX XXX XXXXXXXXXXXXXX XXX XXX XXXXXXXX XX X XXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXX XXXX XX XXXXXXXXX XXXXXXXXX XXXXXXX XX XXXXXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX XX XXXXXXXXXX (“XXXXXXX XXXXXXX”).\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXXXXXX XXXXXX XXXXXXXXXXX XXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX, XXXXXXXXXX XXX XXXXXXXX, XXX XXX XX X XXXX XXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXX XXXXXXXXX XXX XXXXXXXXXXX XXX XXX XXXX XXXXX XX XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXXXXXX, XXXX XXX XXXXX XXXXXXXXXXXX XXXXXX XX XX XXXXXXXXXXXX. XXXXXXXXX XXXXXXXXX XXX XXXXXX XX XX XXXX XXXXXXXX XXX XXXXX XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXX XXXXXXXXXX XXX XXXXX XXXXXXXXX XX XXXX XXXXXXXXXXX XXXXXXXXX XX X XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXX XXXXXXXXXXXX. XXX XXXXXXX, XXXX XXXXXXXXXX XXX XXXX XX XXXXXXXXXXX XXXXXXXX XXXXX XXXXXXXXX XX XXXXXXXXX XXXXXX XX XXX XXXXXXXXXXXX’X XXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c7-2-2", + "title": "Information security awareness, education and training", + "props": [ + { + "class": "number", + "value": "7.2.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XX XXX XXXXXXXXXXXX XXX, XXXXX XXXXXXXX, XXXXXXXXXXX XXXXXX XXXXXXX XXXXXXXXXXX XXXXXXXXX XXXXXXXXX XXX XXXXXXXX XXX XXXXXXX XXXXXXX XX XXXXXXXXXXXXXX XXXXXXXX XXX XXXXXXXXXX, XX XXXXXXXX XXX XXXXX XXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXXXXX XXXXXX XXX XX XXXX XXXXXXXXX XXX, XXXXX XXXXXXXX, XXXXXXXXXXX XXXXX XX XXXXX XXXXXXXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXX XXX XXXXX XX XXXXX XXXXX XXXXXXXXXXXXXXXX XXX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXX XXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXXX XXXXXXXX XXX XXXXXXXX XXXXXXXXXX, XXXXXX XXXX XXXXXXXXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XX XX XXXXXXXXX XXX XXX XXXXXXXX XXXX XXXX XXXX XXXXXXXXXXX XX XXXXXXX XXX XXXXXXXXXXX. XXX XXXXXXXXX XXXXXXXXX XXXXXX XXXXXXX X XXXXXX XX XXXXXXXXX-XXXXXXX XXXXXXXXXX XXXX XX XXXXXXXXX (X.X. XX “XXXXXXXXXXX XXXXXXXX XXX”) XXX XXXXXXX XXXXXXXX XX XXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXX XXXXXX XXXX XXXXXXXXXXXXX XXX XXXXXXXXX’ XXXXX XX XXX XXXXXXXXXXXX, XXX, XXXXX XXXXXXXX, XXX XXXXXXXXXXXX’X XXXXXXXXXXX XX XXX XXXXXXXXX XX XXXXXXXXXXX. XXX XXXXXXXXXX XX XXX XXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXX XXXX XXXX, XXXXXXXXXX XXXXXXXXX, XX XXXX XXX XXXXXXXXXX XXX XXXXXXXX XXX XXXXX XXX XXXXXXXXX XXX XXXXXXXXXXX. XXX XXXXXXXXX XXXXXXXXX XXXXXX XXXX XX XXXXXXX XXXXXXXXX XX XX XXXXX XX XXXX XXXX XXXXXXXXXXXXXX XXXXXXXX XXX XXXXXXXXXX, XXX XXXXXX XX XXXXX XX XXXXXXX XXXXXX XXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXXXXX. XXXXXXXXX XXXXXXXX XXX XXX XXXXXXXXX XXXXXXXX XXXXX XXXXXXXXX XXXXXXXXX-XXXXX, XXXXXXXX XXXXXXXX, XXX-XXXXX, XXXX-XXXXX XXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXX XXXXXX XXXX XXXXX XXXXXXX XXXXXXX XXXX XX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXX XXXXXXXXXX’X XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXX XX XXXXXX XXXXXXXX XXXX XXX XXXXXX XXXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXX XXX XXXXXXXXXXX, XX XXXXXXX XX XXXXXXXX, XXXXXXXXX, XXXX, XXXXXXXXXXX, XXXXXXXXX XXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXXXXXX XXX XXX’X XXX XXXXXXX XXX XXXXXXXXX, XXX XXXXXXX XXXXXXXXXXXXXXXX XXXXXXX XXXXXXXX XX XXXXXXXXXX XXXXXXXXXXX XXXXXXXXX XX XXX XXXXXXXXXXXX XXX XXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX (XXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXX) XXX XXXXXXXX XXXXXXXX (XXXX XX XXXXXXXX XXXXXXXX, XXXXXXX XXXXXXXX XXX XXXXX XXXXX);\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXX XXX XXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXX XXX XXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXX, XXXXXXXXX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXX XXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXX XXXXXX XXXX XXXXX XXXXXXXXXXXX. XXXXXXX XXXXXXXXX XXX XXXXXXXX XXXXXXX XX XXXXX XXX XXXXXXXX XX XXX XXXXXXXXX XX XXXXX XXXX XXXXXXXXXXXXX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX, XXX XXXX XX XXX XXXXXXXX XXX XXXXXX XXXX XXXXX XXXXXX XXX XXXX XXXXXXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXX XXX XXXXXXXX XXXXXXXXX XX XXXXX XX XXXXXXX XXX XXXXXXXXX XXX XXXXXXXX XXXXXXXXXXX. XXX XXXXXXXXX XXXXXX XX XX XXXX XXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXXX XXXXXXXX XXX XXXXXXXX XXXXXXXXXX, XXXXXX XXXX XXXXXXXXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XX XX XXXXXXXXX XXX XXX XXXXXXXX XXXX XXXX XXXX XXXXXXXXXXX XX XXXXXXX XXX XXXXXXXXXXX. XXX XXXXXXXXX XXXXXX XXXXXXXX XXXXXXXXX XXXXX XX XXXXXXXXX XXX XXXXXXXX, X.X. XXXXXXXX XX XXXX-XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXX XXXXXXXXX XX XXXXXXXXX XXXXXXXXX, XX XX XXXXXXXXX XXX XXXX XX XXXXX XX XXX ‘XXXX’ XXX ‘XXX’, XXX XXXX XXX ‘XXX’. XX XX XXXXXXXXX XXXX XXXXXXXXX XXXXXXXXXX XXX XXX XX XXXXXXXXXXX XXXXXXXX XXX XXX XXXXXXXXX XXXXXX, XXXXXXXX XXX XXXXXXXX, XX XXX XXXXXXXXXXXX XX XXXXX XXX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXX, XXXXXXXXX XXX XXXXXXXX XXX XX XXXX XX, XX XXXXXXXXX XX XXXXXXXXXXXXX XXXX, XXXXX XXXXXXXX XXXXXXXXXX, XXX XXXXXXX XXXXXXX XX XX XXXXXXX XXXXXXXX XXXXXXXX. XXXXXXXXX, XXXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX XXX XXXXXXXX XX XXX XXXXXXXXXX’X XXXXX, XXXXXXXXXXXXXXXX XXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXXXXXXXX XX XXX XXXXXXXXX’ XXXXXXXXXXXXX XXXXX XX XXXXXXXXX XX XXX XXX XX XX XXXXXXXXX, XXXXXXXXX XXX XXXXXXXX XXXXXX XX XXXX XXXXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c7-2-3", + "title": "Disciplinary process", + "props": [ + { + "class": "number", + "value": "7.2.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXX XXXXXX XX X XXXXXX XXX XXXXXXXXXXXX XXXXXXXXXXXX XXXXXXX XX XXXXX XX XXXX XXXXXX XXXXXXX XXXXXXXXX XXX XXXX XXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXXX XXXXXXX XXXXXX XXX XX XXXXXXXXX XXXXXXX XXXXX XXXXXXXXXXXX XXXX XX XXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXX (XXX \u003ca href=\"#c16-1-7\"\u003e16.1.7\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXX XXXXXXXXXXXX XXXXXXX XXXXXX XXXXXX XXXXXXX XXX XXXX XXXXXXXXX XXX XXXXXXXXX XXX XXX XXXXXXXXX XX XXXXXXXXXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX. XXX XXXXXX XXXXXXXXXXXX XXXXXXX XXXXXX XXXXXXX XXX X XXXXXXXXX XXXXXXXX XXXX XXXXX XXXX XXXXXXXXXXXXX XXXXXXX XXXX XX XXX XXXXXX XXX XXXXXXX XX XXX XXXXXX XXX XXX XXXXXX XX XXXXXXXX, XXXXXXX XX XXX XXXX XX X XXXXX XX XXXXXX XXXXXXX, XXXXXXX XX XXX XXX XXXXXXXX XXX XXXXXXXX XXXXXXX, XXXXXXXX XXXXXXXXXXX, XXXXXXXX XXXXXXXXX XXX XXXXX XXXXXXX XX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXXXXX XXXXXXX XXXXXX XXXX XX XXXX XX X XXXXXXXXX XX XXXXXXX XXXXXXXXX XXXX XXXXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXXX XXXXXXXX XXX XXXXXXXXXX XXX XXX XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXX. XXXXXXXXXX XXXXXXXX XXX XXXXXXX XXXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXXX XXXXXXX XXX XXXX XXXXXX X XXXXXXXXXX XX XX XXXXXXXXX XX XXXXXXXX XXXXXXXXX XXX XXXXXXX XXX XXXXXXXXXX XXXXXXXXX XXXX XXXXXXX XX XXXXXXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g7-3", + "title": "Termination and change of employment", + "props": [ + { + "class": "number", + "value": "7.3" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXX XX XXXX XX XXX XXXXXXX XX XXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c7-3-1", + "title": "Termination or change of employment responsibilities", + "props": [ + { + "class": "number", + "value": "7.3.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXXXXXXXXX XXX XXXXXX XXXX XXXXXX XXXXX XXXXX XXXXXXXXXXX XX XXXXXX XX XXXXXXXXXX XXXXXX XX XXXXXXX, XXXXXXXXXXXX XX XXX XXXXXXXX XX XXXXXXXXXX XXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXXXXXXX XXXXXX XXXXXXX XX-XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXX XXXXX XXXXXXXXXXXXXXXX XXX, XXXXX XXXXXXXXXXX, XXXXXXXXXXXXXXXX XXXXXXXXX XXXXXX XXX XXXXXXXXXXXXXXX XXXXXXXXX (XXX \u003ca href=\"#c13-2-4\"\u003e13.2.4\u003c/a\u003e) XXX XXX XXXXX XXX XXXXXXXXXX XX XXXXXXXXXX (XXX \u003ca href=\"#c7-1-2\"\u003e7.1.2\u003c/a\u003e) XXXXXXXXXX XXX X XXXXXXX XXXXXX XXXXX XXX XXX XX XXX XXXXXXXX’X XX XXXXXXXXXX’X XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXXXXXX XXX XXXXXX XXXXX XXXXX XXXXX XXXXXXXXXXX XX XXXXXXXXXX XXXXXX XX XXXXXXXXX XX XXX XXXXXXXX’X XX XXXXXXXXXX’X XXXXX XXX XXXXXXXXXX XX XXXXXXXXXX (XXX \u003ca href=\"#c7-1-2\"\u003e7.1.2\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXXXXXXX XX XXXXXXXXXXXXXX XX XXXXXXXXXX XXXXXX XX XXXXXXX XX XXX XXXXXXXXXXX XX XXX XXXXXXX XXXXXXXXXXXXXX XX XXXXXXXXXX XXXXXXXX XXXX XXX XXXXXXXXXX XX XXX XXX XXXXXXXXXXXXXX XX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX XXXXX XXXXXXXXX XXXXXXXX XX XXXXXXXXX XXXXXXXXXXX XXX XXX XXXXXXX XXXXXXXXXXX XXXXXXX XXX XXXXX XXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXX XX XXX XXXXXX XXXXXXX XX XXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXX XX XXX XXXXXXXX XXXXXXXXXX. XX XXX XXXX XX X XXXXXXXXXX XXXXXXXX XXXXXXX XX XXXXXXXX XXXXX, XXXX XXXXXXXXXXX XXXXXXX XX XXXXXXXXXX XX XXX XXXXXXXX XXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXX XXXXXXX XXX XXXXXXXXXXXX XXX XXX XXXXXXXX XXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXX XX XXXXXXXXX XX XXXXXX XXXXXXXXX, XXXXXXXXX XX XXXXXXXXXXX XX XXXXXXX XX XXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "control-category", + "id": "g8", + "title": "Asset management", + "props": [ + { + "class": "number", + "value": "8" + } + ], + "groups": [ + { + "class": "clause", + "id": "g8-1", + "title": "Responsibility for assets", + "props": [ + { + "class": "number", + "value": "8.1" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXXXX XXXXXXXXXXXXXX XXXXXX XXX XXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c8-1-1", + "title": "Inventory of assets", + "props": [ + { + "class": "number", + "value": "8.1.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XX XXXXXXXXX XX XXXXX XXXXXX XXXXXX XX XXXXX XX XXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXX XXXXXXXXXXXX XXXXXX XXXXXXXX XXXXXX XXXXXXXX XX XXX XXXXXXXXX XX XXXXXXXXXXX XXX XXXXXXXX XXXXX XXXXXXXXXX. XXX XXXXXXXXX XX XXXXXXXXXXX XXXXXX XXXXXXX XXXXXXXX, XXXXXXXXXX, XXXXXXX, XXXXXXXXXXXX, XXXXXXXX XXX XXXXXXXXXXX. XXXXXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXX XX XXXXXXXX XXXXXXXXXXX XX XXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXX XXXXXXXXX XXXXXX XX XXXXXXXX, XX XX XXXX, XXXXXXXXXX XXX XXXXXXX XXXX XXXXX XXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXX XX XXX XXXXXXXXXX XXXXXX, XXXXXXXXX XX XXX XXXXX XXXXXX XX XXXXXXXX (XXX \u003ca href=\"#c8-1-2\"\u003e8.1.2\u003c/a\u003e) XXX XXX XXXXXXXXXXXXXX XXXXXX XX XXXXXXXXXX (XXX \u003ca href=\"#g8-2\"\u003e8.2\u003c/a\u003e).\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XX XXXXXX XXXX XX XXXXXX XXXX XXXXXXXXX XXXXXXXXXX XXXXX XXXXX, XXX XXX XXXX XX XXXXXXXX XXX XXXXX XXXXXXXX, XXXX XX XXXXXX XXX XXXXXX, XXXXXXXXX XX XXXXXXXXX (XXXXX XXXXXXXXXX) XXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX/XXX XXXXX[\u003ca href=\"#g11\"\u003e11\u003c/a\u003e] XXXXXXXX XXXXXXXX XX XXXXXX XXXX XXXXX XXXX XX XX XXXXXXXXXX XX XXX XXXXXXXXXXXX XXXX XXXXXXXXXXX XXXXXX. XXX XXXXXXX XX XXXXXXXXX XX XXXXXXXXX XX XXXXXX XX XX XXXXXXXXX XXXXXXXXXXXX XX XXXX XXXXXXXXXX (XXX XXXX XXX/XXX XXXXX XXX XXX/XXX XXXXX[\u003ca href=\"#g11\"\u003e11\u003c/a\u003e]).\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c8-1-2", + "title": "Ownership of assets", + "props": [ + { + "class": "number", + "value": "8.1.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXX XXXXXXXXXX XX XXX XXXXXXXXX XXXXXX XX XXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XX XXXX XX XXXXX XXXXXXXX XXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXXXX XXX XXX XXXXX XXXXXXXXX XXXXXXX XX XX XXXXXXXX XX XXXXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eX XXXXXXX XX XXXXXX XXXXXX XXXXXXXXXX XX XXXXX XXXXXXXXX XX XXXXXXX XXXXXXXXXXX. XXXXXXXXX XXXXXX XX XXXXXXXX XXXX XXXXXX XXX XXXXXXX XX XXXX XXXXXX XXX XXXXXXXXXXX XX XXX XXXXXXXXXXXX. XXX XXXXX XXXXX XXXXXX XX XXXXXXXXXXX XXX XXX XXXXXX XXXXXXXXXX XX XX XXXXX XXXX XXX XXXXX XXXXX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXX XXXXX XXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXX XXXX XXXXXX XXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXX XXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXX XXXXXXXXXXXX XXXXXX XXXXXX XXXXXXXXXXXX XXX XXXXXXXXXXXXXXX XX XXXXXXXXX XXXXXX, XXXXXX XXXX XXXXXXX XXXXXXXXXX XXXXXX XXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXX XXXXXXXX XXXX XXX XXXXX XX XXXXXXX XX XXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXX XXXXX XXX XX XXXXXX XX XXXXXXXXXX XX XX XXXXXX XXX XXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXXXX XXX XXXXXXXXXXX XXX XXXXX XXXXXXXXX XX XX XXXXX. XXX XXXXXXXXXX XXXXX XXXX XXX XXXXXXXXXXX XXXX XXX XXXXXXXX XXXXXX XX XXX XXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXX XXXXX XXX XX XXXXXXXXX, X.X. XX X XXXXXXXXX XXXXXXX XXXXX XXX XXXXXX XX X XXXXX XXXXX, XXX XXX XXXXXXXXXXXXXX XXXXXXX XXXX XXX XXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXXXXX XXXXXXXXXXX XXXXXXX, XX XXX XX XXXXXX XX XXXXXXXXX XXXXXX XX XXXXXX XXXXX XXX XXXXXXXX XX XXXXXXX X XXXXXXXXXX XXXXXXX. XX XXXX XXXX XXX XXXXX XX XXXX XXXXXXX XX XXXXXXXXXXX XXX XXX XXXXXXXX XX XXX XXXXXXX, XXXXXXXXX XXX XXXXXXXXX XX XXX XXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c8-1-3", + "title": "Acceptable use of assets", + "props": [ + { + "class": "number", + "value": "8.1.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXX XXX XXX XXXXXXXXXX XXX XX XXXXXXXXXXX XXX XX XXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXX XXX XXXXXXXX XXXXX XXXXX XXXXX XX XXXXXX XXXXXX XX XXX XXXXXXXXXXXX’X XXXXXX XXXXXX XX XXXX XXXXX XX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXX. XXXX XXXXXX XX XXXXXXXXXXX XXX XXXXX XXX XX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXX XXX XX XXX XXXX XXX XXXXXXX XXX XXXXX XXXXX XXXXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c8-1-4", + "title": "Return of assets", + "props": [ + { + "class": "number", + "value": "8.1.4" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXX XXXXXXXX XXXXX XXXXX XXXXXX XXXXXX XXX XX XXX XXXXXXXXXXXXXX XXXXXX XX XXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XX XXXXX XXXXXXXXXX, XXXXXXXX XX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXX XXX XXXXXX XX XXX XXXXXXXXXX XXXXXX XXXXXXXX XXX XXXXXXXXXX XXXXXX XXXXX XX XX XXXXXXXXX XX XXX XXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXXX XXXXX XX XXXXXXXX XX XXXXXXXX XXXXX XXXX XXXXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXX XX XXXX XXXXX XXX XXXXXXXX XXXXXXXXX, XXXXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXX XXXX XXX XXXXXXXX XXXXXXXXXXX XX XXXXXXXXXXX XX XXX XXXXXXXXXXXX XXX XXXXXXXX XXXXXX XXXX XXX XXXXXXXXX (XXX \u003ca href=\"#c11-2-7\"\u003e11.2.7\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXX XXXXX XXXXX XX XXXXXXXX XX XXXXXXXX XXXXX XXXX XXX XXXXXXXXX XXXX XX XXXXXXXXX XX XXXXXXX XXXXXXXXXX, XXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXXXX XX XXX XXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXX XXX XXXXXX XXXXXX XX XXXXXXXXXXX, XXX XXXXXXXXXXXX XXXXXX XXXXXXX XXXXXXXXXXXX XXXXXXX XX XXXXXXXX XXXXXXXXXXX (X.X. XXXXXXXXXXXX XXXXXXXX) XX XXXXXXXXXX XXXXXXXXX XXX XXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g8-2", + "title": "Information classification", + "props": [ + { + "class": "number", + "value": "8.2" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXXXXX XXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXX XX XXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c8-2-1", + "title": "Classification of information", + "props": [ + { + "class": "number", + "value": "8.2.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXX XX XXXXX XXXXXXXXXXXX, XXXXX, XXXXXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXX XX XXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXX XXXXXXXX XXX XXXXXXXXXXX XXXXXX XXXX XXXXXXX XX XXXXXXXX XXXXX XXX XXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX, XX XXXX XX XXXXX XXXXXXXXXXXX. XXXXXX XXXXX XXXX XXXXXXXXXXX XXX XXXX XX XXXXXXXXXX XX XXXXXXXXXXX XXXX XXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXX XX XXXXXX XX, XXXXXXXXX XX XX XXXXXXXXX XXXXXXX XX XXXXXXXXX XX XXX XXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXX XX XXXXXXXXXXX XXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXX XXXXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXXXXXXX XXXXXX XXXXXX XXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXXXXX XXX XXXXXXXX XXX XXXXXX XX XXX XXXXXXXXXXXXXX XXXX XXXX. XXX XXXXX XX XXXXXXXXXX XX XXX XXXXXX XXXXXX XX XXXXXXXX XX XXXXXXXXX XXXXXXXXXXXXXXX, XXXXXXXXX XXX XXXXXXXXXXXX XXX XXX XXXXX XXXXXXXXXXXX XXX XXX XXXXXXXXXXX XXXXXXXXXX. XXX XXXXXX XXXXXX XX XXXXXXX XX XXX XXXXXX XXXXXXX XXXXXX (XXX \u003ca href=\"#c9-1-1\"\u003e9.1.1\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXXXX XXXXX XXXXXX XX XXXXX X XXXX XXXX XXXXX XXXXX XX XXX XXXXXXX XX XXX XXXXXXXXXXXXXX XXXXXX’X XXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXX XXXXXX XX XXXXXXXXXX XXXXXX XXX XXXXX XXXXXXXXXXXX XX XXXX XXXXXXXX XXXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXX XXXXXX XX XXX XXXX XXX, XXXX X XXXXXX XXXXXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXX XXXXX XXX XXXXXXXXXXX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXXXX XXXXXX XX XXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXX, XXX XX XXXXXXXXXX XXX XXXXXXXX XXXXXX XXX XXXXXXXXXXXX. XXXXXXX XX XXXXXXXXXXXXXX XXXXXX XXXXXXXX XXXXX XX XXXXXX XXXXXXXXX XX XXXXX XXXXXXXXXXX XXX XXXXXXXXXXX XX XXX XXXXXXXXXXXX, X.X. XX XXXXX XX XXXXXXXXXXXXXXX, XXXXXXXXX XXX XXXXXXXXXXXX. XXXXXXX XX XXXXXXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXXXX XXXX XXXXXXX XX XXXXX XXXXX, XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXX XXXXX XXXX-XXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXX XXXX XXXXXXXXXXX XXXX X XXXXXXX XXXXXXXXXX XX XXX XX XXXXXX XXX XXXXXXX XX. XXXXXXXX XXXXXX XX XXXXXXXXXXX XXXX XXXXXXX XXXXXXXXXX XXXXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXX XXXXX XX XXX XXX XXXXXXXXXXX XX XXXX XXXXX XXXXXXXXXXX XXXX. XXXX XXXXXXXX XXXXXXX XXX XXXX XXX XXXX-XX-XXXX XXXX XXXXXXXXXX XXX XXXXXX XXXXXX XX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XXX XXXXX XX XX XXXXXXXXX XX XXXXXXXX XXXXX X XXXXXXX XXXXXX XX XXXX, XXX XXXXXXX, XXXX XXX XXXXXXXXXXX XXX XXXX XXXX XXXXXX. XXXXX XXXXXXX XXXXXX XX XXXXX XXXX XXXXXXX, XX XXXX-XXXXXXXXXXXXXX XXX XXXX XX XXX XXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XX XXXXXXXXXX XXXXXXX XX XX XXX XXXXXXXX XXXXX-XXXXXXXXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXXXXX XX XX XXXXXXXXXXX XXXXXXXXXXXXXXX XXXXXXXXXXXXXX XXXXXX XXXXX XX XXXXX XX XXXX XXXXXX XX XXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXX XXXXXX XX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXX XXXXX XXXXXXXXXXXXX XX XXXXX XXXXXXXXXXX XXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX X XXXXXXXXXXX XXXXX XXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX X XXXXXXX XXXXXX XX XXXX XXXX XXXXXXXXX XXXXXXXXXX XX XXXX XXX XXXXXXXX XX XXX XXXXXXXXXXXX XX XXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c8-2-2", + "title": "Labelling of information", + "props": [ + { + "class": "number", + "value": "8.2.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXX XXXXXXXXXXX XXX XX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXXXXXXXX XXXXXX XXXXXXX XX XXX XXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003e“XXXXXXXXXXXXXX XXXXXXXX”\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXX XXXX XX XXXXX XXXXXXXXXXX XXX XXX XXXXXXX XXXXXX XX XXXXXXXX XXX XXXXXXXXXX XXXXXXX. XXX XXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXXXXXXX XXXXXX XXXXXXXXXXX XX \u003ca href=\"#c8-2-1\"\u003e8.2.1\u003c/a\u003e. XXX XXXXXX XXXXXX XX XXXXXX XXXXXXXXXXXX. XXX XXXXXXXXXX XXXXXX XXXX XXXXXXXX XX XXXXX XXX XXX XXXXXX XXX XXXXXXXX XX XXXXXXXXXXXXX XX XXX XXX XXXXXXXXXXX XX XXXXXXXX XX XXX XXXXXX XXX XXXXXXX XXXXXXXXX XX XXX XXXXX XX XXXXX. XXX XXXXXXXXXX XXX XXXXXX XXXXX XXXXX XXXXXXXXX XX XXXXXXX, X.X. XXXXXXXXX XX XXX-XXXXXXXXXXXX XXXXXXXXXXX XX XXXXXX XXXXXXXXX. XXXXXXXXX XXX XXXXXXXXXXX XXXXXX XX XXXX XXXXX XX XXXXXXXXX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXX XXXX XXXXXXX XXXXXXXXXX XXXXXXXXXXX XXXX XX XXXXXXXXXX XX XXXXX XXXXXXXXX XX XXXXXXXX XXXXXX XXXXX XX XXXXXXXXXXX XXXXXXXXXXXXXX XXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXX XX X XXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXX XXXXXXXXXXXX. XXXXXXXX XXXXXX XXX XXXXXXXX XXX X XXXXXX XXXX XX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXX XX XXXXXXXXXXX XXX XXX XXXXXXX XXXXXX XXX XXXXXXXXX XXXX XXXXXXXX XXXXXXX. XXXXXXXXXX XXXXXX XXX XXXXXX XX XXXXXXXX XXX XXXXXXXXXXX XX XXXXX XX XXXXXXXX XX XXXXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c8-2-3", + "title": "Handling of assets", + "props": [ + { + "class": "number", + "value": "8.2.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXX XXXXXXXX XXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXXXXXXXX XXXXXX XXXXXXX XX XXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXX XX XXXXX XX XXX XXXXXXXX, XXXXXXXXXX, XXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXX XXX XXXXXXXXXXXXXX (XXX \u003ca href=\"#c8-2-1\"\u003e8.2.1\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXX XXXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXXX XXX XXXX XXXXX XX XXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XX X XXXXXX XXXXXX XX XXX XXXXXXXXXX XXXXXXXXXX XX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX XXXXXXXXX XX XXXXXXXXX XXXXXX XX XXXXXXXXXXX XX X XXXXX XXXXXXXXXX XXXX XXX XXXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XX XXXXXX XX XXXXXXXXXX XXXX XXXXXXXXXXXXX’ XXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXXX XX XXX XXXXXX XX XXXXX XXX XXX XXXXXXXXX XX XXX XXXXXXXXXX XXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXX XXXXXXXXXXXXXX XXXXXX XXXX XXXXXX XXX XXXXXXXXXXXX XXX XXX XX XXXXXXXXXX XX XXX XXXXXXX XXXX XX XXXXX XXXXXXXXXXXXX, XXXX XX XXX XXXXX XXX XXXXXX XXX XXXXXXX; XX XXXXXXXX, XXXXXXXXXXX XXXXXX XXXXXXX XXXXXXXXXXXXX XXX XXXX XX XXXXXXXXXXXXXX XXXXXXXXX XX XXX XXXXXXX XX XXXX XXXXXXXXXXXX, XXXX XX XXXXX XXXXXXXXXXXXXX XXXXXXX XXX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXX XXXX XXXXX XXXXXXXXXXXXX XXXX XXXXXXX XXXXXXXXXXX XXXXXXX XXXXXX XXXXXXX XXXXXXXXXX XX XXXXXXXX XXX XXXXXXXXXXXXXX XX XXXX XXXXXXXXXXX XXX XX XXXXXXXXX XXX XXXXXXXXXXXXXX XXXXXX XXXX XXXXX XXXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g8-3", + "title": "Media handling", + "props": [ + { + "class": "number", + "value": "8.3" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXXX XXXXXXXXXXXX XXXXXXXXXX, XXXXXXXXXXXX, XXXXXXX XX XXXXXXXXXXX XX XXXXXXXXXXX XXXXXX XX XXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c8-3-1", + "title": "Management of removable media", + "props": [ + { + "class": "number", + "value": "8.3.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXX XXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXXXXX XXXXXX XXXXXXX XX XXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXX XX XXXXXX XXXXXXXX, XXX XXXXXXXX XX XXX XX-XXXXXX XXXXX XXXX XXX XX XX XXXXXXX XXXX XXX XXXXXXXXXXXX XXXXXX XX XXXX XXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXXXXX XXX XXXXXXXXX, XXXXXXXXXXXXX XXXXXX XX XXXXXXXX XXX XXXXX XXXXXXX XXXX XXX XXXXXXXXXXXX XXX X XXXXXX XX XXXX XXXXXXXX XXXXXX XX XXXX XX XXXXX XX XXXXXXXX XX XXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXX XXXXXX XX XXXXXX XX X XXXX, XXXXXX XXXXXXXXXXX, XX XXXXXXXXXX XXXX XXXXXXXXXXXXX’ XXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXX XXXX XXXXXXXXXXXXXXX XX XXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXXXXX, XXXXXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXX XX XXXXXXX XXXX XX XXXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXX XXXXXXXX XXX XXXX XX XXXXX XXXXXXXXX XXXXX XXXXXX XXXX XXX XXXXX XXXXXX, XXX XXXX XXXXXX XX XXXXXXXXXXX XX XXXXX XXXXX XXXXXX XXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXX XX XXXXXXXX XXXX XXXXXX XX XXXXXX XX XXXXXXXX XXXXX XX XXXXXXX XXXXXX XXX XXXX XX XXXXXXXXXXXX XXXX XXXXXX XX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX XX XXXXX XXX XXXXXXXXXXX XXX XXXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXX XXXXXX XXXXXX XXXX XX XXXXXXX XX XXXXX XX X XXXXXXXX XXXXXX XXX XXXXX XX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXX XX X XXXX XX XXX XXXXXXXXX XXXXX XXX XXXXXXXX XX XXXXXXXXXXX XX XXXX XXXXX XXXXXX XX XXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXX XXXXXX XX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c8-3-2", + "title": "Disposal of media", + "props": [ + { + "class": "number", + "value": "8.3.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXX XXXXXX XX XXXXXXXX XX XXXXXXXX XXXX XX XXXXXX XXXXXXXX, XXXXX XXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXX XXXXXXXXXX XXX XXX XXXXXX XXXXXXXX XX XXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXXX XXX XXXX XX XXXXXXXXXXXX XXXXXXXXXXX XXXXXXX XX XXXXXXXXXXXX XXXXXXX. XXX XXXXXXXXXX XXX XXXXXX XXXXXXXX XX XXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXXXX XX XXX XXXXXXXXXXX XX XXXX XXXXXXXXXXX. XXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXX XXX XXXXXXXX XX XXXXXXXX, X.X. XX XXXXXXXXXXXX XX XXXXXXXXX, XX XXXXXXX XX XXXX XXX XXX XX XXXXXXX XXXXXXXXXXX XXXXXX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXX XX XX XXXXX XX XXXXXXXX XXX XXXXX XXXX XXXXX XXXXXXX XXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXX XXX XX XXXXXX XX XXXXXXX XXX XXX XXXXX XXXXX XX XX XXXXXXXXX XXX XXXXXXXX XX XXXXXXXX, XXXXXX XXXX XXXXXXXXXX XX XXXXXXXX XXX XXX XXXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXX XXXXXXXXXXXXX XXXXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXX XXX XXXXX; XXXX XXXXXX XX XXXXX XX XXXXXXXXX X XXXXXXXX XXXXXXXX XXXXX XXXX XXXXXXXX XXXXXXXX XXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XX XXXXXXXXX XXXXX XXXXXX XX XXXXXX XX XXXXX XX XXXXXXXX XX XXXXX XXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXX XXXXXXXXXXXX XXXXX XXX XXXXXXXX, XXXXXXXXXXXXX XXXXXX XX XXXXX XX XXX XXXXXXXXXXX XXXXXX, XXXXX XXX XXXXX X XXXXX XXXXXXXX XX XXX-XXXXXXXXX XXXXXXXXXXX XX XXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXX XXXXXXX XXXXXXXXXX XXXXXXXXX XXXX XXX XXXXXXX X XXXX XXXXXXXXXX XX XXXXXXXXX XXXXXXX XXX XXXXX XXXXXX XX XXXXXXXXXX XXXXXXXXX XXXXXX XXXX XXXX XXX XXXXXX XX XXXXXXXXX (XXX \u003ca href=\"#c11-2-7\"\u003e11.2.7\u003c/a\u003e).\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c8-3-3", + "title": "Physical media transfer", + "props": [ + { + "class": "number", + "value": "8.3.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXX XXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXX XXXXXXX XXXXXXXXXXXX XXXXXX, XXXXXX XX XXXXXXXXXX XXXXXX XXXXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXX XXXXX XXXXXXXXXX XXXXXXXXXXX XXXXX XXXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXX XXXXXXXXX XX XXXXXXXX XXXXXX XX XXXX;\u003c/li\u003e \u003cli\u003eX XXXX XX XXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXX XXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX XXXXXX XXX XXXXXXXXXXXXXX XX XXXXXXXX XXXXXX XX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXX XXX XXXXXXXX XXXX XXX XXXXXXXX XXXXXX XXXXXX XX XXXXX XXXXXX XXXXXXX XXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXXXX’ XXXXXXXXXXXXXX, XXX XXXXXXX XXXXXXXXXX XXXXXXX XXX XXXXXXXXXXXXX XXXXXXX XXXX XXX XXXXXX XXX XXXXX’X XXXXXXXXXXX XXXXXXXXXXXXX XXXX XX XXXXXXXX XX XXXX, XXXXXXXX XX XXXXXXXXXXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXX XXXXXX XX XXXX, XXXXXXXXXXX XXX XXXXXXX XX XXX XXXXX, XXX XXXXXXXXXX XXXXXXX XX XXXX XX XXXXXXXXX XXX XXXXX XX XXXXXXXX XX XXX XXXXXXX XXXXXXXXXX XXX XXXXXXX XX XXX XXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXX XX XXXXXXXXXX XX XXXXXXXXXXXX XXXXXX, XXXXXX XX XXXXXXXXXX XXXXXX XXXXXXXX XXXXXXXXX, XXX XXXXXXXX XXXX XXXXXXX XXXXX XXX XXX XXXXXX XXXXXXX XX XXX XXXXXXX. XX XXXX XXXXXXX, XXXXX XXXXXXX XXXXX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXX XXXXXXXXXXXX XXXXXXXXXXX XX XXXXX XX XXX XXXXXXXXX, XXXXXXXXXX XXXXXXXX XXXXXXXXXX XX XXX XXXXX XXXXXX XX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "control-category", + "id": "g9", + "title": "Access control", + "props": [ + { + "class": "number", + "value": "9" + } + ], + "groups": [ + { + "class": "clause", + "id": "g9-1", + "title": "Business requirements of access control", + "props": [ + { + "class": "number", + "value": "9.1" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c9-1-1", + "title": "Access control policy", + "props": [ + { + "class": "number", + "value": "9.1.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXX XXXXXX XXXXXXX XXXXXX XXXXXX XX XXXXXXXXXXX, XXXXXXXXXX XXX XXXXXXXX XXXXX XX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXX XXXXXX XXXXXX XXXXXXXXX XXXXXXXXXXX XXXXXX XXXXXXX XXXXX, XXXXXX XXXXXX XXX XXXXXXXXXXXX XXX XXXXXXXX XXXX XXXXX XXXXXXX XXXXX XXXXXX, XXXX XXX XXXXXX XX XXXXXX XXX XXX XXXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXX XXXXXXXX XXX XXXX XXXXXXX XXX XXXXXXXX (XXX \u003ca\u003eClause 11\u003c/a\u003e) XXX XXXXX XXXXXX XX XXXXXXXXXX XXXXXXXX. XXXXX XXX XXXXXXX XXXXXXXXX XXXXXX XX XXXXX X XXXXX XXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXXXX XX XX XXX XX XXXXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXX XXXXXX XXXX XXXXXXX XX XXX XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXXXX XX XXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXXXX XXX XXXXXXXXXXXXX, X.X. XXX XXXX-XX-XXXX XXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXXXXXXXX XX XXXXXXXXXXX (XXX \u003ca href=\"#g8-2\"\u003e8.2\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXX XXX XXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXXXXXXXX XXXXXXXX XX XXXXXXX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXXX XXX XXX XXXXXXXXXXX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXX XX XXXXXX XX XXXX XX XXXXXXXX (XXX \u003ca href=\"#g18-1\"\u003e18.1\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX XXXXXX XXXXXX XX X XXXXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXX XXXXX XXXXXXXXXX XXX XXXXX XX XXXXXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XX XXXXXX XXXXXXX XXXXX, X.X. XXXXXX XXXXXXX, XXXXXX XXXXXXXXXXXXX, XXXXXX XXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXX XXXXXX XXXXXXXXXXXXX XX XXXXXX XXXXXXXX (XXX \u003ca href=\"#c9-2-1\"\u003e9.2.1\u003c/a\u003e XXX \u003ca href=\"#c9-2-2\"\u003e9.2.2\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXX XXXXXX (XXX \u003ca href=\"#c9-2-5\"\u003e9.2.5\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXXXX XXXXXX (XXX \u003ca href=\"#c9-2-6\"\u003e9.2.6\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXX XX XXXXXXX XX XXX XXXXXXXXXXX XXXXXX XXXXXXXXXX XXX XXX XXX XXXXXXXXXX XX XXXX XXXXXXXXXX XXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXX XXXXXXXXXX XXXXXX (XXX \u003ca href=\"#c9-2-3\"\u003e9.2.3\u003c/a\u003e).\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXX XXXXXX XX XXXXX XXXX XXXXXXXXXX XXXXXX XXXXXXX XXXXX XX XXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXXX XXXXX XXXXX XX XXX XXXXXXX “XXXXXXXXXX XX XXXXXXXXX XXXXXXXXX XXXXXX XXXXXXXXX XXXXXXXXX” XXXXXX XXXX XXX XXXXXX XXXX “XXXXXXXXXX XX XXXXXXXXX XXXXXXXXX XXXXXX XXXXXXXXX XXXXXXXXX”;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXXXXXXXXX XXXXXX (XXX \u003ca href=\"#c8-2-2\"\u003e8.2.2\u003c/a\u003e) XXXX XXX XXXXXXXXX XXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXX XXXXXXXXX XX XXX XXXXXXXXXX XX X XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXX XXXXXXXXXXX XXXX XXX XXXXXXXXX XXXXXXXXXXXXX XX XXX XXXXXXXXXXX XXXXXX XXX XXXXX XXXXXXXXX XX XX XXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXX XXXXXXX XXXXXXXX XXXXXXXX XXXXXX XXXXXXXXX XXX XXXXX XXXXX XX XXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXX XXXXXXX XXXXX XXXXXX XX XXXXXXXXX XX XXXXXX XXXXXXXXXX (XXX \u003ca href=\"#g9-2\"\u003e9.2\u003c/a\u003e, \u003ca href=\"#g9-3\"\u003e9.3\u003c/a\u003e, \u003ca href=\"#g9-4\"\u003e9.4\u003c/a\u003e) XXX XXXXXXX XXXXXXXXXXXXXXXX (XXX \u003ca href=\"#c6-1-1\"\u003e6.1.1\u003c/a\u003e, \u003ca href=\"#g9-3\"\u003e9.3\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXXXX XXXXX XXXXXX XXXXXXX XX XX XXXXXXXX XXXX XXXXXXXXXXXX XX XXXX XXXXXXXXXXXXX XX XXXX XXXXXX XXXXXX XXXX XXXXXXXX XXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XX XXX XXXXXXXX XXXXXXXXXX XXXXXXXXX XXX XXXXXX XXXXXXX XXXXXX XXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXX-XX-XXXX: XXX XXX XXXX XXXXXXX XXXXXX XX XXX XXXXXXXXXXX XXX XXXX XX XXXXXXX XXXX XXXXX (XXXXXXXXX XXXXX/XXXXX XXXX XXXXXXXXX XXXX-XX-XXXX XXX XXXXX XXXXXXXXX XXXXXX XXXXXXX);\u003c/li\u003e \u003cli\u003eXXXX-XX-XXX: XXX XXX XXXX XXXXXXX XXXXXX XX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX (XX XXXXXXXXX, XXXXXXXXXXXX, XXXXXXXXXX, XXXXX) XXX XXXX XX XXXXXXX XXXX XXXX/XXX/XXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c9-1-2", + "title": "Access to networks and network services", + "props": [ + { + "class": "number", + "value": "9.1.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXX XXXXXX XXXX XX XXXXXXXX XXXX XXXXXX XX XXX XXXXXXX XXX XXXXXXX XXXXXXXX XXXX XXXX XXXX XXXX XXXXXXXXXXXX XXXXXXXXXX XX XXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eX XXXXXX XXXXXX XX XXXXXXXXXX XXXXXXXXXX XXX XXX XX XXXXXXXX XXX XXXXXXX XXXXXXXX. XXXX XXXXXX XXXXXX XXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXXXXX XXX XXXXXXX XXXXXXXX XXXXX XXX XXXXXXX XX XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXX XXX XX XXXXXXX XX XXXXXX XXXXX XXXXXXXX XXX XXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXXXX XXX XXXXXXXXXX XX XXXXXXX XXXXXX XX XXXXXXX XXXXXXXXXXX XXX XXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXX XXXX XX XXXXXX XXXXXXXX XXX XXXXXXX XXXXXXXX (X.X. XXX XX XXX XX XXXXXXXX XXXXXXX);\u003c/li\u003e \u003cli\u003eXXXX XXXXXXXXXXXXXX XXXXXXXXXXXX XXX XXXXXXXXX XXXXXXX XXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX XXX XXX XX XXXXXXX XXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXX XXXXXX XX XXX XXX XX XXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXXX’X XXXXXX XXXXXXX XXXXXX (XXX \u003ca href=\"#c9-1-1\"\u003e9.1.1\u003c/a\u003e).\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXX XX XXXXXXX XXXXXXXX XXX XXXXXX XXX XXXXX XXXXXXXXXXXX. XXXX XXXXXXX XX XXXXXXXXXXXX XXXXXXXXX XXX XXXXXXX XXXXXXXXXXX XX XXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXXXXXXXX XX XX XXXXX XX XXXX-XXXX XXXXXXXXX, X.X. XXXXXX XX XXXXXXXX XXXXX XXXX XXX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXX XXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g9-2", + "title": "User access management", + "props": [ + { + "class": "number", + "value": "9.2" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXXXXXXXXX XXXX XXXXXX XXX XX XXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXX XXX XXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c9-2-1", + "title": "User registration and de-registration", + "props": [ + { + "class": "number", + "value": "9.2.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eX XXXXXX XXXX XXXXXXXXXXXX XXX XX-XXXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XXXXXXXXXX XX XXXXXX XXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXX XXX XXXXXXXX XXXX XXX XXXXXX XXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXX XXXXXX XXXX XXX XX XXXXXX XXXXX XX XX XXXXXX XX XXX XXXX XXXXXXXXXXX XXX XXXXX XXXXXXX; XXX XXX XX XXXXXX XXX XXXXXX XXXX XX XXXXXXXXX XXXXX XXXX XXX XXXXXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XXXXXXX XXX XXXXXX XX XXXXXXXX XXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXXX XX XXXXXXXX XXXX XXX XX XXXXX XXX XXXX XXXX XXX XXXXXXXXXXXX (XXX \u003ca href=\"#c9-2-6\"\u003e9.2.6\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXXXXXXXXX XXX XXXXXXXX XX XXXXXXXXX XXXXXXXXX XXXX XXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXX XXXXXXXXX XXXX XXX XXX XXX XXXXXX XX XXXXX XXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXX XX XXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XX XXXXXXX X XXX-XXXX XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXX XXX XXXXXXXX, XX XXXXXXXX, X XXXX XX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX, XX XXXXXXXX, XXXXXX XXXXXX XX XXXX XXXX XX (XXX \u003ca href=\"#c9-2-2\"\u003e9.2.2\u003c/a\u003e).\u003c/li\u003e \u003c/ol\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c9-2-2", + "title": "User access provisioning", + "props": [ + { + "class": "number", + "value": "9.2.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eX XXXXXX XXXX XXXXXX XXXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XX XXXXXX XXXXXX XXXXXX XXX XXX XXXX XXXXX XX XXX XXXXXXX XXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXXX XXXXXXX XXX XXXXXXXXX XX XXXXXXXX XXXXXX XXXXXX XXXXXXX XX XXXX XXX XXXXXX XXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXXXXX XXXX XXX XXXXX XX XXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXX XXX XXX XX XXX XXXXXXXXXXX XXXXXX XX XXXXXXX (XXX XXXXXXX \u003ca href=\"#c8-1-2\"\u003e8.1.2\u003c/a\u003e); XXXXXXXX XXXXXXXX XXX XXXXXX XXXXXX XXXX XXXXXXXXXX XXX XXXX XX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXX XXX XXXXX XX XXXXXX XXXXXXX XX XXXXXXXXXXX XX XXX XXXXXX XXXXXXXX (XXX \u003ca href=\"#g9-1\"\u003e9.1\u003c/a\u003e) XXX XX XXXXXXXXXX XXXX XXXXX XXXXXXXXXXXX XXXX XX XXXXXXXXXXX XX XXXXXX (XXX \u003ca href=\"#c6-1-2\"\u003e6.1.2\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXX XXXXXX XXXXXX XXX XXX XXXXXXXXX (X.X. XX XXXXXXX XXXXXXXXX) XXXXXX XXXXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX X XXXXXXX XXXXXX XX XXXXXX XXXXXX XXXXXXX XX X XXXX XX XX XXXXXX XXXXXXXXXXX XXXXXXX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXX XXXXXX XX XXXXX XXX XXXX XXXXXXX XXXXX XX XXXX XXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXX XXXXXX XXXXXX XX XXXXX XXX XXXX XXXX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXXXXXXX XXXXXX XXXXXX XXXX XXXXXX XX XXX XXXXXXXXXXX XXXXXXX XX XXXXXXXX (XXX \u003ca href=\"#c9-2-5\"\u003e9.2.5\u003c/a\u003e).\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXX XXXXXX XX XXXXX XX XXXXXXXXXXXX XXXX XXXXXX XXXXX XXXXX XX XXXXXXXX XXXXXXXXXXXX XXXX XXXXXXXXX X XXXXXX XX XXXXXX XXXXXX XXXX XXXXXXX XXXX XXXXXX XXXXXXXX. XXXXXX XXXXXXXX XXX XXXXXXX (XXX \u003ca href=\"#c9-2-4\"\u003e9.2.4\u003c/a\u003e) XXX XXXXXX XXXXXXX XX XXX XXXXX XX XXXX XXXXX XXXX XX XXX XXXXX XX XXXXXXXXXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXXX XXXXXX XX XXXXX XX XXXXXXXXX XXXXXXX XX XXXXXXXXX XXXXXXXXX XXX XXXXXXX XXXXXXXXX XXXX XXXXXXX XXXXXXXXX XX XXXXXXXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXXXXX XX XXXXXXXXXXX (XXX \u003ca href=\"#c7-1-2\"\u003e7.1.2\u003c/a\u003e, \u003ca href=\"#c7-2-3\"\u003e7.2.3\u003c/a\u003e, \u003ca href=\"#c13-2-4\"\u003e13.2.4\u003c/a\u003e, \u003ca href=\"#c15-1-2\"\u003e15.1.2\u003c/a\u003e).\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c9-2-3", + "title": "Management of privileged access rights", + "props": [ + { + "class": "number", + "value": "9.2.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXX XXX XXX XX XXXXXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXX XX XXXXXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXXXX XXXXXXX X XXXXXX XXXXXXXXXXXXX XXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXX XXXXXX XXXXXXX XXXXXX (XXX XXXXXXX \u003ca href=\"#c9-1-1\"\u003e9.1.1\u003c/a\u003e). XXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXXXXXXX XXXXXX XXXXXX XXXXXXXXXX XXXX XXXX XXXXXX XX XXXXXXX, X.X. XXXXXXXXX XXXXXX, XXXXXXXX XXXXXXXXXX XXXXXX XXX XXXX XXXXXXXXXXX XXX XXX XXXXX XX XXXX XXXX XXXX XX XX XXXXXXXXX XXXXXX XX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXXX XX XXXXX XX X XXXX-XX-XXX XXXXX XXX XX XX XXXXX-XX-XXXXX XXXXX XX XXXX XXXX XXX XXXXXX XXXXXXX XXXXXX (XXX \u003ca href=\"#c9-1-1\"\u003e9.1.1\u003c/a\u003e), X.X. XXXXX XX XXX XXXXXXX XXXXXXXXXXX XXX XXXXX XXXXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXX XXXXXXXXXXXXX XXXXXXX XXX X XXXXXX XX XXX XXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXX. XXXXXXXXXX XXXXXX XXXXXX XXXXXX XXX XX XXXXXXX XXXXX XXX XXXXXXXXXXXXX XXXXXXX XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXX XXXXXX XX XXXXXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXX XX X XXXX XX XXXXXXXXX XXXX XXXXX XXXX XXX XXXXXXX XXXXXXXX XXXXXXXXXX. XXXXXXX XXXXXXXX XXXXXXXXXX XXXXXX XXX XX XXXXXXXXX XXXX XXXXXXXXXX XX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXXX XX XXXXX XXXX XXXXXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXX XXXXXXXXX XX XXXXX XX XXXXXX XX XXXX XXX XX XXXX XXXX XXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXX XX XXXXX XX XXXXX XXX XXXXXXXXXXXX XXX XX XXXXXXX XXXXXXXXXXXXXX XXXX XXX, XXXXXXXXX XX XXXXXXX’ XXXXXXXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXX XXXXXXXXXXXXXX XXXX XXX, XXX XXXXXXXXXXXXXXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXX XXXXXX (X.X. XXXXXXXX XXXXXXXXX XXXXXXXXXX XXX XX XXXX XX XXXXXXXX XXXX X XXXXXXXXXX XXXX XXXXXX XX XXXXXXX XXX, XXXXXXXXXXXXX XXXX XXXXX XXXXXXXXXX XXXXX XXXX XXXXXXXXXXX XXXXXXXXXX).\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXX XXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXX (XXX XXXXXXX XX XXXXXXXX XX XX XXXXXXXXXXX XXXXXX XXXX XXXXXXX XXX XXXX XX XXXXXXXX XXXXXX XX XXXXXXXXXXX XXXXXXXX) XX X XXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXXXX XX XXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c9-2-4", + "title": "Management of secret authentication information of users", + "props": [ + { + "class": "number", + "value": "9.2.4" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXXXX X XXXXXX XXXXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXX XXXXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXX XXXXXX XX XXXXXXXX XX XXXX X XXXXXXXXX XX XXXX XXXXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXXXX XXX XX XXXX XXXXX (X.X. XXXXXX) XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXX XXXXXX XXX XXXXXXX XX XXX XXXXX; XXXX XXXXXX XXXXXXXXX XXX XX XXXXXXXX XX XXX XXXXX XXX XXXXXXXXXX XX XXXXXXXXXX (XXX \u003ca href=\"#c7-1-2\"\u003e7.1.2\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXX XXXXX XXX XXXXXXXX XX XXXXXXXX XXXXX XXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXX XXXXXX XX XXXXXXXX XXXXXXXXX XXXX XXXXXX XXXXXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXXX, XXXXX XXXX XXX XXXXXX XX XXXXXX XX XXXXX XXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XXX XXXXXXXX XX X XXXX XXXXX XX XXXXXXXXX XXX, XXXXXXXXXXX XX XXXXXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXX XX XXXXX XX X XXXXXX XXXXXX; XXX XXX XX XXXXXXXX XXXXXXX XX XXXXXXXXXXX (XXXXX XXXX) XXXXXXXXXX XXXX XXXXXXXX XXXXXX XX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXX XX XX XXXXXXXXXX XXX XXXXXX XXX XX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXX XXXXXXXXXXX XXXXXXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX XXXXXXXXXXXX XX XXXXXXX XX XXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXX XXX X XXXXXXXX XXXX XXXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXX XXX X XXXXXX XXXXX XX XXXXXXXXX X XXXX’X XXXXXXXX. XXXXX XXXXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXX XXX XXXXX XXXX XXXXXX XX XXXXXXXX XXXXXX (X.X. XXXXX XXXXX) XXXX XXXXXXX XXXXXXXXXXXXXX XXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c9-2-5", + "title": "Review of user access rights", + "props": [ + { + "class": "number", + "value": "9.2.5" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXX XXXXXX XXXXXX XXXXXX XXXXX’ XXXXXX XXXXXX XX XXXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXX XX XXXXXX XXXXXX XXXXXX XXXXXXXX XXX XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXX’ XXXXXX XXXXXX XXXXXX XX XXXXXXXX XX XXXXXXX XXXXXXXXX XXX XXXXX XXX XXXXXXX, XXXX XX XXXXXXXXX, XXXXXXXX XX XXXXXXXXXXX XX XXXXXXXXXX (XXX \u003ca\u003eClause 7\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXX XXX XX-XXXXXXXXX XXXX XXXXXX XXXX XXX XXXX XX XXXXXXX XXXXXX XXX XXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXXX XXX XXXXXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXX XX XXXX XXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXX XXXXXXXXX XX XXXXXX XXXX XXXXXXXXXXXX XXXXXXXXXX XXXX XXX XXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXX XXX XXXXXXXX XXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXX XXXXXXX XXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX XX XXX XXXXXXXXX XX XXXXXXXX \u003ca href=\"#c9-2-1\"\u003e9.2.1\u003c/a\u003e, \u003ca href=\"#c9-2-2\"\u003e9.2.2\u003c/a\u003e XXX \u003ca href=\"#c9-2-6\"\u003e9.2.6\u003c/a\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c9-2-6", + "title": "Removal or adjustment of access rights", + "props": [ + { + "class": "number", + "value": "9.2.6" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXX XXXXXX XX XXX XXXXXXXXX XXX XXXXXXXX XXXXX XXXXX XX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX XXXX XXXXXXXXXXX XX XXXXX XXXXXXXXXX, XXXXXXXX XX XXXXXXXXX, XX XXXXXXXX XXXX XXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXX XXXXXXXXXXX, XXX XXXXXX XXXXXX XX XX XXXXXXXXXX XX XXXXXXXXXXX XXX XXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXXX. XXXX XXXX XXXXXXXXX XXXXXXX XX XX XXXXXXXXX XX XXXXXX XXXXXX XXXXXX. XXXXXXX XX XXXXXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXXX XX XXX XXXXXX XXXXXX XXXX XXXX XXX XXXXXXXX XXX XXX XXX XXXXXXXXXX. XXX XXXXXX XXXXXX XXXX XXXXXX XX XXXXXXX XX XXXXXXXX XXXXXXX XXXXX XX XXXXXXXX XXX XXXXXXX XXXXXX. XXXXXXX XX XXXXXXXXXX XXX XX XXXX XX XXXXXXX, XXXXXXXXXX XX XXXXXXXXXXX XX XXXX, XXXXXXXXXXXXXX XXXXX, XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XX XXXXXXXXXXXXX. XXX XXXXXXXXXXXXX XXXX XXXXXXXXXX XXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXX XX XXXXXXXXXX XX XXXXXX XXXXXX. XX X XXXXXXXXX XXXXXXXX XX XXXXXXXX XXXXX XXXX XXX XXXXX XXXXXXXXX XXX XXXX XXX XXXXXXXXX XXXXXX, XXXXX XXXXXX XX XXXXXXX XXXX XXXXXXXXXXX XX XXXXXX XX XXXXXXXXXX, XXXXXXXX XX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXX XXXXXX XXX XXXXXXXXXXX XXX XXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXX XXXXXX XXX XXXXXXXXXX XXXXXXXXXX XX XXXXXXX, XXXXXXXXX XX XXX XXXXXXXXXX XX XXXX XXXXXXX XXXX XX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXX XXX XXXXXXXXXXX XX XXXXXX XX XXXXXXXXX XX XXX XXXXXXXX, XXX XXXXXXXX XXXXX XXXX XX XX XXXXXXXXXX, XXX XXX XXXXXX XXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXX XXXXXXXXXXXXXXXX XX XXX XXXXXXXX, XXXXXXXX XXXXX XXXX XX XXX XXXXX XXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXX XX XXX XXXXXX XXXXXXXXX XXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXX XXXXXXX XXXXXXXXXXXXX XXXXXX XXXXXX XXX XX XXXXXXXXX XX XXX XXXXX XX XXXXX XXXXXXXXX XX XXXX XXXXXX XXXX XXX XXXXXXXXX XXXXXXXX XX XXXXXXXX XXXXX XXXX, X.X. XXXXX XXX. XX XXXX XXXXXXXXXXXXX, XXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXXX XXX XXXXX XXXXXX XXXXX XXX XXXXXXXXXXXX XXXXXX XX XXXX XX XXXXXX XXX XXXXX XXXXXXXXX XXX XXXXXXXX XXXXX XXXXX XXXXXXXX XX XX XXXXXX XXXXX XXXX XXXXXXXXXXX XXXX XXX XXXXXX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXXX XX XXXXXXXXXX-XXXXXXXXX XXXXXXXXXXX, XXXXXXXXXXX XXXXXXXXX XX XXXXXXXX XXXXX XXXXX XXX XXXXXXXXXXXX XXXXXXX XXXXXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX. XX XXXXX XX XXXXXXX XXXXXXXXX XX XXXXX XXXXXXXXX, XXXX XXX XX XXXXXXX XX XXXXXXX XXXXXXXXXXX XXX XXXXXX XXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g9-3", + "title": "User responsibilities", + "props": [ + { + "class": "number", + "value": "9.3" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXX XXXXX XXXXXXXXXXX XXX XXXXXXXXXXXX XXXXX XXXXXXXXXXXXXX XXXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c9-3-1", + "title": "Use of secret authentication information", + "props": [ + { + "class": "number", + "value": "9.3.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXX XXXXXX XX XXXXXXXX XX XXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXX XX XXX XXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXX XXXXXX XX XXXXXXX XX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXXXX, XXXXXXXX XXXX XX XX XXX XXXXXXXX XX XXX XXXXX XXXXXXX, XXXXXXXXX XXXXXX XX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXXX X XXXXXX (X.X. XX XXXXX, XXXXXXXX XXXX XX XXXX-XXXX XXXXXX) XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX, XXXXXX XXXX XXX XX XXXXXX XXXXXXXX XXX XXX XXXXXX XX XXXXXXX XXX XXXX XXXXXXXX (X.X. XXXXXXXX XXXXX);\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXX XX XXX XXXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXX XXXXXXXXX XXX XXXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX, XXXXXX XXXXXXX XXXXXXXXX XXXX XXXXXXXXXX XXXXXXX XXXXXX XXXXX XXX:\u003col\u003e \u003cli\u003eXXXX XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXX XX XXXXXXXX XXXXXXXX XXXX XXXXX XXXXXX XXXXX XX XXXXXX XXXXX XXXXXX XXXXXXX XXXXXXXXXXX, X.X. XXXXX, XXXXXXXXX XXXXXXX XXX XXXXX XX XXXXX XXX.;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXX XX XXXXXXXXXX XXXXXXX (X.X. XX XXX XXXXXXX XX XXXXX XXXXXXXX XX XXXXXXXXXXXX);\u003c/li\u003e \u003cli\u003eXXXX XX XXXXXXXXXXX XXXXXXXXX, XXX-XXXXXXX XX XXX-XXXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXX XXXXXXXXX, XXXXXXX XX XXX XXXXX XXX-XX;\u003c/li\u003e \u003c/ol\u003e \u003c/li\u003e \u003cli\u003eXXX XXXXX XXXXXXXXXX XXXX’X XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXX XXXXXXXXXX XX XXXXXXXXX XXXX XXXXXXXXX XXX XXXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XX XXXXXXXXX XXX-XX XXXXXXXXXX XXX XXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXX XXX XXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXX XXXXXXXX XXX XXX-XXXXXXXX XXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXX XX XXXXXX XXXX XX (XXX) XX XXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXX XXXXXXX XXX XXXXXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXX XXXXX XXX XXXXXXXX XX XXXXXXX XXX XXXX XXX XXXXXXXX XXX XXXXXXXXXXXXX XX XXXX XXXXXXX. XXXXXXX, XXXXX XXXXX XXX XXXX XXXXXXXX XXX XXXXXX XX XXXXXXXXXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g9-4", + "title": "System and application access control", + "props": [ + { + "class": "number", + "value": "9.4" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXX XXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c9-4-1", + "title": "Information access restriction", + "props": [ + { + "class": "number", + "value": "9.4.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXX XXXXXXX XXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXX XX XXXXXX XXXXXX XX XXXXX XX XXXXXXXXXX XXXXXXXX XXXXXXXXXXX XXXXXXXXXXXX XXX XX XXXXXXXXXX XXXX XXX XXXXXXX XXXXXX XXXXXXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXX XX XXXXXXX XXXXXX XXXXXXXXXXX XXXXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXX XXXXX XX XXXXXXX XXXXXX XX XXXXXXXXXXX XXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXX XXXX XXX XX XXXXXXXX XX X XXXXXXXXXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXX XXXXXX XXXXXX XX XXXXX, X.X. XXXX, XXXXX, XXXXXX XXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXX XXXXXX XXXXXX XX XXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXX XX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXX XX XXXXXXX XXXXXX XXXXXXXX XXX XXX XXXXXXXXX XX XXXXXXXXX XXXXXXXXXXXX, XXXXXXXXXXX XXXX, XX XXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c9-4-2", + "title": "Secure log-on procedures", + "props": [ + { + "class": "number", + "value": "9.4.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXX XXXXXXXX XX XXX XXXXXX XXXXXXX XXXXXX, XXXXXX XX XXXXXXX XXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXX XX X XXXXXX XXX-XX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eX XXXXXXXX XXXXXXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXX XX XXXXXXXXXXXX XXX XXXXXXX XXXXXXXX XX X XXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXX XXXXXX XXXXXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXXX XX XXXXXXXX, XXXXXXXXXXXXXX XXXXXXX XXXXXXXXXXX XX XXXXXXXXX, XXXX XX XXXXXXXXXXXXX XXXXX, XXXXX XXXXX, XXXXXX XX XXXXXXXXX XXXXX, XXXXXX XX XXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXX XXX XXXXXXX XXXX X XXXXXX XX XXXXXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXXXX XXX XXXXXXXXXXX XXX XXXXXXXXXXXX XXXXXX. XXX XXX-XX XXXXXXXXX XXXXXX XXXXXXXXX XXXXXXXX XXX XXXXXXX XX XXXXXXXXXXX XXXXX XXX XXXXXX XX XXXXXXXXXXX, XX XXXXX XX XXXXX XXXXXXXXX XX XXXXXXXXXXXX XXXX XXXX XXX XXXXXXXXXXX XXXXXXXXXX. X XXXX XXX-XX XXXXXXXXX XXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXXXX XXXXXX XX XXXXXXXXXXX XXXXXXXXXXX XXXXX XXX XXX-XX XXXXXXX XXX XXXX XXXXXXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX X XXXXXXX XXXXXX XXXXXXX XXXX XXX XXXXXXXX XXXXXX XXXX XX XXXXXXXX XX XXXXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXX XXXX XXXXXXXX XXXXXX XXX XXX-XX XXXXXXXXX XXXX XXXXX XXX XX XXXXXXXXXXXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXX-XX XXXXXXXXXXX XXXX XX XXXXXXXXXX XX XXX XXXXX XXXX. XX XX XXXXX XXXXXXXXX XXXXXX, XXX XXXXXX XXXXXX XXX XXXXXXXX XXXXX XXXX XX XXX XXXX XX XXXXXXX XX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXX XXXXX XXXXX XXX-XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX X XXXXXXXX XXXXX XX X XXXXXXXXX XXXXXXXXX XX XXXXXXXXXX XXXXXX XX XXX-XX XXXXXXXX XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXX XXXXXXXXX XXXXXXXXXXX XX XXXXXXXXXX XX X XXXXXXXXXX XXX-XX:\u003col\u003e \u003cli\u003eXXXX XXX XXXX XX XXX XXXXXXXX XXXXXXXXXX XXX-XX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXX XXXXXXXXXXXX XXX-XX XXXXXXXX XXXXX XXX XXXX XXXXXXXXXX XXX-XX;\u003c/li\u003e \u003c/ol\u003e \u003c/li\u003e \u003cli\u003eXXX XXXXXXX X XXXXXXXX XXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXX XXXXXXXXX XX XXXXX XXXX XXXX X XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXX XXXXXXXX XXXXX X XXXXXXX XXXXXX XX XXXXXXXXXX, XXXXXXXXXX XX XXXX XXXX XXXXXXXXX XXXX XX XXXXXX XX XXXXXXXX XXXXX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXXXXXX XX XX XXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXX XXXXX XX XXXXXXX XXXXXXXXXX XXXXXXXX XXX XXXX-XXXX XXXXXXXXXXXX XXX XXXXXX XXX XXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXXXX XXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXX XXX X XXXXXX XXX XX XXXXXXX XXXXXXXXXXXXXX XXX XXXXXXXXXXXXXX XXXXX XX X XXXXXX XXXX XXXX XXX XXXX XXXXX. XXX XXXX XXX XXXX XX XXXXXXXX XXXX XXXXXXXXXXXXX XXXXX XXX XXXXXXXXXXXXXX XXXXXXXXX. XXX XXXXXXXX XX XXXX XXXXXXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXX XXXXXXXXXXXXXX XX XXX XXXXXXXXXXX XX XX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXXXXXXX XXX XXXXXXXXXXX XX XXXXX XXXX XXXXXX XXX XXX-XX XXXXXXX XXXX X XXXXXXX, XXXX XXX XX XXXXXXXX XX X XXXXXXX ”XXXXXXX” XXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c9-4-3", + "title": "Password management system", + "props": [ + { + "class": "number", + "value": "9.4.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXXX XXXXXX XXXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eX XXXXXXXX XXXXXXXXXX XXXXXX XXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXX XXX XXX XX XXXXXXXXXX XXXX XXX XXX XXXXXXXXX XX XXXXXXXX XXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXX XX XXXXXX XXX XXXXXX XXXXX XXX XXXXXXXXX XXX XXXXXXX X XXXXXXXXXXXX XXXXXXXXX XX XXXXX XXX XXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX X XXXXXX XX XXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXX XX XXXXXX XXXXX XXXXXXXXX XX XXX XXXXX XXX-XX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXX XXXXXXXX XXXXXXX XXX XX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX X XXXXXX XX XXXXXXXXXX XXXX XXXXXXXXX XXX XXXXXXX XX-XXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXX XXXXXXXXX XX XXX XXXXXX XXXX XXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXXXX XXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXXXXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXX XXXXXXXX XXXXXXXXX XX XXXXXXXXX XXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXX XXXXXXXXXXXX XXXXXXX XXXX XXXXXXXXX XX XX XXXXXXXX XX XX XXXXXXXXXXX XXXXXXXXX; XX XXXX XXXXX, XXXXXX X), X) XXX X) XX XXX XXXXX XXXXXXXX XX XXX XXXXX. XX XXXX XXXXX XXX XXXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXX XX XXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c9-4-4", + "title": "Use of privileged utility programs", + "props": [ + { + "class": "number", + "value": "9.4.4" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXX XX XXXXXXX XXXXXXXX XXXX XXXXX XX XXXXXXX XX XXXXXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXX XXX XXX XX XXXXXXX XXXXXXXX XXXX XXXXX XX XXXXXXX XX XXXXXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XX XXXXXXXXXXXXXX, XXXXXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXX XXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XX XXXXXXX XXXXXXXX XXXX XXXXXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX XXX XXX XX XXXXXXX XXXXXXXX XX XXX XXXXXXX XXXXXXXXX XXXXXX XX XXXXXXX, XXXXXXXXXX XXXXX (XXX \u003ca href=\"#c9-2-3\"\u003e9.2.3\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXX XXX XX XXX XXX XX XXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX XXX XXXXXXXXXXXX XX XXXXXXX XXXXXXXX, X.X. XXX XXX XXXXXXXX XX XX XXXXXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXX XXX XX XXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXXXXXXX XXXXXX XXX XXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXXXXXXX XX XXX XXXXXXXXXXX XXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXX XXXXXXX XXXXXXXX XXXXXXXXX XX XXXXX XXX XXXX XXXXXX XX XXXXXXXXXXXX XX XXXXXXX XXXXX XXXXXXXXXXX XX XXXXXX XX XXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXX XXXXXXXX XXXXXXXXXXXXX XXXX XXX XX XXXX XXXXXXX XXXXXXXX XXXX XXXXX XX XXXXXXX XX XXXXXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c9-4-5", + "title": "Access control to program source code", + "props": [ + { + "class": "number", + "value": "9.4.5" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXX XX XXXXXXX XXXXXX XXXX XXXXXX XX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXX XX XXXXXXX XXXXXX XXXX XXX XXXXXXXXXX XXXXX (XXXX XX XXXXXXX, XXXXXXXXXXXXXX, XXXXXXXXXXXX XXXXX XXX XXXXXXXXXX XXXXX) XXXXXX XX XXXXXXXX XXXXXXXXXX, XX XXXXX XX XXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXXXXX XXX XX XXXXX XXXXXXXXXXXXX XXXXXXX XX XXXX XX XX XXXXXXXX XXX XXXXXXXXXXXXXXX XX XXXXXXXX XXXXXXXXXXXX XXXXXXXX. XXX XXXXXXX XXXXXX XXXX, XXXX XXX XX XXXXXXXX XX XXXXXXXXXX XXXXXXX XXXXXXX XX XXXX XXXX, XXXXXXXXXX XX XXXXXXX XXXXXX XXXXXXXXX. XXX XXXXXXXXX XXXXXXXXXX XXXXXX XXXX XX XXXXXXXXXX XX XXXXXXX XXXXXX XX XXXX XXXXXXX XXXXXX XXXXXXXXX XX XXXXX XX XXXXXX XXX XXXXXXXXX XXX XXXXXXXXXX XX XXXXXXXX XXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXX XXXXXXXX, XXXXXXX XXXXXX XXXXXXXXX XXXXXX XXX XX XXXX XX XXXXXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXX XXXXXX XXXX XXX XXX XXXXXXX XXXXXX XXXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXXX XXXXXX XXX XXXX XXXXXXXXXXXX XXXXXX XX XXXXXXX XXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXX XX XXXXXXX XXXXXX XXXXXXXXX XXX XXXXXXXXXX XXXXX XXX XXX XXXXXXX XX XXXXXXX XXXXXXX XX XXXXXXXXXXX XXXXXX XXXX XX XXXXXXXXX XXXXX XXXXXXXXXXX XXXXXXXXXXXXX XXX XXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXX XXXXXX XX XXXX XX X XXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXX XXXXX XXX XXXXXX XX XXXXXXXXXX XX XXX XXXXXXXX XX XXXXXXX XXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXX XXXXXXX XX XXXXXXX XXXXXX XXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXX XXXXXX XXXXXXX XXXXXXXXXX (XXX \u003ca href=\"#c14-2-2\"\u003e14.2.2\u003c/a\u003e).\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXX XXX XXXXXXX XXXXXX XXXX XX XXXXXXXX XX XX XXXXXXXXX, XXXXXXXXXX XXXXXXXX XX XXXX XXXXXXX XXXXXXXXX XX XXX XXXXXXXXX (X.X. XXXXXXX XXXXXXXXX) XXXXXX XX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "control-category", + "id": "g10", + "title": "Cryptography", + "props": [ + { + "class": "number", + "value": "10" + } + ], + "groups": [ + { + "class": "clause", + "id": "g10-1", + "title": "Cryptographic controls", + "props": [ + { + "class": "number", + "value": "10.1" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXXXXX XXX XXXXXXXXX XXX XX XXXXXXXXXXXX XX XXXXXXX XXX XXXXXXXXXXXXXXX, XXXXXXXXXXXX XXX/XX XXXXXXXXX XX XXXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c10-1-1", + "title": "Policy on the use of cryptographic controls", + "props": [ + { + "class": "number", + "value": "10.1.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eX XXXXXX XX XXX XXX XX XXXXXXXXXXXXX XXXXXXXX XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXX XXXXXXXXXX X XXXXXXXXXXXXX XXXXXX XXX XXXXXXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXXXXXXX XXXXXXXX XXXXXXX XXX XXX XX XXXXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXXXXXX, XXXXXXXXX XXX XXXXXXX XXXXXXXXXX XXXXX XXXXX XXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XX X XXXX XXXXXXXXXX, XXX XXXXXXXX XXXXX XX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXXX XXXX XXXXXXX XXX XXXX, XXXXXXXX XXX XXXXXXX XX XXX XXXXXXXXXX XXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXX XX XXXXXXXXXX XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX XX XXXXXX XX XXXXXXXXX XXXXX XXXXXXX XX XXXXXX XXXXXXXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXX XX XXX XXXXXXXXXX, XXXXXXXXX XXXXXXX XX XXXX XXXX XXX XXXXXXXXXX XX XXXXXXXXXXXXX XXXX XXX XXX XXXXXXXX XX XXXXXXXXX XXXXXXXXXXX XX XXX XXXX XX XXXX, XXXXXXXXXXX XX XXXXXXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXX XXXXXXXXXXXXXXXX, X.X. XXX XX XXXXXXXXXXX XXX:\u003col\u003e \u003cli\u003eXXX XXXXXXXXXXXXXX XX XXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXX XXXXXXXXXX, XXXXXXXXX XXX XXXXXXXXXX (XXX \u003ca href=\"#c10-1-2\"\u003e10.1.2\u003c/a\u003e);\u003c/li\u003e \u003c/ol\u003e \u003c/li\u003e \u003cli\u003eXXX XXXXXXXXX XX XX XXXXXXX XXX XXXXXXXXX XXXXXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXX (XXXXX XXXXXXXX XX XXXX XXX XXXXX XXXXXXXX XXXXXXXXX);\u003c/li\u003e \u003cli\u003eXXX XXXXXX XX XXXXX XXXXXXXXX XXXXXXXXXXX XX XXXXXXXX XXXX XXXX XXXX XXXXXXX XXXXXXXXXX (X.X. XXXXXXX XXXXXXXXX).\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXX XXXXXXXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXXXX XXXXXX, XXXXXXXXXXXXX XXXXXX XX XXXXX XX XXX XXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXXX XXXX XXXXX XXXXX XX XXX XXX XX XXXXXXXXXXXXX XXXXXXXXXX XX XXXXXXXXX XXXXX XX XXX XXXXX XXX XX XXX XXXXXX XX XXXXX-XXXXXX XXXX XX XXXXXXXXX XXXXXXXXXXX (XXX \u003ca href=\"#c18-1-5\"\u003e18.1.5\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXXX XXXXXXXX XXX XX XXXX XX XXXXXXX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX, X.X.:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXXXXXX: XXXXX XXXXXXXXXX XX XXXXXXXXXXX XX XXXXXXX XXXXXXXXX XX XXXXXXXX XXXXXXXXXXX, XXXXXX XXXXXX XX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003e: XXXXX XXXXXXX XXXXXXXXXX XX XXXXXXX XXXXXXXXXXXXXX XXXXX XX XXXXXX XXX XXXXXXXXXXXX XX XXXXXXXXX XX XXXXXX XX XXXXXXXXXXX XXXXXXXXX XX XXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX-XXXXXXXXXXX: XXXXX XXXXXXXXXXXXX XXXXXXXXXX XX XXXXXXX XXXXXXXX XX XXX XXXXXXXXXX XX XXX-XXXXXXXXXX XX XX XXXXX XX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXXX: XXXXX XXXXXXXXXXXXX XXXXXXXXXX XX XXXXXXXXXXXX XXXXX XXX XXXXX XXXXXX XXXXXXXX XXXXXXXXXX XXXXXX XX XX XXXXXXXXXXX XXXX XXXXXX XXXXX, XXXXXXXX XXX XXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXX X XXXXXXXX XX XX XXXXXXX X XXXXXXXXXXXXX XXXXXXXX XX XXXXXXXXXXX XXXXXX XX XXXX XX XXXX XX XXX XXXXX XXXXXXX XX XXXX XXXXXXXXXX XXX XXXXXXXXX XX XXXXXXXX. XXXX XXXXXXXXXX XXX XXXX XX XXXX XX XXXXXXXXX XXXXXXX X XXXXXXXXXXXXX XXXXXXX XX XXXXXXXXXXX, XXXX XXXX XX XXXXXXX XXXXXX XX XXXXXXX XXX XXX XXXX XXXXXXX XXX XXXXXXXX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eX XXXXXX XX XXX XXX XX XXXXXXXXXXXXX XXXXXXXX XX XXXXXXXXX XX XXXXXXXX XXX XXXXXXXX XXX XXXXXXXX XXX XXXXX XX XXXXX XXXXXXXXXXXXX XXXXXXXXXX XXX XX XXXXX XXXXXXXXXXXXX XX XXXXXXXXX XXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXX XXXXXX XXXXXX XX XXXXXX XX XXXXXXXXX XXXXXXXXXXX XXXXXXXXXXXXX XXXXXXXX XX XXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c10-1-2", + "title": "Key management", + "props": [ + { + "class": "number", + "value": "10.1.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eX XXXXXX XX XXX XXX, XXXXXXXXXX XXX XXXXXXXX XX XXXXXXXXXXXXX XXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX XXXXXXX XXXXX XXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXX XXXXXX XXXXXXX XXXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXXXX XXXX XXXXXX XXXXX XXXXX XXXXXXXXX XXXXXXXXX XXXXXXXXXX, XXXXXXX, XXXXXXXXX, XXXXXXXXXX, XXXXXXXXXXXX, XXXXXXXX XXX XXXXXXXXXX XXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXXX XXXXXXXXXX, XXX XXXXXXX XXX XXXXX XXXXXXXXX XXXXXX XX XXXXXXXX XXXXXXXXX XX XXXX XXXXXXXX. XXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXX XXXXXX XXXXXXXXX XXX XXXXXXXXXX, XXXXXXX, XXXXXXXXX, XXXXXXXXXX, XXXXXXXXXXXX, XXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXXXX XXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXXXXXX XXXX XXXXXX XX XXXXXXXXX XXXXXXX XXXXXXXXXXXX XXX XXXX. XX XXXXXXXX, XXXXXX XXX XXXXXXX XXXX XXXX XXXXXXXXXX XXXXXXX XXXXXXXXXXXX XXX XX XXXX XX XXXXXXXXXX. XXXXXXXXX XXXX XX XXXXXXXX, XXXXX XXX XXXXXXX XXXX XXXXXX XX XXXXXXXXXX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eX XXX XXXXXXXXXX XXXXXX XXXXXX XX XXXXX XX XX XXXXXX XXX XX XXXXXXXXX, XXXXXXXXXX XXX XXXXXX XXXXXXX XXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXX XXXX XXX XXXXXXXXX XXXXXXXXXXXXX XXXXXXX XXX XXXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXX XXXXXXXXX XXXXXX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXX XX XXXXXXXX XXXXXXXX, XXXXXXXXX XXX XXXX XXXXXX XX XXXXXXXXX XXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXX, XXXXXXXXX XXX XXXXXXXXXX XXXXX XXXXXX XXXXXX XX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XX XXXXXXXX XXXX XXXXXXXXX XXXXX XX XXXX XXXX XXXXXX XX XXXXXXX XXX XXX XXXX XXXX XX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXX XXXXXXXXXXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXX XXXXXXXXX XXX XXXX XXXXXX XX XXXXXXXXX XX XXXXXXXXXXX, X.X. XXXX XXXX XXXX XXXX XXXXXXXXXXX XX XXXX X XXXX XXXXXX XX XXXXXXXXXXXX (XX XXXXX XXXX XXXX XXXXXX XXXX XX XXXXXXXX);\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXX XXXX XXX XXXX XX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XX XXXXXXXXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXX XXXXXXXX XX XXX XXXXXXXXXX XXXXXXX XXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXX XXXXX XX XXXXXX XXX XXXXXXXXXX XX XXXXXXXX XXX, XXXXXXXXXX XXX XXXXXXXXXXXX XXXXX XXX XXXX XXXXXX XX XXXXXXX XX XXXX XXX XXXX XXX XXXX XX XXXX XXX XXX XXXXXX XX XXXX XXXXXXX XX XXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXX XXXX, XXX XXXXXXXXXXXX XX XXXXXX XXXX XXXXXX XXXX XX XXXXXXXXXX. XXXX XXXXXXXXXXXXXX XXXXXXX XXX XX XXXX XXXXX XXXXXX XXX XXXXXXXXXXXX, XXXXX XXX XXXXXXXX XXXXXX XX X XXXXXXXXXXXXX XXXXXXXXX, XXXXX XXXXXX XX X XXXXXXXXXX XXXXXXXXXXXX XXXX XXXXXXXX XXXXXXXX XXX XXXXXXXXXX XX XXXXX XX XXXXXXX XXX XXXXXXXX XXXXXX XX XXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXX XX XXXXXXX XXXXX XXXXXXXXXX XX XXXXXXXXX XXXX XXXXXXXX XXXXXXXXX XX XXXXXXXXXXXXX XXXXXXXX, X.X. XXXX X XXXXXXXXXXXXX XXXXXXXXX, XXXXXX XXXXX XXXXXX XX XXXXXXXXX, XXXXXXXXXXX XX XXXXXXXX XXX XXXXXXXX XXXXX XXX XXX XXXXXXXXX XX XXXXXXXX (XXX \u003ca href=\"#g15-2\"\u003e15.2\u003c/a\u003e).\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXX XX XXXXXXXXXXXXX XXXX XX XXXXXXXXX XX XXX XXXXXXXXX XXX XX XXXXXXXXXXXXX XXXXXXXXXX. XXX/XXX XXXXX[\u003ca\u003e2\u003c/a\u003e][\u003ca\u003e3\u003c/a\u003e][\u003ca\u003e4\u003c/a\u003e] XXXXXXXX XXXXXXX XXXXXXXXXXX XX XXX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXXX XXXXXXXXXX XXX XXXX XX XXXX XX XXXXXXX XXXXXXXXXXXXX XXXX. XXXXXXXXXX XXX XXXX XX XX XXXXXXXXXX XXX XXXXXXXX XXXXX XXXXXXXX XXX XXXXXX XX XXXXXXXXXXXXX XXXX, X.X. XXXXXXXXX XXXXXXXXXXX XXX XX XXXXXXXX XX XX XXXX XXXXXXXXX XX XX XXXXXXXXXXX XXXX XX XXXXXXXX XX X XXXXX XXXX.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "control-category", + "id": "g11", + "title": "Physical and environmental security", + "props": [ + { + "class": "number", + "value": "11" + } + ], + "groups": [ + { + "class": "clause", + "id": "g11-1", + "title": "Secure areas", + "props": [ + { + "class": "number", + "value": "11.1" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXXX XXXXXXXXXXXX XXXXXXXX XXXXXX, XXXXXX XXX XXXXXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c11-1-1", + "title": "Physical security perimeter", + "props": [ + { + "class": "number", + "value": "11.1.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX XXX XXXX XX XXXXXXX XXXXX XXXX XXXXXXX XXXXXX XXXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXXXX XXXXX XXXXXXXXXXX XXX XXXXXXXX XXXXXXXX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX, XXX XXX XXXXXX XXX XXXXXXXX XX XXXX XX XXX XXXXXXXXXX XXXXXX XXXXXX XX XXX XXXXXXXX XXXXXXXXXXXX XX XXX XXXXXX XXXXXX XXX XXXXXXXXX XXX XXX XXXXXXX XX X XXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX X XXXXXXXX XX XXXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXX (X.X. XXXXX XXXXXX XX XX XXXX XX XXX XXXXXXXXX XX XXXXX XXXXX X XXXXX-XX XXXXX XXXXXX XXXXX); XXX XXXXXXXX XXXX, XXXXX XXX XXXXXXXX XX XXX XXXX XXXXXX XX XX XXXXX XXXXXXXXXXXX XXX XXX XXXXXXXX XXXXX XXXXXX XX XXXXXXXX XXXXXXXXX XXXXXXX XXXXXXXXXXXX XXXXXX XXXX XXXXXXX XXXXXXXXXX, (X.X. XXXX, XXXXXX, XXXXX); XXXXX XXX XXXXXXX XXXXXX XX XXXXXX XXXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXX, XXXXXXXXXXXX XX XXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eX XXXXXX XXXXXXXXX XXXX XX XXXXX XXXXX XX XXXXXXX XXXXXXXX XXXXXX XX XXX XXXX XX XXXXXXXX XXXXXX XX XX XXXXX; XXXXXX XX XXXXX XXX XXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXX XXXXXX, XXXXX XXXXXXXXXX, XX XXXXX XX XXXXXXX XXXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXX XXXXX XX X XXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXX, XXXXXXXXX XXX XXXXXX XX XXXXXXXXXXX XXXX XXX XXXXX XX XXXXXXXXX XXX XXXXXXXX XXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXXX XXXXXXXX XXXXXXXX, XXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXX; XXXX XXXXXX XXXXXXX XX XXXXXXXXXX XXXX XXX XXXXX XXXX XXXX XX X XXXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXXXX, XXXXXXXX XX XXXXXXXXXXXXX XXXXXXXXX XXX XXXXXXXXX XXXXXX XX XXXXX XXX XXXXXXXX XXXXX XXX XXXXXXXXXX XXXXXXX; XXXXXXXXXX XXXXX XXXXXX XX XXXXXXX XX XXX XXXXX; XXXXX XXXXXX XXXX XX XXXXXXXX XXX XXXXX XXXXX, X.X. XXXXXXXX XXXX XX XXXXXXXXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXXX XX XXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXXXXXX XXXX XXXXX XXXXXXX XX XXXXXXXX XXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXXXXXX XXX XX XXXXXXXX XX XXXXXXXX XXX XX XXXX XXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX. XXX XXX XX XXXXXXXX XXXXXXXX XXXXX XXXXXXXXXX XXXXXXXXXX, XXXXX XXX XXXXXXX XX X XXXXXX XXXXXXX XXXX XXX XXXX XXXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eX XXXXXX XXXX XXX XX X XXXXXXXX XXXXXX XX XXXXXXX XXXXX XXXXXXXXXX XX X XXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXX XXXXXXX. XXXXXXXXXX XXXXXXXX XXX XXXXXXXXXX XX XXXXXXX XXXXXXXX XXXXXX XXX XX XXXXXX XXXXXXX XXXXX XXXX XXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXX XXX XXXXXXXX XXXXXXXXX. XXXXXXX XXXXXXXXX XX XXXXXXXX XXXXXX XXXXXXXX XXXXXX XX XXXXX XX XXX XXXX XX XXXXXXXXX XXXXXXX XXXXXX XXX XXXXXXXX XXXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXXXX XX XXXXXXXX XXXXXXXX, XXXXXXXXXX XXX XXX XXXXXX XXXXX, XXXXXX XX XXXXXXX XX XXX XXXXXXXXX XXX XXXXXXXX XXXXXXXXXXXXX XX XXX XXXXXXXXXXXX, XX XXX XXXXX XX XXX XXXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c11-1-2", + "title": "Physical entry controls", + "props": [ + { + "class": "number", + "value": "11.1.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXX XXXXX XXXXXX XX XXXXXXXXX XX XXXXXXXXXXX XXXXX XXXXXXXX XX XXXXXX XXXX XXXX XXXXXXXXXX XXXXXXXXX XXX XXXXXXX XXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXX XXX XXXX XX XXXXX XXX XXXXXXXXX XX XXXXXXXX XXXXXX XX XXXXXXXX, XXX XXX XXXXXXXX XXXXXX XX XXXXXXXXXX XXXXXX XXXXX XXXXXX XXX XXXX XXXXXXXXXX XXXXXXXX; XXXX XXXXXX XXXX XX XXXXXXX XXXXXX XXX XXXXXXXX, XXXXXXXXXX XXXXXXXX XXX XXXXXX XX XXXXXX XXXX XXXXXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXXXX XX XXX XXXX XXX XX XXXXXXXXX XXXXXXXXXX. XXX XXXXXXXX XX XXXXXXXX XXXXXX XX XXXXXXXXXXXXX XX XX XXXXXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XX XXXXX XXXXX XXXXXXXXXXXX XXXXXXXXXXX XX XXXXXXXXX XX XXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXX XXXX XX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XXXXXXXX, X.X. XX XXXXXXXXXXXX X XXX-XXXXXX XXXXXXXXXXXXXX XXXXXXXXX XXXX XX XX XXXXXX XXXX XXX XXXXXX XXX;\u003c/li\u003e \u003cli\u003eX XXXXXXXX XXX XXXX XX XXXXXXXXXX XXXXX XXXXX XX XXX XXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXX, XXXXXXXXXXX XXX XXXXXXXX XXXXXXX XXXXXX XX XXXXXXXX XX XXXX XXXX XXXX XX XXXXXXX XXXXXXXXXXXXXX XXX XXXXXX XXXXXXXXXXX XXXXXX XXXXXXXX XXXXXXXXX XX XXXX XXXXXXXXX XXXXXXXXXX XXXXXXXX XXX XXXXXX XXX XXXXXXX XXXXXXX XXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXX XXXXXXX XXXXXXX XXXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXXX XXXXXX XX XXXXXX XXXXX XX XXXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXX XXXX XXXXXXXX; XXXX XXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXX XX XXXXXX XXXXX XXXXXX XX XXXXXXXXX XXXXXXXX XXX XXXXXXX, XXX XXXXXXX XXXX XXXXXXXXX (XXX \u003ca href=\"#c9-2-5\"\u003e9.2.5\u003c/a\u003e XXX \u003ca href=\"#c9-2-6\"\u003e9.2.6\u003c/a\u003e).\u003c/li\u003e \u003c/ol\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c11-1-3", + "title": "Securing offices, rooms and facilities", + "props": [ + { + "class": "number", + "value": "11.1.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXXXX XXX XXXXXXX, XXXXX XXX XXXXXXXXXX XXXXXX XX XXXXXXXX XXX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXX XXXXXXX, XXXXX XXX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXXXXXXX XXXXXX XX XXXXX XX XXXXX XXXXXX XX XXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXXXXXX, XXXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXX XXXXXXX XXXXXXXXXX XX XXXXX XXXXXXX, XXXX XX XXXXXXX XXXXX, XXXXXXX XX XXXXXX XXX XXXXXXXX, XXXXXXXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XX XXXXXXXXXX XXXX XXXXX XXXXXXX XXX XXXXXXX XXXX XXX XXXXXXX. XXXXXXXXXXXXXXX XXXXXXXXX XXXXXX XXXX XX XXXXXXXXXX XX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXX XXXXXXXX XXXXXXXXX XXXXX XXXXXXXXXXX XXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XXX XX XXXXXXX XXXXXXXXXX XX XXXXXX XXXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c11-1-4", + "title": "Protecting against external and environmental threats", + "props": [ + { + "class": "number", + "value": "11.1.4" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXXX XXXXXXXXX, XXXXXXXXX XXXXXX XX XXXXXXXXX XXXXXX XX XXXXXXXX XXX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXX XXXXXX XX XXXXXXXX XX XXX XX XXXXX XXXXXX XXXX XXXX, XXXXX, XXXXXXXXXX, XXXXXXXXX, XXXXX XXXXXX XXX XXXXX XXXXX XX XXXXXXX XX XXX-XXXX XXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c11-1-5", + "title": "Working in secure areas", + "props": [ + { + "class": "number", + "value": "11.1.5" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXX XXXXXXX XX XXXXXX XXXXX XXXXXX XX XXXXXXXX XXX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXX XXXXXX XXXX XX XXXXX XX XXX XXXXXXXXX XX, XX XXXXXXXXXX XXXXXX, X XXXXXX XXXX XX X XXXX-XX-XXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXXXXX XX XXXXXX XXXXX XXXXXX XX XXXXXXX XXXX XXX XXXXXX XXXXXXX XXX XX XXXXXXX XXXXXXXXXXXXX XXX XXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXX XXXXX XXXXXX XX XXXXXXXXXX XXXXXX XXX XXXXXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX, XXXXX, XXXXX XX XXXXX XXXXXXXXX XXXXXXXXX, XXXX XX XXXXXXX XX XXXXXX XXXXXXX, XXXXXX XXX XX XXXXXXX, XXXXXX XXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXX XXXXXXXXXXXX XXX XXXXXXX XX XXXXXX XXXXX XXXXXXX XXXXXXXX XXX XXX XXXXXXXXX XXX XXXXXXXX XXXXX XXXXX XXXXXXX XX XXX XXXXXX XXXX XXX XXXX XXXXX XXX XXXXXXXXXX XXXXXX XXXXX XX XXX XXXXXX XXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c11-1-6", + "title": "Delivery and loading areas", + "props": [ + { + "class": "number", + "value": "11.1.6" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXX XXXXXX XXXX XX XXXXXXXX XXX XXXXXXX XXXXX XXX XXXXX XXXXXX XXXXX XXXXXXXXXXXX XXXXXXX XXXXX XXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXXXX XXX, XX XXXXXXXX, XXXXXXXX XXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XX XXXXX XXXXXXXXXXXX XXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXX XX X XXXXXXXX XXX XXXXXXX XXXX XXXX XXXXXXX XX XXX XXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXX XXX XXXXXXX XXXX XXXXXX XX XXXXXXXX XX XXXX XXXXXXXX XXX XX XXXXXX XXX XXXXXXXX XXXXXXX XXXXXXXX XXXXXXXXX XXXXXXX XXXXXX XX XXXXX XXXXX XX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXX XXXXX XX X XXXXXXXX XXX XXXXXXX XXXX XXXXXX XX XXXXXXX XXXX XXX XXXXXXXX XXXXX XXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXX, XXXXXXXXX XX XXXXX XXXXXXXXX XXXXXXXXX, XXXXXX XX XX XXXXX XXXX X XXXXXXXX XXX XXXXXXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXXX XXXXX XXXXXXXXXX XXXXXXXXXX (XXX \u003ca\u003eClause 8\u003c/a\u003e) XX XXXXX XX XXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXXXXXXX, XXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXX XX XXXXXXXXX XX XXXXX. XX XXXX XXXXXXXXX XX XXXXXXXXXX XX XXXXXX XX XXXXXXXXXXX XXXXXXXX XX XXXXXXXX XXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g11-2", + "title": "Equipment", + "props": [ + { + "class": "number", + "value": "11.2" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXXX XXXX, XXXXXX, XXXXX XX XXXXXXXXXX XX XXXXXX XXX XXXXXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c11-2-1", + "title": "Equipment siting and protection", + "props": [ + { + "class": "number", + "value": "11.2.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXX XXXXXX XX XXXXX XXX XXXXXXXXX XX XXXXXX XXX XXXXX XXXX XXXXXXXXXXXXX XXXXXXX XXX XXXXXXX, XXX XXXXXXXXXXXXX XXX XXXXXXXXXXXX XXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXX XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXX XXXXXX XX XXXXX XX XXXXXXXX XXXXXXXXXXX XXXXXX XXXX XXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXXXX XXXXXXXXX XXXX XXXXXX XX XXXXXXXXXX XXXXXXXXX XX XXXXXX XXX XXXX XX XXXXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXXXX XXXXXXX XXXXXX XXXXX XXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXX XXXXXXXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXXXXX XXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XXX XXXXXXX XXXXX XX XXXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXX XXX XXXX XX XXXXXXXXX XXXXXXXX XXX XXXXXXXXXXXXX XXXXXXX, X.X. XXXXX, XXXX, XXXXXXXXXX, XXXXX, XXXXX (XX XXXXX XXXXXX XXXXXXX), XXXX, XXXXXXXXX, XXXXXXXX XXXXXXX, XXXXXXXXXX XXXXXX XXXXXXXXXXXX, XXXXXXXXXXXXXX XXXXXXXXXXXX, XXXXXXXXXXXXXXX XXXXXXXXX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX XXXXXX, XXXXXXXX XXX XXXXXXX XX XXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXX XXXXXXXXXX, XXXX XX XXXXXXXXXXX XXX XXXXXXXX, XXXXXX XX XXXXXXXXX XXX XXXXXXXXXX XXXXX XXXXX XXXXXXXXX XXXXXX XXX XXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX XX XXX XXXXXXXXX XXX XXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXX XX XXXXXX XX XXX XXXXXXXX XXXXX XXX XXXXXXXXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXX XXX XX XXXXXXX XXXXXXXXXX XXXXXXX, XXXX XX XXXXXXXX XXXXXXXXX, XXXXXX XX XXXXXXXXXX XXX XXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXXXX XXX XXXX XX XXXXXXXXXXX XXXXXXX XXX XX XXXXXXXXXXXXXXX XXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c11-2-2", + "title": "Supporting utilities", + "props": [ + { + "class": "number", + "value": "11.2.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXX XXXXXX XX XXXXXXXXX XXXX XXXXX XXXXXXXX XXX XXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXXXXX (X.X. XXXXXXXXXXX, XXXXXXXXXXXXXXXXXX, XXXXX XXXXXX, XXX, XXXXXX, XXXXXXXXXXX XXX XXX XXXXXXXXXXXX) XXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXX XX XXXXXXXXX XXXXXXXXXXXX’X XXXXXXXXXXXXXX XXX XXXXX XXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXX XXXXXXXXX XXXXXXXXX XXX XXXXX XXXXXXXX XX XXXX XXXXXXXX XXXXXX XXX XXXXXXXXXXXX XXXX XXXXX XXXXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXX XXXXXXXXX XXX XXXXXX XXXXXXXXX XX XXXXXX XXXXX XXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXX XXXXXXXXX, XX XXXXXXX XX XXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXX XXXXXXXXX, XXXX XXXXXXXX XXXXX XXXX XXXXXXX XXXXXXXX XXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXXXXX XXXXXXXX XXX XXXXXXXXXXXXXX XXXXXX XX XXXXXXXX. XXXXXXXXX XXXXXXXX XXX XXXXXX XX XXX XXX XXXXX, XXXXX, XXX XX XXXXX XXXXXXXXX XXXXXX XX XXXXXXX XXXX XXXXXXXXX XXXXX XX XXXXXXXXX XXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXXXXXX XXX XXXXXXX XXXXXXXXXXXX XXX XX XXXXXXXX XX XXXXX XX XXXXXXXX XXXXXX XXXX XXXX XXXX XXX XXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c11-2-3", + "title": "Cabling security", + "props": [ + { + "class": "number", + "value": "11.2.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXX XXX XXXXXXXXXXXXXXXXXX XXXXXXX XXXXXXXX XXXX XX XXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXX XXXX XXXXXXXXXXXX, XXXXXXXXXXXX XX XXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXX XXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXX XXX XXXXXXXXXXXXXXXXXX XXXXX XXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX, XXXXX XXXXXXXX, XX XXXXXXX XX XXXXXXXX XXXXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXX XXXXXX XX XXXXXXXXXX XXXX XXXXXXXXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXX XX XXXXXXXX XXXXXXX XXXXXXX XXXXXXXX XX XXXXXXXX XXXXXXX:\u003col\u003e \u003cli\u003eXXXXXXXXXXXX XX XXXXXXXX XXXXXXX XXX XXXXXX XXXXX XX XXXXX XX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXX XX XXXXXXXXXXXXXXX XXXXXXXXX XX XXXXXXX XXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX XXXXXXXXX XXXXXX XXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXXX XXXXXXX XXXXX XXXXXXXX XX XXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXX XX XXXXX XXXXXX XXX XXXXX XXXXX.\u003c/li\u003e \u003c/ol\u003e \u003c/li\u003e \u003c/ol\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c11-2-4", + "title": "Equipment maintenance", + "props": [ + { + "class": "number", + "value": "11.2.4" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXX XXXXXX XX XXXXXXXXX XXXXXXXXXX XX XXXXXX XXX XXXXXXXXX XXXXXXXXXXXX XXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXX’X XXXXXXXXXXX XXXXXXX XXXXXXXXX XXX XXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXXX XXXXXX XXXXX XXX XXXXXXX XXX XXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXX XX XXXX XX XXX XXXXXXXXX XX XXXXXX XXXXXX, XXX XX XXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXXX XXXX XXXXXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX, XXXXXX XXXX XXXXXXX XXXXXXX XXXX XXXXXXXXXXX XX XXXXXXXXX XX XXXXXXXXX XX XXXX XX XXXXXXXX XX XXX XXXXXXXXXXXX; XXXXX XXXXXXXXX, XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXXX XXX XXXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXXX XXXXXXXXXXXX XXXXXXX XX XXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXX XXXXXXXXX XXXX XXXX XXXXXXXXX XXXXX XXX XXXXXXXXXXX, XX XXXXXX XX XXXXXXXXX XX XXXXXX XXXX XXX XXXXXXXXX XXX XXX XXXX XXXXXXXX XXXX XXX XXXX XXX XXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c11-2-5", + "title": "Removal of assets", + "props": [ + { + "class": "number", + "value": "11.2.5" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXX, XXXXXXXXXXX XX XXXXXXXX XXXXXX XXX XX XXXXX XXX-XXXX XXXXXXX XXXXX XXXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXX XXX XXXXXXXX XXXXX XXXXX XXX XXXX XXXXXXXXX XX XXXXXX XXX-XXXX XXXXXXX XX XXXXXX XXXXXX XX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXX XXXXXX XXX XXXXX XXXXXXX XXXXXX XX XXX XXX XXXXXXX XXXXXXXX XXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXXXXX XXX XXXXXXXXXXX, XXXXXX XXXXXX XX XXXXXXXX XX XXXXX XXXXXXX XXX-XXXX XXX XXXXXXXX XXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXX, XXXX XXX XXXXXXXXXXX XX XXXXXX XXX XXXXXXX XX XXXX XXXXXX XXXXXX XX XXXXXXXXXX XXX XXXX XXXXXXXXXXXXX XXXXXXXX XXXX XXX XXXXXXXXX, XXXXXXXXXXX XX XXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXX XXXXXX, XXXXXXXXXX XX XXXXXX XXXXXXXXXXXX XXXXXXX XX XXXXXX, XXX XXXX XX XXXXXXXXX XX XXXXXX XXXXXXXXXXXX XXXXXXXXX XXXXXXX, XXXXXXX, XXX., XXX XX XXXXXXX XXXXX XXXXX XXXX XXX XXXX XXXX, XXX XXXX. XXXX XXXX XXXXXX XXXXXX XX XXXXXXX XXX XX XXXXXXXXXX XXXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXX. XXXXXXXXXXX XXXXXX XX XXXX XXXXX XXXX XXXX XXXXXX XXX XXXXXXX XXX, XXX XXX XXXXXXXXXXXXX XXXXXX XXXX XX XXXXXXXXX XXXX XXXXXXXXXXXXX XXXXXXXXXXX XXX XXX XXXXX XXX XXXXXXXXXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c11-2-6", + "title": "Security of equipment and assets off-premises", + "props": [ + { + "class": "number", + "value": "11.2.6" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXX XX XXXXXXX XX XXX-XXXX XXXXXX XXXXXX XXXX XXXXXXX XXX XXXXXXXXX XXXXX XX XXXXXXX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXX XX XXX XXXXXXXXXXX XXXXXXX XXX XXXXXXXXXX XXXXXXXXX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXXX. XXXX XXXXXXX XX XXXXXXXXX XXXXX XX XXX XXXXXXXXXXXX XXX XXXX XXXXXXXXX XXXXX XXXXXXXXX XXX XXXX XX XXXXXX XX XXX XXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXX XXXXXXXXXX XX XXX-XXXX XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXX XXX XXXXX XXXXX XXX XXXXXXXX XXXXXX XXX XX XXXX XXXXXXXXXX XX XXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXX’ XXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXX XX XXX XXXXX, X.X. XXXXXXXXXX XXXXXXX XXXXXXXX XX XXXXXX XXXXXXXXXXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXX-XXXXXXXX XXXXXXXXX, XXXX XX XXXX-XXXXXXX, XXXXXXXXXXX XXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX XX X XXXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXX XXXXXXX XX XXXXXXXXXXX, X.X. XXXXXXXX XXXXXX XXXXXXXX, XXXXX XXXX XXXXXX, XXXXXX XXXXXXXX XXX XXXXXXXXX XXX XXXXXX XXXXXXXXXXXXX XXXX XXX XXXXXX (XXX XXXX XXX/XXX XXXXX[\u003ca href=\"#g15\"\u003e15\u003c/a\u003e][\u003ca href=\"#g16\"\u003e16\u003c/a\u003e][\u003ca href=\"#g17\"\u003e17\u003c/a\u003e][\u003ca href=\"#g18\"\u003e18\u003c/a\u003e][\u003ca\u003e19\u003c/a\u003e]);\u003c/li\u003e \u003cli\u003eXXXX XXX-XXXXXXXX XXXXXXXXX XX XXXXXXXXXXX XXXXX XXXXXXXXX XXXXXXXXXXX XX XXXXXXXX XXXXXXX, X XXX XXXXXX XX XXXXXXXXXX XXXX XXXXXXX XXX XXXXX XX XXXXXXX XXX XXX XXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXX XXXXXXXXXXXXX XX XXXXX XXX XXX XXXXXXXXXXX XXX XXX XXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXX, X.X. XX XXXXXX, XXXXX XX XXXXXXXXXXXXX, XXX XXXX XXXXXXXXXXXX XXXXXXX XXXXXXXXX XXX XXXXXX XX XXXXX XXXX XXXXXXX XX XXXXXXXXXXX XXX XXXX XXXXXXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXX XXX XXXXXXXXXX XXXXXXXXX XXXXXXXX XXX XXXXX XX XXXXXXXX XXXXXXXXX, XXXXXXXXXX, XXXXXX XXXXXX, XXXXX XXXXX, XXXXX XX XXXXX XXXX, XXXXX XX XXXX XXX XXXX XXXXXXX XX XXXXX XXXXXXXXXXX XXXX XXXX XXX XXXXXX XXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXX XXXXXXXXXXX XXXXX XXXXX XXXXXXX XX XXXXXXXXXX XXXXXX XXXXXXXXX XXX XX XXXXX XX \u003ca href=\"#g6-2\"\u003e6.2\u003c/a\u003e.\u003c/p\u003e", + "\u003cp\u003eXX XXX XX XXXXXXXXXXX XX XXXXX XXX XXXX XX XXXXXXXXXXXX XXXXXXX XXXXXXXXX XXXX XXXXXXX XXX-XXXX XX XX XXXXXXXXXXX XXXXX XXX XX XXXXXXXX XX XXXXXXXXX;\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c11-2-7", + "title": "Secure disposal or re-use of equipment", + "props": [ + { + "class": "number", + "value": "11.2.7" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXX XX XXXXXXXXX XXXXXXXXXX XXXXXXX XXXXX XXXXXX XX XXXXXXXX XX XXXXXX XXXX XXX XXXXXXXXX XXXX XXX XXXXXXXX XXXXXXXX XXX XXXX XXXXXXX XX XXXXXXXX XXXXXXXXXXX XXXXX XX XXXXXXXX XX XX-XXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXX XXXXXXX XX XXX XXXXXXX XXXXX XX XXXXXXXXX XXXXX XX XXXXXXXX XX XX-XXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXX XXXXX XXXXXXXXXX XXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXXXXXX XX XXX XXXXXXXXXXX XXXXXX XX XXXXXXXXX, XXXXXXX XX XXXXXXXXXXX XXXXX XXXXXXXXXX XX XXXX XXX XXXXXXXX XXXXXXXXXXX XXX-XXXXXXXXXXX XXXXXX XXXX XXXXX XXX XXXXXXXX XXXXXX XX XXXXXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXX XXXXXXXXX XXXXXXXXXX XXXXXXX XXXXX XXX XXXXXXX X XXXX XXXXXXXXXX XX XXXXXXXXX XXXXXXX XXX XXXXX XXXXXX XX XXXXXXXXXX XXXXXXXXX XXXXXX XXXX XXXX XXX XXXXXX XX XXXXXXXXX. XXXXXXXXXXX XXX XX XXXXXXXXXXX XXXXXXX XXXXXXXX XXXXXXXX XX XX-XXX XX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXXXXXX XX XXXXXX XXXX XXXXXXX, XXXXX-XXXX XXXXXXXXXX XXXXXXX XXX XXXX XX XXXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXXX XXXX XXXXXXXXX XX XXXXXXXX XX XX XXXXXXXXXX, XXXXXXXX XXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXXXXXXX XXXXXXX XX XXXXXXXXXXXX XXXXXX XXX XXXXXX XXX XXXXXX XXXX (XXXXXXXXX XXXXX XXXXX, XXXX XXXXX, XXX.);\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXX XXXX XXX XXXX XXXXXX XX XXXXXX XXXXX XXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXX XXXX XXX XXXXXXXXXX XXXX XXXXXXXXXXXX (X.X. XXXXX XXXXXX XX XXX XXXX XXXX).\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXX XXXXXXX XXXXXX XX XXXXXXXXXX, XXX \u003ca\u003eClause 10\u003c/a\u003e.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXX XXXXXXX XXXXX XXXXXX XXXXXXXXX XX XXX XXXXXXX XXXXX XXXXXXXXXX. XXXXXXXXXXX XXXXX XXXXXX XX XXXXXXXX XX XXXX XXXX XXXX XXXX XXX XXXXXXXXXX XX XXX XXXXXXXXXX XX XXX XXXXXXX XXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c11-2-8", + "title": "Unattended user equipment", + "props": [ + { + "class": "number", + "value": "11.2.8" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXX XXXXXX XXXXXX XXXX XXXXXXXXXX XXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXX XXXXXX XX XXXX XXXXX XX XXX XXXXXXXX XXXXXXXXXXXX XXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXX XXXXXXXXX, XX XXXX XX XXXXX XXXXXXXXXXXXXXXX XXX XXXXXXXXXXXX XXXX XXXXXXXXXX. XXXXX XXXXXX XX XXXXXXX XX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXX XXXXXX XXXXXXXX XXXX XXXXXXXX, XXXXXX XXXX XXX XX XXXXXXX XX XX XXXXXXXXXXX XXXXXXX XXXXXXXXX, X.X. X XXXXXXXX XXXXXXXXX XXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXX-XXX XXXX XXXXXXXXXXXX XX XXXXXXX XXXXXXXX XXXX XX XXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXXX XX XXXXXX XXXXXXX XXXX XXXXXXXXXXXX XXX XX X XXX XXXX XX XX XXXXXXXXXX XXXXXXX, X.X. XXXXXXXX XXXXXX, XXXX XXX XX XXX.\u003c/li\u003e \u003c/ol\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c11-2-9", + "title": "Clear desk and clear screen policy", + "props": [ + { + "class": "number", + "value": "11.2.9" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eX XXXXX XXXX XXXXXX XXX XXXXXX XXX XXXXXXXXX XXXXXXX XXXXX XXX X XXXXX XXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXX XXXX XXX XXXXX XXXXXX XXXXXX XXXXXX XXXX XXXX XXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXXXXXX (XXX \u003ca href=\"#g8-2\"\u003e8.2\u003c/a\u003e), XXXXX XXX XXXXXXXXXXX XXXXXXXXXXXX (XXX \u003ca href=\"#g18-1\"\u003e18.1\u003c/a\u003e) XXX XXX XXXXXXXXXXXXX XXXXX XXX XXXXXXXX XXXXXXX XX XXX XXXXXXXXXXXX. XXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXXXXXXX, X.X. XX XXXXX XX XX XXXXXXXXXX XXXXXXX XXXXX, XXXXXX XX XXXXXX XXXX (XXXXXXX XX X XXXX XX XXXXXXX XX XXXXX XXXXX XX XXXXXXXX XXXXXXXXX) XXXX XXX XXXXXXXX, XXXXXXXXXX XXXX XXX XXXXXX XX XXXXXXX.\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXX XXXXXXXXX XXXXXX XX XXXX XXXXXX XXX XX XXXXXXXXX XXXX X XXXXXX XXX XXXXXXXX XXXXXXX XXXXXXXXX XXXXXXXXXX XX X XXXXXXXX, XXXXX XX XXXXXXX XXXX XXXXXXXXXXXXXX XXXXXXXXX XXXX XXXXXXXXXX XXX XXXXXX XX XXXXXXXXX XX XXX XXXXX, XXXXXXXXX XX XXXXX XXXXXXXX XXXX XXX XX XXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXX XX XXXXXXXXXXXX XXX XXXXX XXXXXXXXXXXX XXXXXXXXXX (X.X. XXXXXXXX, XXXXXXX XXXXXXX) XXXXXX XX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXXXXXX XXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXXX XXXXXXXX XXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eX XXXXX XXXX/XXXXX XXXXXX XXXXXX XXXXXXX XXX XXXXX XX XXXXXXXXXXXX XXXXXX, XXXX XX XXX XXXXXX XX XXXXXXXXXXX XXXXXX XXX XXXXXXX XXXXXX XXXXXXX XXXXX. XXXXX XX XXXXX XXXXX XX XXXXXX XXXXXXX XXXXXXXXXX XXXXX XXXX XXXXXXX XXXXXXXXXXX XXXXXX XXXXXXX XXXXXXX XXXXXXXXX XXXX XX X XXXX, XXXXXXXXXX, XXXXX XX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXX XXX XXX XX XXXXXXXX XXXX XXX XXXX XXXXXXXX, XX XXX XXXXXXXXXXX XXX XXX XXXX XXXX XXX XXX XXX XXXXX XXXXX-XXXX XXX XXXX XXXX XXXXXXXX XXXX XX XXX XXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "control-category", + "id": "g12", + "title": "Operations security", + "props": [ + { + "class": "number", + "value": "12" + } + ], + "groups": [ + { + "class": "clause", + "id": "g12-1", + "title": "Operational procedures and responsibilities", + "props": [ + { + "class": "number", + "value": "12.1" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXXXXXX XXX XXXXXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c12-1-1", + "title": "Documented operating procedures", + "props": [ + { + "class": "number", + "value": "12.1.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXX XXXXXXXXX XX XXX XXXXX XXX XXXX XXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX, XXXX XX XXXXXXXX XXXXX-XX XXX XXXXX-XXXX XXXXXXXXXX, XXXXXX, XXXXXXXXX XXXXXXXXXXX, XXXXX XXXXXXXX, XXXXXXXX XXXX XXX XXXX XXXXXXXX XXXXXXXXXX XXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXXX, XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXXXXXXXXX XXX XXXXXXXXXXXXX XX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XXXX XXXXXXXXX XXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX (XXX \u003ca href=\"#g12-3\"\u003e12.3\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXXXXXXXX, XXXXXXXXX XXXXXXXXXXXXXXXXX XXXX XXXXX XXXXXXX, XXXXXXXX XXX XXXXX XXX XXXXXX XXX XXXXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXX XXXXXXXX XXXXXX XX XXXXX XXXXXXXXXXX XXXXXXXXXX, XXXXX XXXXX XXXXX XXXXXX XXX XXXXXXXXX, XXXXXXXXX XXXXXXXXXXXX XX XXX XXX XX XXXXXX XXXXXXXXX (XXX \u003ca href=\"#c9-4-4\"\u003e9.4.4\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXX XXX XXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXXXX XXXXXXX XXXXXXXX XX XXX XXXXX XX XXXXXXXXXX XXXXXXXXXXX XX XXXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXX XXX XXXXX XXXXXXXX XXXXXXXXXXXX, XXXX XX XXX XXX XX XXXXXXX XXXXXXXXXX XX XXX XXXXXXXXXX XX XXXXXXXXXXXX XXXXXX XXXXXXXXX XXXXXXXXXX XXX XXXXXX XXXXXXXX XX XXXXXX XXXX XXXXXX XXXX (XXX \u003ca href=\"#g8-3\"\u003e8.3\u003c/a\u003e XXX \u003ca href=\"#c11-2-7\"\u003e11.2.7\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXX XXX XXXXXXXX XXXXXXXXXX XXX XXX XX XXX XXXXX XX XXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXX XX XXXXX-XXXXX XXX XXXXXX XXX XXXXXXXXXXX (XXX \u003ca href=\"#g12-4\"\u003e12.4\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXXXXX XXXXXXXXXX XXX XXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXX XXXXXXXXX XXX XXXXXXX XXXXXXXXXX XX XXXXXXXXXX. XXXXX XXXXXXXXXXX XXXXXXXX, XXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXX XXXXXXXXXXXX, XXXXX XXX XXXX XXXXXXXXXX, XXXXX XXX XXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c12-1-2", + "title": "Change management", + "props": [ + { + "class": "number", + "value": "12.1.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXX XX XXX XXXXXXXXXXXX, XXXXXXXX XXXXXXXXX, XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXX XXXX XXXXXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXX XXXXXXXXXX, XXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXXXXX XXX XXXXXXXXX XX XXXXXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXXXXXX XX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX XXX XXXXXXXXX XXXXXXX, XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXX, XX XXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXXX XXXX XXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXX XX XXXXXX XXXXXXX XX XXX XXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXX-XXXX XXXXXXXXXX, XXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXX XXXX XXXXXXXXXXXX XXXXXXX XXX XXXXXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XX XX XXXXXXXXX XXXXXX XXXXXXX XX XXXXXX XXXXX XXX XXXXXXXXXX XXXXXXXXXXXXXX XX XXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXX (XXX \u003ca href=\"#g16-1\"\u003e16.1\u003c/a\u003e).\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXX XXXXXXXXXX XXXXXXXXXXXXXXXX XXX XXXXXXXXXX XXXXXX XX XX XXXXX XX XXXXXX XXXXXXXXXXXX XXXXXXX XX XXX XXXXXXX. XXXX XXXXXXX XXX XXXX, XX XXXXX XXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXXX XX XXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXX XX X XXXXXX XXXXX XX XXXXXX XX XXXXXXXX XXXXXXXX. XXXXXXX XX XXX XXXXXXXXXXX XXXXXXXXXXX, XXXXXXXXXX XXXX XXXXXXXXXXXX X XXXXXX XXXX XXXXXXXXXXX XX XXXXXXXXXXX XXXXX, XXX XXXXXX XX XXX XXXXXXXXXXX XX XXXXXXXXXXXX (XXX \u003ca href=\"#c14-2-2\"\u003e14.2.2\u003c/a\u003e).\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c12-1-3", + "title": "Capacity management", + "props": [ + { + "class": "number", + "value": "12.1.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXX XX XXXXXXXXX XXXXXX XX XXXXXXXXX, XXXXX XXX XXXXXXXXXXX XXXX XX XXXXXX XXXXXXXX XXXXXXXXXXXX XX XXXXXX XXX XXXXXXXX XXXXXX XXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXX, XXXXXX XXXX XXXXXXX XXX XXXXXXXX XXXXXXXXXXX XX XXX XXXXXXXXX XXXXXX. XXXXXX XXXXXX XXX XXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXX XXX, XXXXX XXXXXXXXX, XXXXXXX XXX XXXXXXXXXXXX XXX XXXXXXXXXX XX XXXXXXX. XXXXXXXXX XXXXXXXX XXXXXX XX XXX XX XXXXX XX XXXXXXXX XXXXXXXX XX XXX XXXX. XXXXXXXXXXX XX XXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXX XXXX XXXXXXX XX XXX XXXXXXXX XXX XXXXXX XXXXXXXXXXXX XXX XXXXXXX XXX XXXXXXXXX XXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXX XXXXXXXXX XXXXX XX XX XXXX XX XXX XXXXXXXXX XXXX XXXX XXXXXXXXXXX XXXX XXXXX XX XXXX XXXXX; XXXXXXXXX XXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXXXX XX XXX XXXXXX XXXXXXXXX. XXXX XXXXXX XXXXXXXX XXXXXX XX XXXXX, XXXXXXXXXXXX XX XXXXXXXX XX XXXXXXXX XXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXX XXXXXXXXXX XXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXX XXXXXX XXX XXXX XXXXXXXXXXX XX XXXXXXXX XXX XXXXX XXXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXX XX XXX XXXXXXXXX XXXX XXXXX XXXXXXX X XXXXXX XX XXXXXX XXXXXXXX XX XXXXXXXX, XXX XXXX XXXXXXXXXXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXX XXXXXXXXXX XXXXXXXX XXX XX XXXXXXXX XX XXXXXXXXXX XXXXXXXX XX XX XXXXXXXX XXXXXX. XXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXX XXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXX XX XXXXXXXX XXXX (XXXX XXXXX);\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXXXX XX XXXXXXXXXXXX, XXXXXXX, XXXXXXXXX XX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXX XXXXXXXXX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXXXXXXX XXXXX XX XXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXX XXXXXXXX-XXXXXX XXXXXXXX XX XXXXX XXX XXX XXXXXXXX XXXXXXXX (X.X. XXXXX XXXXXXXXX).\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eX XXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXX XXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXX XXXXXXX XXXX XXXXXXXXX XXX XXXXXXXX XX XXX XXXXX XXXXXXXXX, XX XXXX XX XXXXXXX XXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c12-1-4", + "title": "Separation of development, testing and operational environments", + "props": [ + { + "class": "number", + "value": "12.1.4" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX, XXXXXXX, XXX XXXXXXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXX XXX XXXXX XX XXXXXXXXXXXX XXXXXX XX XXXXXXX XX XXX XXXXXXXXXXX XXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXX XX XXXXXXXXXX XXXXXXX XXXXXXXXXXX, XXXXXXX, XXX XXXXXXXXXXX XXXXXXXXXXXX XXXX XX XXXXXXXXX XX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXX XXX XXX XXXXXXXX XX XXXXXXXX XXXX XXXXXXXXXXX XX XXXXXXXXXXX XXXXXX XXXXXX XX XXXXXXX XXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XXX XX XXXXXXXXX XXXXXXX XX XXXXXXXX XXXXXXXXXX XXX XX XXXXXXXXX XXXXXXX XX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXXXXXXXXX XXXXXXX XXX XXXXXXXXXXXX XXXXXX XX XXXXXX XX X XXXXXXX XX XXXXXXX XXXXXXXXXXX XXXXX XX XXXXX XXXXXXX XX XXXXXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXX XX XXXXXXXXXXX XXXXXXXXXXXXX, XXXXXXX XXXXXX XXX XX XXXX XX XXXXXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX, XXXXXXX XXX XXXXX XXXXXXXXXXX XXXXX XX XXXXXX XXXXXXXXX XXXXXX XXX XX XXXXXXXXXX XXXX XXXXXXXXXXX XXXXXXX XXXX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXX XXX XXXXXXXXX XXXX XXXXXXXX XXX XXXXXXXXXXX XXX XXXXXXX XXXXXXX, XXX XXXXX XXXXXX XXXXXXX XXXXXXXXXXX XXXXXXXXXXXXXX XXXXXXXX XX XXXXXX XXX XXXX XX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXX XXXXXX XXX XX XXXXXX XXXX XXX XXXXXXX XXXXXX XXXXXXXXXXX XXXXXX XXXXXXXXXX XXXXXXXX XXX XXXXXXXX XXX XXX XXXXXXX XXXXXX (XXX \u003ca href=\"#g14-3\"\u003e14.3\u003c/a\u003e).\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXX XXXXXXX XXXXXXXXXX XXX XXXXX XXXXXXX XXXXXXXX, X.X. XXXXXXXX XXXXXXXXXXXX XX XXXXX XX XXXXXX XXXXXXXXXXX XX XXXXXX XXXXXXX. XXXXX XX X XXXX XX XXXXXXXX X XXXXX XXX XXXXXX XXXXXXXXXXX XX XXXXX XX XXXXXXX XXXXXXXXXX XXXXXXX XXX XX XXXXXXX XXXXXXXXXXXXX XXXXXXXXX XXXXXX XX XXX XXXXXXXXXXX XXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXX XXXXXXXXXXX XXX XXXXXXX XXXXXXXXX XXXX XXXXXX XX XXX XXXXXXXXXXX XXXXXX XXX XXX XXXXXXXXXXX, XXXX XXX XX XXXX XX XXXXXXXXX XXXXXXXXXXXX XXX XXXXXXXX XXXX XX XXXXX XXXXXXXXXXX XXXX. XX XXXX XXXXXXX XXXX XXXXXXXXXX XXXXX XX XXXXXXX XX XXXXXX XXXXX XX XXXXXXXXX XXXXXXXX XX XXXXXXXXX XXXX, XXXXX XXX XXXXX XXXXXXX XXXXXXXXXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XXX XXXXXXX XXXXXXXXX XXXX XXXX X XXXXXX XX XXX XXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX. XXXXXXXXXXX XXX XXXXXXX XXXXXXXXXX XXX XXXXX XXXXXXXXXX XXXXXXX XX XXXXXXXX XX XXXXXXXXXXX XX XXXX XXXXX XXX XXXX XXXXXXXXX XXXXXXXXXXX. XXXXXXXXXX XXXXXXXXXXX, XXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXXX XX XXXXXXXXX XXXXXXXXX XX XXXXXX XXX XXXX XX XXXXXXXXXX XXXXXX XX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXXXXXXX XXX XXXXXXXX XXXX (XXX \u003ca href=\"#g14-3\"\u003e14.3\u003c/a\u003e XXX XXX XXXXXXXXXX XX XXXX XXXX).\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g12-2", + "title": "Protection from malware", + "props": [ + { + "class": "number", + "value": "12.2" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXX XXXXXXX XXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c12-2-1", + "title": "Controls against malware", + "props": [ + { + "class": "number", + "value": "12.2.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXX, XXXXXXXXXX XXX XXXXXXXX XXXXXXXX XX XXXXXXX XXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXXX, XXXXXXXX XXXX XXXXXXXXXXX XXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXXX XXXXXXX XXXXXX XX XXXXX XX XXXXXXX XXXXXXXXX XXX XXXXXX XXXXXXXX, XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXXXXX XXXXXX XXXXXX XXX XXXXXX XXXXXXXXXX XXXXXXXX. XXX XXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXXX X XXXXXX XXXXXX XXXXXXXXXXX XXX XXX XX XXXXXXXXXXXX XXXXXXXX (XXX \u003ca href=\"#c12-6-2\"\u003e12.6.2\u003c/a\u003e XXX \u003ca href=\"#g14-2\"\u003e14.2\u003c/a\u003e.);\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXXXXXX XXXX XXXXXXX XX XXXXXX XXX XXX XX XXXXXXXXXXXX XXXXXXXX (X.X. XXXXXXXXXXX XXXXXXXXXXXX);\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXXXXXX XXXX XXXXXXX XX XXXXXX XXX XXX XX XXXXX XX XXXXXXXXX XXXXXXXXX XXXXXXXX (X.X. XXXXXXXXXXXX);\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX X XXXXXX XXXXXX XX XXXXXXX XXXXXXX XXXXX XXXXXXXXXX XXXX XXXXXXXXX XXXXX XXX XXXXXXXX XXXXXX XXXX XX XXX XXXXXXXX XXXXXXXX XX XX XXX XXXXX XXXXXX, XXXXXXXXXX XXXX XXXXXXXXXX XXXXXXXX XXXXXX XX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXXXXXXX XXXX XXXXX XX XXXXXXXXX XX XXXXXXX, X.X. XXXXXXX XXXXXXXXX XXXXXXXXXXXXX XXXXXXXXXX (XXX \u003ca href=\"#g12-6\"\u003e12.6\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXXX XXXXXXX XX XXX XXXXXXXX XXX XXXX XXXXXXX XX XXXXXXX XXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXX; XXX XXXXXXXX XX XXX XXXXXXXXXX XXXXX XX XXXXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXX XXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX XXX XXXXXX XXXXXXXX XX XXXX XXXXXXXXX XXX XXXXX XX X XXXXXXXXXXXXX XXXXXXX, XX XX X XXXXXXX XXXXX; XXX XXXX XXXXXXX XXX XXXXXX XXXXXXX:\u003col\u003e \u003cli\u003eXXXX XXX XXXXX XXXXXXXX XXXX XXXXXXXX XX XXX XXX XXXX XX XXXXXXX XXXXXX, XXX XXXXXXX XXXXXX XXX;\u003c/li\u003e \u003cli\u003eXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXX XXXXXXXXX XXX XXXXXXX XXXXXX XXX; XXXX XXXX XXXXXX XX XXXXXXX XXX XX XXXXXXXXX XXXXXX, X.X. XX XXXXXXXXXX XXXX XXXXXXX, XXXX XXX XXXXXXXXX XXX XXXX XXXXXXXX XXX XXXXXXX XX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXX XXX XXXXX XXX XXXXXXX;\u003c/li\u003e \u003c/ol\u003e \u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXXXXXX XX XXXX XXXX XXXXXXX XXXXXXXXXX XX XXXXXXX, XXXXXXXX XX XXXXX XXX, XXXXXXXXX XXX XXXXXXXXXX XXXX XXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXX XXX XXXXXXXXXX XXXX XXXXXXX XXXXXXX, XXXXXXXXX XXX XXXXXXXXX XXXX XXX XXXXXXXX XXXXXX XXX XXXXXXXX XXXXXXXXXXXX (XXX \u003ca href=\"#g12-3\"\u003e12.3\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXXXXXXXX XX XXXXXXXXX XXXXXXX XXXXXXXXXXX, XXXX XX XXXXXXXXXXX XX XXXXXXX XXXXX XX XXXXXXXXX XXXXXXXX XXXXXX XXXXXXXXXXX XXXXX XXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXXXXXXXX XX XXXXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXX, XXX XXXXXX XXXX XXXXXXX XXXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXXX; XXXXXXXX XXXXXX XXXXXX XXXX XXXXXXXXX XXXXXXX, X.X. XXXXXXXXX XXXXXXXX, XXXXXXXX XXXXXXXX XXXXX XX XXXXXXXXX XXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXX XXXXXXX, XXX XXXX XX XXXXXXXXXXXXX XXXXXXX XXXXXX XXX XXXX XXXXXXX; XXX XXXXX XXXXXX XX XXXX XXXXX XX XXX XXXXXXX XX XXXXXX XXX XXXX XX XX XX XXXXXXX XX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXXXX XXXXX XXXXXXXXXXXX XXXXXXX XXX XXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX XXX XX XXX XX XXXX XXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXX XXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXXX XXXX XXXXXXXXX XXXXXXX XXX XXXXXXXXXX XXX XXXXXXX XXX XXXXXXXXXXXXX XX XXXXXXX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXX XXXXXX XX XXXXX XX XXXXXXX XXXXXXX XXX XXXXXXXXXXXX XX XXXXXXX XXXXXX XXXXXXXXXXX XXX XXXXXXXXX XXXXXXXXXX, XXXXX XXX XXXXXX XXXXXX XXXXXXX XXXXXXXXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXX XXXXXXX XXXXXXXXXX, XXXXXXX XXXXXXXXXX XXXXX XXXXX XXXXXXXXXXX XXXXXX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XX XXXXXXX XXXXXXXXX XXX XXXXXX XXXXXXXX XXXXX XX X XXXXXXX XXXXXXX XX XXX XXXXXXX XXXXXXXX XXX XXXXXXXX XXXXX XX XX XXXXXXXXXXX XX XXXXXXXXX XXXXXXXXXX XXXX XXXXXXX XXXXXXXXXXXX XX XXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g12-3", + "title": "Backup", + "props": [ + { + "class": "number", + "value": "12.3" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXXX XXXXXXX XXXX XX XXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c12-3-1", + "title": "Information backup", + "props": [ + { + "class": "number", + "value": "12.3.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXX XXXXXX XX XXXXXXXXXXX, XXXXXXXX XXX XXXXXX XXXXXX XXXXXX XX XXXXX XXX XXXXXX XXXXXXXXX XX XXXXXXXXXX XXXX XX XXXXXX XXXXXX XXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eX XXXXXX XXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXXX XXX XXXXXX XX XXXXXXXXXXX, XXXXXXXX XXX XXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXX XXXXXX XXXXXX XXXXXX XXX XXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXX XXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXX XXXX XXX XXXXXXXXX XXXXXXXXXXX XXX XXXXXXXX XXX XX XXXXXXXXX XXXXXXXXX X XXXXXXXX XX XXXXX XXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXX XXXXXXXXX X XXXXXX XXXX, XXX XXXXXXXXX XXXXX XXXXXX XX XXXXX XXXX XXXXXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXX XXX XXXXXXXX XXXXXXX XX XXX XXXXXX XXXXXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXX (X.X. XXXX XX XXXXXXXXXXXX XXXXXX) XXX XXXXXXXXX XX XXXXXXX XXXXXX XXXXXXX XXX XXXXXXXX XXXXXXXXXXXX XX XXX XXXXXXXXXXXX, XXX XXXXXXXX XXXXXXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXX XXX XXX XXXXXXXXXXX XX XXX XXXXXXXXXXX XX XXX XXXXXXXXX XXXXXXXXX XX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXX XXXXXX XX XXXXXX XX X XXXXXX XXXXXXXX, XX X XXXXXXXXXX XXXXXXXX XX XXXXXX XXX XXXXXX XXXX X XXXXXXXX XX XXX XXXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXXXXX XXXXXX XX XXXXX XX XXXXXXXXXXX XXXXX XX XXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX (XXX \u003ca\u003eClause 11\u003c/a\u003e) XXXXXXXXXX XXXX XXX XXXXXXXXX XXXXXXX XX XXX XXXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXX XXXXXX XX XXXXXXXXX XXXXXX XX XXXXXX XXXX XXXX XXX XX XXXXXX XXXX XXX XXXXXXXXX XXX XXXX XXXXXXXXX; XXXX XXXXXX XX XXXXXXXX XXXX X XXXX XX XXX XXXXXXXXXXX XXXXXXXXXX XXX XXXXXXX XXXXXXX XXX XXXXXXXXXXX XXXX XXXXXXXX. XXXXXXX XXX XXXXXXX XX XXXXXXX XXXXXX-XX XXXX XXXXXX XX XXXXXXXXX XXXX XXXXXXXXX XXXX XXXXX, XXX XX XXXXXXXXXXX XXX XXXXXXXX XXXXX XX XXXX XXX XXXXXX XX XXXXXXXXXXX XXXXXXX XXXXX XXX XXXXXX XXXXXXXXXXX XXXX XXXXXX XX XXXX;\u003c/li\u003e \u003cli\u003eXX XXXXXXXXXX XXXXX XXXXXXXXXXXXXXX XX XX XXXXXXXXXX, XXXXXXX XXXXXX XX XXXXXXXXX XX XXXXX XX XXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXXXXXXX XXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXX XX XXXXXXX XXX XXXXXXX XXXXXXXX XX XXXXXXXXX XXXXXXX XX XXXXXX XXXXXXXXXXXX XX XXXXXXX XXXXXXXXX XX XXX XXXXXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXX XXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXXX XXXXXX XX XXXXXX XXXX XXXX XXXX XXX XXXXXXXXXXXX XX XXXXXXXX XXXXXXXXXX XXXXX. XX XXX XXXX XX XXXXXXXX XXXXXXX XXX XXXXXXXX, XXXXXX XXXXXXXXXXXX XXXXXX XXXXX XXX XXXXXXX XXXXXXXXXXX, XXXXXXXXXXXX XXX XXXX XXXXXXXXX XX XXXXXXX XXX XXXXXXXX XXXXXX XX XXX XXXXX XX X XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXX XXXXXX XXX XXXXXXXXX XXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX, XXXXXX XXXX XXXXXXX XXX XXXXXXXXXXX XXX XXXXXXX XXXXXX XX XX XXXXXXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g12-4", + "title": "Logging and monitoring", + "props": [ + { + "class": "number", + "value": "12.4" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXXXXX XXX XXXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c12-4-1", + "title": "Event logging", + "props": [ + { + "class": "number", + "value": "12.4.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXX XXXX XXXXXXXXX XXXX XXXXXXXXXX, XXXXXXXXXX, XXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XXXXXX XX XXXXXXXX, XXXX XXX XXXXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXX XXXX XXXXXX XXXXXXX, XXXX XXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXX XXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX, XXXXX XXX XXXXXXX XX XXX XXXXXX, X.X. XXX-XX XXX XXX-XXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXX XX XXXXXXXX XX XXXXXXXX XXX XXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXXXXXXXX XXX XXXXXXXX XXXXXX XXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXXXXXXXX XXX XXXXXXXX XXXX XXX XXXXX XXXXXXXX XXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXXXX XXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XX XXXXXX XXXXXXXXX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXXXX XXX XXX XXXX XX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXXX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXX XX XXX XXXXXX XXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX XX-XXXXXXXXXX XX XXXXXXXXXX XXXXXXX, XXXX XX XXXX-XXXXX XXXXXXX XXX XXXXXXXXX XXXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXXXXXXXXXX XXXXXXXX XX XXXXX XX XXXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXX XXXXXXX XXXX XXX XXXXXXXXXX XXX XXXXXXXXX XXXXXXXXXX XXXXXXX XXXXX XXX XXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXX XXX XXXXXX XX XXXXXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXX XXXX XXX XXXXXXX XXXXXXXXX XXXX XXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX. XXXXXXXXXXX XXXXXXX XXXXXXXXXX XXXXXXXX XXXXXX XX XXXXX (XXX \u003ca href=\"#c18-1-4\"\u003e18.1.4\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXXXXX XXXXXXXX, XXXXXX XXXXXXXXXXXXXX XXXXXX XXX XXXX XXXXXXXXXX XX XXXXX XX XX-XXXXXXXX XXXX XX XXXXX XXX XXXXXXXXXX (XXX \u003ca href=\"#c12-4-3\"\u003e12.4.3\u003c/a\u003e).\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c12-4-2", + "title": "Protection of log information", + "props": [ + { + "class": "number", + "value": "12.4.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXX XXXXXXXXXX XXX XXX XXXXXXXXXXX XXXXXX XX XXXXXXXXX XXXXXXX XXXXXXXXX XXX XXXXXXXXXXXX XXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXX XXX XX XXXXXXX XXXXXXX XXXXXXXXXXXX XXXXXXX XX XXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXX XXX XXXXXXX XXXXXXXX XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXX XX XXX XXXXXXX XXXXX XXXX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXX XXXXX XXXXXX XX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXX XX XXX XXX XXXX XXXXX XXXXX XXXXXXXX, XXXXXXXXX XX XXXXXX XXX XXXXXXX XX XXXXXX XXXXXX XX XXXX-XXXXXXX XX XXXX XXXXXXXX XXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXX XXXXX XXXX XXX XX XXXXXXXX XX XX XXXXXXXX XX XXXX XX XXX XXXXXX XXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXXXXXX XX XXXXXXX XXX XXXXXX XXXXXXXX (XXX \u003ca href=\"#c16-1-7\"\u003e16.1.7\u003c/a\u003e).\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXX XXXX XXXXX XXXXXXX X XXXXX XXXXXX XX XXXXXXXXXXX, XXXX XX XXXXX XX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX. XX XXXX XXXXXXXX XXXXXXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXX, XXX XXXXXXX XX XXXXXXXXXXX XXXXXXX XXXXX XXXXXXXXXXXXX XX X XXXXXX XXX, XX XXX XXX XX XXXXXXXX XXXXXX XXXXXXXXX XX XXXXX XXXXX XX XXXXXXX XXXX XXXXXXXXXXXXX XXX XXXXXXXXXXXXXXX XXXXXX XX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXX XXXX XXXX XX XX XXXXXXXXX, XXXXXXX XX XXX XXXX XXX XX XXXXXXXX XX XXXX XX XXXX XXXXXXX, XXXXX XXXXXXXXX XXX XXXXXX X XXXXX XXXXX XX XXXXXXXX. XXXX-XXXX XXXXXXX XX XXXX XX X XXXXXX XXXXXXX XXX XXXXXXX XX X XXXXXX XXXXXXXXXXXXX XX XXXXXXXX XXX XX XXXX XX XXXXXXXXX XXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c12-4-3", + "title": "Administrator and operator logs", + "props": [ + { + "class": "number", + "value": "12.4.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXX XXXXXXXXXXXXX XXX XXXXXX XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXX XXX XXX XXXX XXXXXXXXX XXX XXXXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXX XXXXXXX XXXXXXX XXX XX XXXX XX XXXXXXXXXX XXX XXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXX XXXXX XXXXXX XXXXXXX, XXXXXXXXX XX XX XXXXXXXXX XX XXXXXXX XXX XXXXXX XXX XXXX XX XXXXXXXX XXXXXXXXXXXXXX XXX XXX XXXXXXXXXX XXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXX XXXXXXXXX XXXXXXXXX XXXXXX XXXXXXX XXXXXXX XX XXX XXXXXXX XX XXXXXX XXX XXXXXXX XXXXXXXXXXXXXX XXX XX XXXX XX XXXXXXX XXXXXX XXX XXXXXXX XXXXXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c12-4-4", + "title": "Clock synchronisation", + "props": [ + { + "class": "number", + "value": "12.4.4" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXX XX XXX XXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXXXX XX XXXXXXXX XXXXXX XXXXXX XX XXXXXXXXXXXX XX X XXXXXX XXXXXXXXX XXXX XXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXX XXX XXXXXXXX XXXXXXXXXXXX XXX XXXX XXXXXXXXXXXXXX, XXXXXXXXXXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXXXX. XXXX XXXXXXXXXXXX XXX XX XXXXX, XXXXXXXXXX, XXXXXXXXXXX XXXXXXXXXXXX, XXXXXXXXX XXXXXXXXXX XX XXXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX. X XXXXXXXX XXXXXXXXX XXXX XXX XXX XXXXXX XXX XXXXXXXXXXXX XXXXXX XX XXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXXXXX’X XXXXXXXX XX XXXXXXXXX X XXXXXXXXX XXXX XXXX XXXXXXXX XXXXXX(X) XXX XXX XX XXXXXXXXXXX XXXXXXXX XXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX XXXXXXX XXXXXXX XX XXXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXX XXX XXXXXXXX XX XXXXX XXXX, XXXXX XXX XX XXXXXXXX XXX XXXXXXXXXXXXXX XX XX XXXXXXXX XX XXXXX XX XXXXXXXXXXXX XXXXX. XXXXXXXXXX XXXXX XXXX XXX XXXXXX XXXX XXXXXXXXXXXXXX XXX XXXXXX XXX XXXXXXXXXXX XX XXXX XXXXXXXX. X XXXXX XXXXXX XX X XXXXX XXXX XXXXXXXXX XXXX X XXXXXXXX XXXXXX XXXXX XXX XX XXXX XX XXX XXXXXX XXXXX XXX XXXXXXX XXXXXXX. X XXXXXXX XXXX XXXXXXXX XXX XX XXXX XX XXXX XXX XX XXX XXXXXXX XX XXXXXXXXXXXXXXX XXXX XXX XXXXXX XXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g12-5", + "title": "Control of operational software", + "props": [ + { + "class": "number", + "value": "12.5" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXX XXXXXXXXX XX XXXXXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c12-5-1", + "title": "Installation of software on operational systems", + "props": [ + { + "class": "number", + "value": "12.5.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXX XX XXXXXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXX XXXXXXX XX XXXXXXXX XX XXXXXXXXXXX XXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXX, XXXXXXXXXXXX XXX XXXXXXX XXXXXXXXX XXXXXX XXXX XX XXXXXXXXX XX XXXXXXX XXXXXXXXXXXXXX XXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXXXXX (XXX \u003ca href=\"#c9-4-5\"\u003e9.4.5\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXX XXXXXX XXXX XXXX XXXXXXXX XXXXXXXXXX XXXX XXX XXX XXXXXXXXXXX XXXX XX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXX XXXXXXXXX XXXXXX XXXXXXXX XXXXXX XXXX XX XXXXXXXXXXX XXXXX XXXXXXXXX XXX XXXXXXXXXX XXXXXXX; XXX XXXXX XXXXXX XXXXX XXXXXXXXX, XXXXXXXX, XXXXXXX XX XXXXX XXXXXXX XXX XXXX-XXXXXXXXXXXX XXX XXXXXX XX XXXXXXX XXX XX XXXXXXXX XXXXXXX (XXX \u003ca href=\"#c12-1-4\"\u003e12.1.4\u003c/a\u003e); XX XXXXXX XX XXXXXXX XXXX XXX XXXXXXXXXXXXX XXXXXXX XXXXXX XXXXXXXXX XXXX XXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eX XXXXXXXXXXXXX XXXXXXX XXXXXX XXXXXX XX XXXX XX XXXX XXXXXXX XX XXX XXXXXXXXXXX XXXXXXXX XX XXXX XX XXX XXXXXX XXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eX XXXXXXXX XXXXXXXX XXXXXX XX XX XXXXX XXXXXX XXXXXXX XXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXX XXXXX XXX XXXXXX XX XXXXXXXXXX XX XXX XXXXXXX XX XXXXXXXXXXX XXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXX XX X XXXXXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXX XX XXXXXXXX XXXXXX XX XXXXXXXX, XXXXXXXX XXXX XXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXX, XXXXXXXXXX, XXXXXXXXXXXXX XXXXXXX XXX XXXXXXXXXX XXXXXXXX XXX XX XXXX XX XXX XXXX XXX XXXXXXXX XX XXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXX XXXXXXXX XXXXXXXX XXXX XX XXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXX XX X XXXXX XXXXXXXXX XX XXX XXXXXXXX. XXXX XXXX, XXXXXXXX XXXXXXX XXXX XXXXX XX XXXXXXX XXXXX XXXXXXXX XX XXXXXXXX. XXX XXXXXXXXXXXX XXXXXX XXXXXXXX XXX XXXXX XX XXXXXXX XX XXXXXXXXXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXX XX XXXXXXX XX X XXX XXXXXXX XXXXXX XXXX XXXX XXXXXXX XXX XXXXXXXX XXXXXXXXXXXX XXX XXX XXXXXX XXX XXX XXXXXXXX XX XXX XXXXXXX, X.X. XXX XXXXXXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXXX XX XXX XXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXX XXXX XXXXXXX. XXXXXXXX XXXXXXX XXXXXX XX XXXXXXX XXXX XXXX XXX XXXX XX XXXXXX XX XXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX (XXX \u003ca href=\"#g12-6\"\u003e12.6\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXXXXXXXX XX XXXXXXX XXXXXX XXXXXX XXXX XX XXXXX XX XXXXXXXXX XXX XXXXXXX XXXXXXXX XXXX XXXXXXXXX XXX XXXX XXXXXXXXXX XXXXXXXX. XXX XXXXXXXX’X XXXXXXXXXX XXXXXX XX XXXXXXXXX (XXX \u003ca href=\"#c15-2-1\"\u003e15.2.1\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXXXXXXXX XXXXXXXX XXX XXXX XX XXXXXXXXXX XXXXXXXX XXXXXXXX XXX XXXXXXX, XXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXX XX XXXXX XXXXXXXXXXXX XXXXXXX, XXXXX XXXXX XXXXXXXXX XXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g12-6", + "title": "Technical vulnerability management", + "props": [ + { + "class": "number", + "value": "12.6" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXXX XXXXXXXXXXXX XX XXXXXXXXX XXXXXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c12-6-1", + "title": "Management of technical vulnerabilities", + "props": [ + { + "class": "number", + "value": "12.6.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXX XXXXXXXXX XXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXX XXXXX XXXX XXXXXX XX XXXXXXXX XX X XXXXXX XXXXXXX, XXX XXXXXXXXXXXX’X XXXXXXXX XX XXXX XXXXXXXXXXXXXXX XXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXX XX XXXXXXX XXX XXXXXXXXXX XXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eX XXXXXXX XXX XXXXXXXX XXXXXXXXX XX XXXXXX (XXX \u003ca\u003eClause 8\u003c/a\u003e) XX X XXXXXXXXXXXX XXX XXXXXXXXX XXXXXXXXX XXXXXXXXXXXXX XXXXXXXXXX. XXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXXX XXX XXXXXXXX XXXXXX, XXXXXXX XXXXXXX, XXXXXXX XXXXX XX XXXXXXXXXX (X.X. XXXX XXXXXXXX XX XXXXXXXXX XX XXXX XXXXXXX) XXX XXX XXXXXX(X) XXXXXX XXX XXXXXXXXXXXX XXXXXXXXXXX XXX XXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XXX XXXXXX XXXXXX XXXXXX XX XXXXX XX XXXXXXXX XX XXX XXXXXXXXXXXXXX XX XXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXX. XXX XXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXXXXX XX XXXXXXXXX XXXXXXXXXX XXXXXXX XXX XXXXXXXXX XXXXXXXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXXXXXXXXX XXXXXX XXXXXX XXX XXXXXXXXX XXX XXXXX XXX XXXXXXXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXX XXXXXXXXXXXXX XXXXXXXXXX, XXXXXXXXX XXXXXXXXXXXXX XXXXXXXXXX, XXXXXXXXXXXXX XXXX XXXXXXXXXX, XXXXXXXX, XXXXX XXXXXXXX XXX XXX XXXXXXXXXXXX XXXXXXXXXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXXX XXXX XXXX XX XXXX XX XXXXXXXX XXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXX XXX XX XXXXXXXX XXXXXXXXX XXXXX XXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXX XXX XXXXX XXXXXXXXXX (XXXXX XX XXX XXXXX XXXXXXXXX XXXX, XXX \u003ca href=\"#c8-1-1\"\u003e8.1.1\u003c/a\u003e); XXXXX XXXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXX XXXXX XX XXXXXXX XX XXX XXXXXXXXX XX XXXX XXXXX XXX XX XXXXXX XXXXXXXXX XXX XXXXX;\u003c/li\u003e \u003cli\u003eX XXXXXXXX XXXXXX XX XXXXXXX XX XXXXX XX XXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXX X XXXXXXXXX XXXXXXXXX XXXXXXXXXXXXX XXX XXXX XXXXXXXXXX, XXX XXXXXXXXXXXX XXXXXX XXXXXXXX XXX XXXXXXXXXX XXXXX XXX XXX XXXXXXX XX XX XXXXX; XXXX XXXXXX XXXXX XXXXXXX XXXXXXXX XX XXXXXXXXXX XXXXXXX XX XXXXXXXX XXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XX XXX XXXXXXXX X XXXXXXXXX XXXXXXXXXXXXX XXXXX XX XX XXXXXXXXX, XXX XXXXXX XXXXX XXXXXX XX XXXXXXX XXX XXXXXXXXX XX XXX XXXXXXXX XXXXXXX XX XXXXXX XXXXXXXXXX (XXX \u003ca href=\"#c12-1-2\"\u003e12.1.2\u003c/a\u003e) XX XX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXXX (XXX \u003ca href=\"#c16-1-5\"\u003e16.1.5\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXX X XXXXX XX XXXXXXXXX XXXX X XXXXXXXXXX XXXXXX, XXX XXXXX XXXXXXXXXX XXXX XXXXXXXXXX XXX XXXXX XXXXXX XX XXXXXXXX (XXX XXXXX XXXXX XX XXX XXXXXXXXXXXXX XXXXXX XX XXXXXXXX XXXX XXX XXXX XX XXXXXXXXXX XXX XXXXX);\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXX XX XXXXXX XXX XXXXXXXXX XXXXXX XXXX XXX XXXXXXXXX XX XXXXXX XXXX XXX XXXXXXXXX XXX XX XXX XXXXXX XX XXXX XXXXXXX XXXX XXXXXX XX XXXXXXXXX; XX XX XXXXX XX XXXXXXXXX, XXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX, XXXX XX:\u003col\u003e \u003cli\u003eXXXXXXX XXX XXXXXXXX XX XXXXXXXXXXXX XXXXXXX XX XXX XXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XX XXXXXX XXXXXX XXXXXXXX, X.X. XXXXXXXXX, XX XXXXXXX XXXXXXX (XXX \u003ca href=\"#g13-1\"\u003e13.1\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXX XX XXXXXX XXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXXX XX XXX XXXXXXXXXXXXX;\u003c/li\u003e \u003c/ol\u003e \u003c/li\u003e \u003cli\u003eXX XXXXX XXX XXXXXX XX XXXX XXX XXX XXXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXX XXXXXXXXX XXX XXXXXXXXX XX XXXXX XX XXXXXX XXX XXXXXXXXXXXXX XXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXX XXXX XXXXXX XX XXXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXX XXXXXXXXX XXXXXXXXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXX XXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXX, XX XXXXXXXXXXX XXXX XX XXXXXXXXXXXXXXX XX XXX XXXXXXXX XXXXXXXX XXXXXXXX XXX XXXXXXX XXXXXXXXX XXXXXXXXXX XX XX XXXXXXX XXX XXXXXX XX XXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX X XXXXXXXXX XX XXXXXXX XXX XXXXXXXXX XXXXX X XXXXXXXXXXXXX XXX XXXX XXXXXXXXXX XXX XXXXX XX XX XXXXXXXX XXXXXXXXXXXXXX. XX XXXX XXXXXXXXX, XXX XXXXXXXXXXXX XXXXXX XXXXXXXX XXXXX XXXXXXXX XX XXX XXXXX XXXXXXXXXXXXX XXX XXXXXX XXXXXXXXXXX XXXXXXXXX XXX XXXXXXXXXX XXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXX XXXXXXXXXXXXX XXXXXXXXXX XXX XX XXXXXX XX X XXX-XXXXXXXX XX XXXXXX XXXXXXXXXX XXX XX XXXX XXX XXXX XXXXXXXXX XX XXX XXXXXX XXXXXXXXXX XXXXXXXXX XXX XXXXXXXXXX (XXX \u003ca href=\"#c12-1-2\"\u003e12.1.2\u003c/a\u003e XXX \u003ca href=\"#c14-2-2\"\u003e14.2.2\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXXXXXXX XXX XXXXX XXXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXX XXXXXXX XX XXXX XX XXXXXXXX. XXXXXXXXX, XXXXX XX X XXXXXXXXXXX XXXX X XXXXX XXXX XXX XXXXXXX XXX XXXXXXX XXXXXXXXXX XXX XXX XXXXXXXX XXXX XXXXXXX. XXXX, XX XXXX XXXXX, XXXXXXXXXXXX X XXXXX XXXXXX XX XXXXXX XXXXXXXX XXXX XXX XXXXX XXX XXXX XXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXXXXXX XXXXXXX XX XXX XXXXXXX XX XXX XXXXXXXX, X.X. XXXXXXX XX XXXXX XX XXXX XX XXXXXXXXX, X XXXXX XX XXXXXXXX XXX XX XXXXXXXXXX XX XXXXXXXX XXX XXXXXXXXXX XXXXX, XXXXX XX XXX XXXXXXXXXX XXXXXXXX XX XXXXX XXXXX. XXX XXX XX XXX/XXX XXXXX[\u003ca href=\"#g14\"\u003e14\u003c/a\u003e] XXX XX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c12-6-2", + "title": "Restrictions on software installation", + "props": [ + { + "class": "number", + "value": "12.6.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXX XXXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXX XX XXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXXX XXXXXX XXXXXX XXX XXXXXXX XXXXXX XXXXXX XX XXXXX XXXXX XX XXXXXXXX XXXXX XXX XXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXX XX XXXXX XXXXXXXXX XXXXXX XX XXXXXXX. XX XXXXXXX XXXXXXX XXXXXXXXXX, XXXXX XXX XXXX XXX XXXXXXX XX XXXXXXX XXXXXXXX. XXX XXXXXXXXXXXX XXXXXX XXXXXXXX XXXX XXXXX XX XXXXXXXX XXXXXXXXXXXXX XXX XXXXXXXXX (X.X. XXXXXXX XXX XXXXXXXX XXXXXXX XX XXXXXXXX XXXXXXXX) XXX XXXX XXXXX XX XXXXXXXXXXXXX XXX XXXXXXXXXX (X.X. XXXXXXXX XXXX XX XXXX XXX XXXXXXXX XXX XXX XXXXXXXX XXXXX XXXXXXXX XXXX XXXXXX XX XXXXX XXXXXXXXXXX XXXXXXXXX XX XXXXXXX XX XXXXXXX). XXXXX XXXXXXXXXX XXXXXX XX XXXXXXX XXXXXX XXXXXX XX XXX XXXXX XX XXX XXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXX XXXXXXXXXXXX XX XXXXXXXX XX XXXXXXXXX XXXXXXX XXX XXXX XX XXXXXXXXXXX XXXXXXXXXXXXXXX XXX XXXX XX XXXXXXXXXXX XXXXXXX, XXXX XX XXXXXXXXX XX XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX, XX XX XXXXXXXXX XX XXXXXXXXXXXX XXXXXXXX XXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g12-7", + "title": "Information systems audit considerations", + "props": [ + { + "class": "number", + "value": "12.7" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXXXX XXX XXXXXX XX XXXXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c12-7-1", + "title": "Information systems audit controls", + "props": [ + { + "class": "number", + "value": "12.7.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXX XXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXX XXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXX XXXXXXX XXX XXXXXX XX XXXXXXXX XXXXXXXXXXX XX XXXXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXX XXXXXXXXXXXX XXX XXXXXX XX XXXXXXX XXX XXXX XXXXXX XX XXXXXX XXXX XXXXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXX XX XXXXXXXXX XXXXX XXXXX XXXXXX XX XXXXXX XXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXX XXXXXX XX XXXXXXX XX XXXX-XXXX XXXXXX XX XXXXXXXX XXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXX XXXX XXXX-XXXX XXXXXX XXXX XX XXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXX XXXXX, XXXXX XXXXXX XX XXXXXX XXXX XXX XXXXX XX XXXXXXXXX, XX XXXXX XXXXXXXXXXX XXXXXXXXXX XX XXXXX XX XX XXXXXXXXXX XX XXXX XXXX XXXXX XXXXX XXXXX XXXXXXXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXX XXXXXXX XX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXX; \u003c/li\u003e \u003cli\u003eXXXXX XXXXX XXXX XXXXX XXXXXX XXXXXX XXXXXXXXXXXX XXXXXX XX XXX XXXXXXX XXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXX XX XXXXXXX X XXXXXXXXX XXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "control-category", + "id": "g13", + "title": "Communications security", + "props": [ + { + "class": "number", + "value": "13" + } + ], + "groups": [ + { + "class": "clause", + "id": "g13-1", + "title": "Network security management", + "props": [ + { + "class": "number", + "value": "13.1" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXX XXXXXXXXXX XX XXXXXXXXXXX XX XXXXXXXX XXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c13-1-1", + "title": "Network controls", + "props": [ + { + "class": "number", + "value": "13.1.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXX XX XXXXXXX XXX XXXXXXXXXX XX XXXXXXX XXXXXXXXXXX XX XXXXXXX XXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XX XXXXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXX XXXXXXXX XXXX XXXXXXXXXXXX XXXXXX. XX XXXXXXXXXX, XXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXXXXXXX XXX XXXXXXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXXXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXXX XXXX XXXXXXXX XXXXXXXXXX XXXXX XXXXXXXXXXX (XXX \u003ca href=\"#c6-1-2\"\u003e6.1.2\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXXXX XXX XXXXXXXXXXXXXXX XXX XXXXXXXXX XX XXXX XXXXXXX XXXX XXXXXX XXXXXXXX XX XXXX XXXXXXXX XXXXXXXX XXX XX XXXXXXX XXX XXXXXXXXX XXXXXXX XXX XXXXXXXXXXXX (XXX \u003ca\u003eClause 10\u003c/a\u003e XXX \u003ca href=\"#g13-2\"\u003e13.2\u003c/a\u003e); XXXXXXX XXXXXXXX XXX XXXX XX XXXXXXXX XX XXXXXXXX XXX XXXXXXXXXXXX XX XXX XXXXXXX XXXXXXXX XXX XXXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXX XXX XXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXX XXXXXXXXX XXX XXXXXXXXX XX XXXXXXX XXXX XXX XXXXXX, XX XXX XXXXXXXX XX, XXXXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXXXX XXXX XX XXXXXXXX XXX XXXXXXX XX XXX XXXXXXXXXXXX XXX XX XXXXXX XXXX XXXXXXXX XXX XXXXXXXXXXXX XXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXX XXXXXXX XXXXXX XX XXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXXXX XX XXX XXXXXXX XXXXXX XX XXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXXXXXXX XX XXXXXXX XXXXXXXX XXX XX XXXXX XX XXX/XXX XXXXX.[\u003ca href=\"#g15\"\u003e15\u003c/a\u003e][\u003ca href=\"#g16\"\u003e16\u003c/a\u003e][\u003ca href=\"#g17\"\u003e17\u003c/a\u003e][\u003ca href=\"#g18\"\u003e18\u003c/a\u003e][\u003ca\u003e19\u003c/a\u003e]\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c13-1-2", + "title": "Security of network services", + "props": [ + { + "class": "number", + "value": "13.1.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXXXXXX, XXXXXXX XXXXXX XXX XXXXXXXXXX XXXXXXXXXXXX XX XXX XXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXX XX XXXXXXX XXXXXXXX XXXXXXXXXX, XXXXXXX XXXXX XXXXXXXX XXX XXXXXXXX XX-XXXXX XX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXX XX XXX XXXXXXX XXXXXXX XXXXXXXX XX XXXXXX XXXXXX XXXXXXXX XX X XXXXXX XXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXX XXXXXXXXX, XXX XXX XXXXX XX XXXXX XXXXXX XX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXX XXXXXXXXXXXX XXXXXXXXX XXX XXXXXXXXXX XXXXXXXX, XXXX XX XXXXXXXX XXXXXXXX, XXXXXXX XXXXXX XXX XXXXXXXXXX XXXXXXXXXXXX, XXXXXX XX XXXXXXXXXX. XXX XXXXXXXXXXXX XXXXXX XXXXXX XXXX XXXXXXX XXXXXXX XXXXXXXXX XXXXXXXXX XXXXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXX XXXXXXXX XXXXXXX XXX XXXXXXXXX XX XXXXXXXXXXX, XXXXXXX XXXXXXX XXXXXXXX XXX XXXXX XXXXX XXXXXXXX XXX XXXXXXX XXXXXXX XXXXXXXX XXXXXXXXX XXXX XX XXXXXXXXX XXX XXXXXXXXX XXXXXXXXX XXXXXXX. XXXXX XXXXXXXX XXX XXXXX XXXX XXXXXX XXXXXXXXX XXXXXXXXX XX XXXXXXX XXXXX-XXXXX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXX XXXXXXXX XX XXXXXXX XXXXXXXX XXXXX XX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXX XXXXXXX XXX XXXXXXXX XX XXXXXXX XXXXXXXX, XXXX XX XXXXXXXXXXXXXX, XXXXXXXXXX XXX XXXXXXX XXXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXX XXXXXXXX XXX XXXXXXX XXXXXXXXXX XXXX XXX XXXXXXX XXXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXX XXX XXXXXXX XXXXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX XXX XXXXXXX XXXXXXX XXXXX XX XXXXXXXX XXXXXX XX XXXXXXX XXXXXXXX XX XXXXXXXXXXXX, XXXXX XXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c13-1-3", + "title": "Segregation in networks", + "props": [ + { + "class": "number", + "value": "13.1.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXX XX XXXXXXXXXXX XXXXXXXX, XXXXX XXX XXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXX XX XXXXXXXX XXX XXXXXXXX XX XXXXX XXXXXXXX XX XX XXXXXX XXXX XXXX XXXXXXXX XXXXXXX XXXXXXX. XXX XXXXXXX XXX XX XXXXXX XXXXX XX XXXXX XXXXXX (X.X. XXXXXX XXXXXX XXXXXX, XXXXXXX XXXXXX, XXXXXX XXXXXX), XXXXX XXXXXXXXXXXXXX XXXXX (X.X. XXXXX XXXXXXXXX, XXXXXXX, XXXXXXXXX) XX XXXX XXXXXXXXXXX (X.X. XXXXXX XXXXXX XXXXXXXXXX XX XXXXXXXX XXXXXXXXXXXXXX XXXXX). XXX XXXXXXXXXXX XXX XX XXXX XXXXX XXXXXX XXXXXXXXXX XXXXXXXXX XXXXXXXX XX XX XXXXX XXXXXXXXX XXXXXXX XXXXXXXX (X.X.XXXXXXX XXXXXXX XXXXXXXXXX).\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXX XX XXXX XXXXXX XXXXXX XX XXXX XXXXXXX. XXXXXX XXXXXXX XXXXXXX XXXXXXX XX XXXXXXX, XXX XXXXXX XX XXXXXXXXXX XX XXX XXXXXXXXX XXXXX X XXXXXXX (X.X. XXXXXXXX, XXXXXXXXX XXXXXX). XXX XXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXX XXXX XXXXXXX, XXX XXX XXXXXX XXXXXXX XXXXXXX XXX XXXXXXXX, XXXXXX XX XXXXX XX XX XXXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXXXX XX XXXX XXXXXX. XXX XXXXXXXXXX XXXXXX XX XX XXXXXXXXXX XXXX XXX XXXXXX XXXXXXX XXXXXX (XXX \u003ca href=\"#c9-1-1\"\u003e9.1.1\u003c/a\u003e), XXXXXX XXXXXXXXXXXX, XXXXX XXX XXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXX XXXX XXXX XXXXXXX XX XXX XXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXXXXX XXXXXXXX XXXXXXX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXX XXXXXXXX XXXXXXX XXXXXXX XXXXXXXXX XXX XX XXX XXXXXX XXXXXXX XXXXXXX XXXXXXXXX. XXX XXXXXXXXX XXXXXXXXXXXX, XXXXXXXXXXXXX XXXXXX XX XXXX XX XXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXXX XXX XX XXXXXXXXX XXXX XXXXXX XXXX XXXXXXXX XXXXXXXX XXXXX XXX XXXXXX XXX XXXXXX XXXXXXX X XXXXXXX XX XXXXXXXXXX XXXX XXXXXXX XXXXXXXX XXXXXX (XXX \u003ca href=\"#c13-1-1\"\u003e13.1.1\u003c/a\u003e) XXXXXX XXXXXXXX XXXXXX XX XXXXXXXX XXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXXXXXXX, XXXXXXXXXX XXX XXXX XXXXX XXXXXXX XXXXXX XXXXXXX XXXXXXXXXXXX XX XXXXXX, XXXXXXXXX XXXXX XXXXXXXX XXXXXXXX XXX XX XXXXXXXXXX XXX XXXXXX XXXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXXX XXXX XXXXXXXX XXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXX XXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXX, XX XXXXXXXX XXXXXXXXXXXX XXX XXXXXX XXXX XXXXXXX XXX XXXXXXXXXXXXXXX XX XXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXX. XXXX XXXXXXXXXX XXX XXXXXXXX XXX XXXX XX XXXXXXXXXXXX XXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXX XXXX XXX XXX XXXXXXX, XXXX XX XXXXX XXXXXXX XXXXXXXXXX XXXX XXXXX XXXXXXX XXXXX XXXXXXX XX XXXXX XXXXXXXXXXX XX XXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g13-2", + "title": "Information transfer", + "props": [ + { + "class": "number", + "value": "13.2" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXXXX XXX XXXX XXX XXXXXXXX XXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c13-2-1", + "title": "Information transfer policies and procedures", + "props": [ + { + "class": "number", + "value": "13.2.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXX XXXXXXXX XXXXXXXX, XXXXXXXXXX XXX XXXXXXXX XXXXXX XX XX XXXXX XX XXXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XXXXXXX XXX XXX XX XXX XXXXX XX XXXXXXXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXX XXX XXXXXXXX XX XX XXXXXXXX XXXX XXXXX XXXXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XXXXXXXX XXX XXXXXXXXX XXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXX XXXXXXXX XX XXXXXXX XXXXXXXXXXX XXXXXXXXXXX XXXX XXXXXXXXXXXX, XXXXXXX, XXXXXXXXXXXX, XXX-XXXXXXX XXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX XXX XXXXXXXXX XX XXX XXXXXXXXXX XXXXXXX XXXXXXX XXXX XXX XX XXXXXXXXXXX XXXXXXX XXX XXX XX XXXXXXXXXX XXXXXXXXXXXXXX (XXX \u003ca href=\"#c12-2-1\"\u003e12.2.1\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXX XXXXXXXXXX XXXXXXXXXXX XXXX XX XX XXX XXXX XX XX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XX XXXXXXXXXX XXXXXXXXX XXXXXXXXXX XXX XX XXXXXXXXXXXXX XXXXXXXXXX (XXX \u003ca href=\"#c8-1-3\"\u003e8.1.3\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXX, XXXXXXXX XXXXX XXX XXX XXXXX XXXX’X XXXXXXXXXXXXXXXX XXX XX XXXXXXXXXX XXX XXXXXXXXXXXX, X.X. XXXXXXX XXXXXXXXXX, XXXXXXXXXX, XXXXXXXXXXXXX, XXXXXXXXXX XX XXXXX XXXXXXX, XXXXXXXXXXXX XXXXXXXXXX, XXX.;\u003c/li\u003e \u003cli\u003eXXX XX XXXXXXXXXXXXX XXXXXXXXXX X.X. XX XXXXXXX XXX XXXXXXXXXXXXXXX, XXXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXXXXX (XXX \u003ca\u003eClause 10\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXX XXX XXXXXXXX XXXXXXXXXXXXXX, XXXXXXXXX XXXXXXXX, XX XXXXXXXXXX XXXX XXXXXXXX XXXXXXXX XXX XXXXX XXXXXXXXXXX XXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXXXXXXXXXXX XXXXXXXXXX XXXX XXXXX XXXXXXXXXXXXX XXXXXXXXXX, X.X. XXXXXXXXX XXXXXXXXXX XX XXXXXXXXXX XXXX XX XXXXXXXX XXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXX XX XXXX XXXXXXXXXXX XXXXXXXXXXX XXX XX XXXXXX XXXXXXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XX XXXXXXXXX XXXXXXXX XXXXX XXXXX XXX XX XXXXXXXX XX XXXXXXXXXXXX XXXXXXX, XXXXXX XX XXXXXXXX XXXXXXX XX XXXXXX XXXXXXXXXXX XX X XXXXXX XX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXX XXXXX XXX XXXXXXXX XX XXXXX XXXXXXXXX XXXXXXXX XX XXXXXXXX, XXXXXX:\u003col\u003e \u003cli\u003eXXXXXXXXXXXX XXXXXX XX XXXXX-XX XXXXXXX XXXXXX XX XXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXX XX XXXXXXXX XX XXXX XXXXXXXX XX XXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXXX XXX XXXXXXXX XX XXX XXXXX XXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXX XXX XXXXX XXXXXX XXXXXX.\u003c/li\u003e \u003c/ol\u003e \u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXX XXXXXXXX, XXXXXXXXX XXXXXX XX XXXXXXXX XXXX XXXX XXXXXX XXX XXXX XXXXXXXXXXXX XXXXXXXXXXXXX XX XXXXXX XXXXXX XX XXXX XXXXXXXX XXXXXXXXXXXXX XXXXXXXX, XXXX XXXXXXX XXX XXXXXXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXX XXXXXX XXXX XXX XXXXXXXX XXXXX XXXXXXXXXXXX (XXX \u003ca href=\"#g18-1\"\u003e18.1\u003c/a\u003e).\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXX XXXXX XXXXXXX XXX XXX XX X XXXXXX XX XXXXXXXXX XXXXX XX XXXXXXXXXXXXX XXXXXXXXXX, XXXXXXXXX XXXXXXXXXX XXXX, XXXXX, XXXXXXXXX XXX XXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXX XXXXXXXX XXX XXXXX XXXXXXX X XXXXXX XX XXXXXXXXX XXXXXXX, XXXXXXXXX XXXXXXXXXXX XXXX XXX XXXXXXXX XXX XXXXXXXXXXX XXXX XXXXXXX XXXXXXX XXX-XXX-XXXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXX, XXXXX XXX XXXXXXXX XXXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXXX XXXX XXXXXXXXXXX, XXXXXXXXXX XXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXXXXX XXX XXX XXXXXXXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c13-2-2", + "title": "Agreements on information transfer", + "props": [ + { + "class": "number", + "value": "13.2.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXX XXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXXXXXX XXX XXXXXXXXXXXX XXX XXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXX XXXXXXXXXXX XXX XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXX XXXXXXXXXXXXXXXX XXX XXXXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXXX, XXXXXXXX XXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX XXXXXX XXXXXXXXXXXX XXX XXX-XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXXX XXXXXXXXX XXX XXXXXXXXX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXXXXX XXX XXXXXXXXXXX XX XXX XXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX, XXXX XX XXXX XX XXXX;\u003c/li\u003e \u003cli\u003eXXX XX XX XXXXXX XXXXXXXXX XXXXXX XXX XXXXXXXXX XX XXXXXXXX XXXXXXXXXXX, XXXXXXXX XXXX XXX XXXXXXX XX XXX XXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXX XXXX XXX XXXXXXXXXXX XX XXXXXXXXXXXXX XXXXXXXXX (XXX \u003ca href=\"#g8-2\"\u003e8.2\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXX XXX XXXXXXXXX XXX XXXXXXX XXXXXXXXXXX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXX XXXXXXXX XXXX XXX XXXXXXXX XX XXXXXXX XXXXXXXXX XXXXX, XXXX XX XXXXXXXXXXXX (XXX \u003ca\u003eClause 10\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX X XXXXX XX XXXXXXX XXX XXXXXXXXXXX XXXXX XX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXX XX XXXXXX XXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXX XX XXXXXXX XXXXXXXXXXX XXX XXXXXXXX XXXXX XX XXXXXXX (XXX \u003ca href=\"#c8-3-3\"\u003e8.3.3\u003c/a\u003e), XXX XXXXXX XX XXXXXXXXXX XX XXXX XXXXXXXX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXXXX XXXXXXXX XXXXXXX XX XXX XXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXX XX XXXXXXXXXX XX XXXXXX, XXX XXX XXXX XXX XXXX XX XXXXXX XXXXXXXXX. XXX XXXXXXXXXXXX XXXXXXXXXXX, XXX XXXXXXXX XXXXXXXXXX XXXX XXX XXX XXXXXXXX XX XXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXX XXXXXXXXXXXXX XXX XXXXX XX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c13-2-3", + "title": "Electronic messaging", + "props": [ + { + "class": "number", + "value": "13.2.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XX XXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXX XXXXXXXX XXXX XXXXXXXXXXXX XXXXXX, XXXXXXXXXXXX XX XXXXXX XX XXXXXXX XXXXXXXXXXXX XXXX XXX XXXXXXXXXXXXXX XXXXXX XXXXXXX XX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXXXX XX XXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXX XXXXXXXXXXXX XX XXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXXXXXXXXXX, XXX XXXXXXX XXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXX XXXXX XX XXXXX XXXXXXXX XXXXXX XXXXXXXX XXXX XX XXXXXXX XXXXXXXXX, XXXXXX XXXXXXXXXX XX XXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXX XX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXX XXXX XXXXXXXX XXXXXXXXXX XXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXX XXX XXXX XXXXX XX XXXXXXXXXX XXXXXXXXX XXXX XX XXXXX, XXXXXXXXXX XXXX XXXXXXXXXXX XXX XXXXXX XXXXXXXXXX XXXXX XXXX X XXXX XX XXXXXXXX XXXXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c13-2-4", + "title": "Confidentiality or non-disclosure agreements", + "props": [ + { + "class": "number", + "value": "13.2.4" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXX XXX XXXXXXXXXXXXXXX XX XXX-XXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXX’X XXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX, XXXXXXXXX XXXXXXXX XXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXXXX XX XXX-XXXXXXXXXX XXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXXXX XX XXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXX XXXXXXX XXXXXXXXXXX XXXXX. XXXXXXXXXXXXXXX XX XXX-XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX XX XXXXXXXX XXXXXXX XX XXXXXXXXX XX XXX XXXXXXXXXXXX. XXXXXXXX XXXXXX XX XXXXXXXX XX XXXXX XX XXXXXXXXXXXXX XX XXX XXXX XX XXX XXXXX XXXXX XXX XXX XXXXXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXXX. XX XXXXXXXX XXXXXXXXXXXX XXX XXXXXXXXXXXXXXX XX XXX-XXXXXXXXXX XXXXXXXXXX, XXX XXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eX XXXXXXXXXX XX XXX XXXXXXXXXXX XX XX XXXXXXXXX (X.X. XXXXXXXXXXXX XXXXXXXXXXX);\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXX XX XX XXXXXXXXX, XXXXXXXXX XXXXX XXXXX XXXXXXXXXXXXXXX XXXXX XXXX XX XX XXXXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXX XXXX XX XXXXXXXXX XX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXXXXX XXX XXXXXXX XX XXXXXXXXXXX XX XXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XX XXXXXXXXXXX, XXXXX XXXXXXX XXX XXXXXXXXXXXX XXXXXXXX, XXX XXX XXXX XXXXXXX XX XXX XXXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXX XXX XX XXXXXXXXXXXX XXXXXXXXXXX XXX XXXXXX XX XXX XXXXXXXXX XX XXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXX XX XXXXX XXX XXXXXXX XXXXXXXXXX XXXX XXXXXXX XXXXXXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXX XXXXXXXXXXXX XXX XXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXX XXXXXXXXXXX XX XX XXXXXXXX XX XXXXXXXXX XX XXXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXX XX XX XXXXX XX XXXX XX X XXXXXX XX XXX XXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXX XX XX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX, XXXXX XXXXXXXX XXX XX XXXXXX XX X XXXXXXXXXXXXXXX XX XXX-XXXXXXXXXX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXXXXX XXX XXX-XXXXXXXXXX XXXXXXXXXX XXXXXX XXXXXX XXXX XXX XXXXXXXXXX XXXX XXX XXXXXXXXXXX XXX XXX XXXXXXXXXXXX XX XXXXX XXXX XXXXX (XXX \u003ca href=\"#g18-1\"\u003e18.1\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXX XXX XXXXXXXXXXXXXXX XXX XXX-XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXXXX XXX XXXX XXXXXXX XXXXX XXXX XXXXXXXXX XXXXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXXXX XXX XXX-XXXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXX XXXXXX XXXXXXXXXXX XX XXXXX XXXXXXXXXXXXXX XX XXXXXXX, XXX XXX XXXXXXXX XXXXXXXXXXX XX X XXXXXXXXXXX XXX XXXXXXXXXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXX XXX XX X XXXX XXX XX XXXXXXXXXXXX XX XXX XXXXXXXXX XXXXX XX XXXXXXXXXXXXXXX XX XXX-XXXXXXXXXX XXXXXXXXXX XX XXXXXXXXX XXXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "control-category", + "id": "g14", + "title": "System acquisition, development and maintenance", + "props": [ + { + "class": "number", + "value": "14" + } + ], + "groups": [ + { + "class": "clause", + "id": "g14-1", + "title": "Security requirements of information systems", + "props": [ + { + "class": "number", + "value": "14.1" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXXX XXXXXXXXXXX XXXXXXXX XX XX XXXXXXXX XXXX XX XXXXXXXXXXX XXXXXXX XXXXXX XXX XXXXXX XXXXXXXXX. XXXX XXXX XXXXXXXX XXX XXXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXX XXXXX XXXXXXX XXXXXXXX XXXX XXXXXX XXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c14-1-1", + "title": "Information security requirements analysis and specification", + "props": [ + { + "class": "number", + "value": "14.1.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXX XXXXXXXX XXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXX XX XXX XXXXXXXXXXXX XXX XXX XXXXXXXXXXX XXXXXXX XX XXXXXXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXX XXXXXXX XXXXXXX XXXX XX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXX XXXXXXXX XXX XXXXXXXXXXX, XXXXXX XXXXXXXXX, XXXXXXXX XXXXXXX, XX XXX XX XXXXXXXXXXXXX XXXXXXXXXX. XXXXXXX XX XXX XXXXXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXX XX XXX XXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXX XXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXX XXXXX XX XXX XXXXXXXXXXX XXXXXXXX (XXX \u003ca href=\"#g8-2\"\u003e8.2\u003c/a\u003e) XXX XXX XXXXXXXXX XXXXXXXX XXXXXXXX XXXXXX XXXXX XXXXX XXXXXX XXXX XXXX XX XXXXXXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXXXX XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXX XXXXXX XX XXXXXXXXXXX XXXXXXX XXXXXXXX. XXXXX XXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX, X.X. XX XXX XXXXXX XXXXX XXX XXXX XX XXXX XXXXXXXXX XXX XXXX XXXXXXXXX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXX XXXX XXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXX XX XXXXXXXXXX XXXXXXXX XXXXXXX XXX XXXXXXX XXXXXXXX XX XXXXX, XX XXXXX XX XXXXXX XXXX XXXXXXXXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXX, XXX XXXXXXXX XXXXX XX XXXX XX XXX XXXXXXXXXX XX XXXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXX XXX XXXXXXXXX XX XXXXX XXXXXX XXX XXXXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXX XXXXXXXXXX XXXXX XX XXX XXXXXX XXXXXXXX, XX XXXXXXXXXX XXXXXXXXX XXXXXXXXXXXX, XXXXXXXXXXXXXXX, XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXXXXX XXXX XXXXXXXX XXXXXXXXX, XXXX XX XXXXXXXXXXX XXXXXXX XXX XXXXXXXXXX, XXX-XXXXXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXXXXXX XX XXXXX XXXXXXXX XXXXXXXX, X.X. XXXXXXXXXX XX XXXXXXX XXX XXXXXXXXXX XX XXXX XXXXXXX XXXXXXXXX XXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXX XXXXXXXXXXXX XXXX XXXXXXX XXXXXXXX XXXX XXXXXX XXXXXXXX XX XXXXX XXXXXXXXX XXXXXXXXXXXX, XXX XXXXXXXXX XXXXXXXX \u003ca href=\"#c14-1-2\"\u003e14.1.2\u003c/a\u003e XXX \u003ca href=\"#c14-1-3\"\u003e14.1.3\u003c/a\u003e XXXXXX XX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXXXXXX XXX XXXXXXXX, X XXXXXX XXXXXXX XXX XXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXX. XXXXXXXXX XXXX XXX XXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXXX XXXXXXXX XXXXXXXXXXXX. XXXXX XXX XXXXXXXX XXXXXXXXXXXXX XX X XXXXXXXX XXXXXXX XXXX XXX XXXXXXX XXX XXXXXXXXX XXXXXXXXXXX, XXX XXXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXXXX XXXXX XX XXXXXXXXXX XXX XXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXX XXXXXXXX XXX XXXXXXXX XXXXXXXXXXXXX XX XXX XXXXXXX XXXXXXX XXXX XXX XXXXX XXXXXXXX / XXXXXXX XXXXX XX XXXX XXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXX XXX XXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXX X.X. XX XXXXX XX XXXXX XXXXXXXXXXXXX, XXXXX XXXX XXXX XXXXXXXXX XXXX XXX XXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXX XXX. XXXXXXXX XXXXXX XX XXXXXXXXX XXXXXXX XXXXX XXXXXXXX XXXXXX XXXXXXXXXXX. XXXXXXXXXX XXXXXXXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXX XX XXXX XXX XXXXXXXXX XXXXXXXXXXXX XXXXXXXXXX XXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX/XXX XXXXX[\u003ca href=\"#g11\"\u003e11\u003c/a\u003e] XXX XXX XXXXX[\u003ca\u003e27\u003c/a\u003e] XXXXXXX XXXXXXXX XX XXX XXX XX XXXX XXXXXXXXXX XXXXXXXXX XX XXXXXXXX XXXXXXXX XX XXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c14-1-2", + "title": "Securing application services on public networks", + "props": [ + { + "class": "number", + "value": "14.1.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXX XXXX XXXXXX XXXXXXXX XXXXXX XX XXXXXXXXX XXXX XXXXXXXXXX XXXXXXXX, XXXXXXXX XXXXXXX XXX XXXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXX XXXX XXXXXX XXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXX XX XXXXXXXXXX XXXX XXXXX XXXXXXXX XX XXXX XXXXX’X XXXXXXX XXXXXXXX, X.X. XXXXXXX XXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXX XXXXXXXXX XXXXXXXXXX XXXX XXX XXX XXXXXXX XXXXXXXX XX, XXXXX XX XXXX XXX XXXXXXXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXX XXXXXXXXXXXXX XXXXXXXX XXX XXXXX XXXXXXXX XX XXXXX XXXXXXXXXXXXXX XXX XXXXXXXXX XX XXX XX XXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXX XXXXXXX XXXXXXXXXXXX XXX XXXXXXXXXXXXXXX, XXXXXXXXX, XXXXX XX XXXXXXXX XXX XXXXXXX XX XXX XXXXXXXXX XXX XXX XXX-XXXXXXXXXXX XX XXXXXXXXX, X.X. XXXXXXXXXX XXXX XXXXXXXXX XXX XXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXX XX XXXXX XXXXXXXX XX XXX XXXXXXXXX XX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXX XXXXXXXXXXXX XX XXX XXXXXXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXXXXXXX XXX XXXXXXXXX XX XXX XXXXX XXXXXXXXXXXX, XXXXXXX XXXXXXXXXXX, XXXXXXXX XXXXXXX XXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXX XX XXXXXXXXXXXX XXXXXXXXXXX XX XXXXXX XXXXXXX XXXXXXXXXXX XXXXXXXX XX X XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXX XXXX XXXXXXXXXXX XXXXXXXXXX XXXX XX XXXXXXX XX XXXXX XXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXX XX XXXXXXXXXX XXXXXXXX XX XXXXXXXX XXX XXXXXXXXXXXXXXX XXX XXXXXXXXX XX XXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XX XXXX XX XXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXX XXXX XXX XXXXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXX XX XXX XXXXX XXXXXXXXXXXXXX XXX XX XXXXXXXXX XX XXX XXXXXXXXXXX XX XXXXXXXXXXXXX XXXXXXXX (XXX \u003ca\u003eClause 10\u003c/a\u003e), XXXXXX XXXX XXXXXXX XXXXXXXXXX XXXX XXXXX XXXXXXXXXXXX (XXX \u003ca\u003eClause 18\u003c/a\u003e, XXXXXXXXXX XXX \u003ca href=\"#c18-1-5\"\u003e18.1.5\u003c/a\u003e XXX XXXXXXXXXXXX XXXXXXXXXXX).\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XXXXXXX XXXXXXXXXXXX XXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXX XX X XXXXXXXXXX XXXXXXXXX XXXXX XXXXXXX XXXX XXXXXXX XX XXX XXXXXX XXXXX XX XXXXXXXX, XXXXXXXXX XXXXXXX XX XXXXXXXXXXXXX (XXX X) XXXXX).\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXX XXXXXXXXXXXX XXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXX, XXXXX XXX XXXXXXX XXXXXXXXXXXX XXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXX XXXXXXX XX XXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXX XXXXXXXXXXXXXXXX XXXXXXXX XX XXXXXXX XXX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXX XXXXXXXXXX XXX XXXXXX XXXXXXXX XXX XXXXXXX XX X XXXXX XX XXXXXXX XXXXXXX XXXXXXX, XXXX XX XXXXXXXXXX XXXXXXXXXX, XXXXXXXX XXXXXXXX XX XXXXXXXXXX XX XXXXXXXXXXX XX XXX XXXXXX. XXXXXXXXX, XXXXXXXX XXXX XXXXXXXXXXX XXX XXXXXX XXXXXXXXX XX XXXXXXXX XXX XXXXXXXXXXXXX. XXXXXXXX XXXXXXXX XXXXX XXXXXXX XXXXXXXXXXXXX XXXXXXX XXX XXXXXXXXXXXXXX XXX XXXXXXXX XXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXX XXXX XXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXX, X.X. XXXXX XXXXXX XXX XXXXXXXXXXXX XXX XXXXXXX XXXXXXXXXX (XXX \u003ca\u003eClause 10\u003c/a\u003e) XX XXXXXX XXX XXXXX. XXXX, XXXXXXX XXXXX XXXXXXX XXX XX XXXX, XXXXX XXXX XXXXXXXX XXX XXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c14-1-3", + "title": "Protecting application services transactions", + "props": [ + { + "class": "number", + "value": "14.1.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XX XXXXXXXXXXX XXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXXX XXXXXXXXXX XXXXXXXXXXXX, XXX-XXXXXXX, XXXXXXXXXXXX XXXXXXX XXXXXXXXXX, XXXXXXXXXXXX XXXXXXXXXX, XXXXXXXXXXXX XXXXXXX XXXXXXXXXXX XX XXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXX XXXXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXX XX XXXXXXXXXX XXXXXXXXXX XX XXXX XX XXX XXXXXXX XXXXXXXX XX XXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXX XX XXX XXXXXXXXXXX, X.X. XXXXXXXX XXXX:\u003col\u003e \u003cli\u003eXXXX’X XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XX XXX XXXXXXX XXX XXXXX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXXX XXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXXXX XXXX XXX XXXXXXX XXXXXXXX XX XXXXXXXX;\u003c/li\u003e \u003c/ol\u003e \u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXXX XXXX XXXXXXX XXX XXXXXXXX XXXXXXX XX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXX XX XXXXXXXXXXX XXXXXXX XXX XXXXXXXX XXXXXXX XXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXX XXX XXXXXXX XX XXX XXXXXXXXXXX XXXXXXX XX XXXXXXX XXXXXXX XX XXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXX, X.X. XX X XXXXXXX XXXXXXXX XXXXXXXX XX XXX XXXXXXXXXXXXXX XXXXXXXX, XXX XXX XXXXXXXX XXX XXXXXXX XX X XXXXXXX XXXXXX XXXXXXXX XXXXXXXXXX XXXX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX X XXXXXXX XXXXXXXXX XX XXXX (X.X. XXX XXX XXXXXXXX XX XXXXXXX XXX XXXXXXXXXXX XXXXXXX XXXXXXXXXX XX XXXXXXX XXXXXXXXXXXX) XXXXXXXX XX XXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXX XXXXXX XXX-XX-XXX XXXXXXXXXXX/XXXXXXXXX XXXXXXXXXX XXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX XXXXXX XX XXX XXXXXXXX XXXXXXX XXXXX XX XX XXXXXXXXXXXX XXXX XXX XXXXX XX XXX XXXX XXXXXXXXXX XXXX XXXX XXXX XX XXXXXXXXXXX XXXXXXX XXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXX XXX XXXX XX XXXXXX XXXX XXXXX XXX XXXXXXXXXX XXXXXXXXXXXX XX XXX XXXXXXXXXXXX XXXXX XXX XXXXXXXXXXX XX XXXXXXXXX XXXX, XXXXXXXXX XXX, XXXXXXXXX XX XX XXXXXX XX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g14-2", + "title": "Security in development and support processes", + "props": [ + { + "class": "number", + "value": "14.2" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXX XXX XXXXXXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXXX XX XXXXXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c14-2-1", + "title": "Secure development policy", + "props": [ + { + "class": "number", + "value": "14.2.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXX XXX XXX XXXXXXXXXXX XX XXXXXXXX XXX XXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXXXX XX XXXXXXXXXXXX XXXXXX XXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXX XXXXXXXXXXX XX X XXXXXXXXXXX XX XXXXX XX X XXXXXX XXXXXXX, XXXXXXXXXXXX, XXXXXXXX XXX XXXXXX. XXXXXX X XXXXXX XXXXXXXXXXX XXXXXX, XXX XXXXXXXXX XXXXXXX XXXXXX XX XXX XXXXX XXXXXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XX XXX XXXXXXXX XX XXX XXXXXXXX XXXXXXXXXXX XXXXXXXXX:\u003col\u003e \u003cli\u003eXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXX XXXXXXXXXX XXX XXXX XXXXXXXXXXX XXXXXXXX XXXX;\u003c/li\u003e \u003c/ol\u003e \u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXXXX XX XXX XXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXXX XXXXXX XXX XXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XX XXX XXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX’ XXXXXXXXXX XX XXXXXXXX, XXXXXXX XXX XXXXXX XXXXXXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXX XXXX XXX XXX XXXXXXXXXXXX XXX XX XXXX XX-XXX XXXXXXXXX XXXXX XXX XXXXXXXXX XXXXXXX XX XXXXXXXXXXX XXX XXX XX XXXXX XX XXXX XXX XXXXXXXXXX XXXX XXXXXXX XXXX XXXXXXXXX. XXXXXX XXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXX XXXXXXXX XXXXXXXX XXX XXX. XXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXX XXX XXX XXXXXXX XXX XXXX XXXXXX XXXXXX XXXXXX XXXXX XXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXXXXXXXXX XX XXXXXXXXXX, XXX XXXXXXXXXXXX XXXXXX XXXXXX XXXXXXXXX XXXX XXX XXXXXXXX XXXXX XXXXXXXX XXXX XXXXX XXXXX XXX XXXXXX XXXXXXXXXXX (XXX \u003ca href=\"#c14-2-7\"\u003e14.2.7\u003c/a\u003e).\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXX XXXX XXXX XXXXX XXXXXX XXXXXXXXXXXX, XXXX XX XXXXXX XXXXXXXXXXXX, XXXXXXXXX, XXXXXXXX XXX XXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c14-2-2", + "title": "System change control procedures", + "props": [ + { + "class": "number", + "value": "14.2.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXX XX XXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXX XXX XX XXXXXX XXXXXX XXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXX XXXXXX XXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXX XX XXXXXX XXX XXXXXXXXX XX XXXXXX, XXXXXXXXXXXX XXX XXXXXXXX, XXXX XXX XXXXX XXXXXX XXXXXX XXXXXXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXXX. XXXXXXXXXXXX XX XXX XXXXXXX XXX XXXXX XXXXXXX XX XXXXXXXX XXXXXXX XXXXXX XXXXXX X XXXXXX XXXXXXX XX XXXXXXXXXXXXX, XXXXXXXXXXXXX, XXXXXXX, XXXXXXX XXXXXXX XXX XXXXXXX XXXXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXX XXXXXXX XXXXXX XXXXXXX X XXXX XXXXXXXXXX, XXXXXXXX XX XXX XXXXXXX XX XXXXXXX XXX XXXXXXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXX. XXXX XXXXXXX XXXXXX XXXX XXXXXX XXXX XXXXXXXX XXXXXXXX XXX XXXXXXX XXXXXXXXXX XXX XXX XXXXXXXXXXX, XXXX XXXXXXX XXXXXXXXXXX XXX XXXXX XXXXXX XXXX XX XXXXX XXXXX XX XXX XXXXXX XXXXXXXXX XXX XXXXX XXXX XXX XXXX XXXXXX XXXXXXXXX XXX XXXXXXXX XXX XXX XXXXXX XX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXX XXXXXXXXXXX, XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXX XXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX (XXX \u003ca href=\"#c12-1-2\"\u003e12.1.2\u003c/a\u003e). XXX XXXXXX XXXXXXX XXXXXXXXXX XXXXXX XXXXXXX XXX XXX XX XXXXXXX XX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXX X XXXXXX XX XXXXXX XXXXXXXXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXX XXX XXXXXXXXX XX XXXXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXX XXX XXXXXXXXX XXXXXXXXXX XX XXXXXX XXXX XXXX XXXX XXX XX XXXXXXXXXXX XX XXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXX XXXXXXXX, XXXXXXXXXXX, XXXXXXXX XXXXXXXX XXX XXXXXXXX XXXX XXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXX XXXXXXXX XXXXXXXX XXXXXXXX XXXX XX XXXXXXXX XXX XXXXXXXXXX XX XXXXX XXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXX XXXXXXXX XXX XXXXXXXX XXXXXXXXX XXXXXX XXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXX XXXXX XXXXXX XXXXXXX XXXXX XX XXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXX XXX XXXXXX XXXXXXXXXXXXX XXX XX XXXXXXX XX XXX XXXXXXXXXX XX XXXX XXXXXX XXX XXXX XXX XXXXXXXXXXXXX XX XXXXXXXX XX XXXXXXXX XX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX X XXXXXXX XXXXXXX XXX XXX XXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XX XXXXX XXXXX XX XXX XXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXX XXXXXXXXX XXXXXXXXXXXXX (XXX \u003ca href=\"#c12-1-1\"\u003e12.1.1\u003c/a\u003e) XXX XXXX XXXXXXXXXX XXX XXXXXXX XX XXXXXXXXX XX XXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXX XXX XXXXXXXXXXXXXX XX XXXXXXX XXXXX XXXXX XX XXX XXXXX XXXX XXX XXXX XXX XXXXXXX XXX XXXXXXXX XXXXXXXXX XXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXXXX XXX XXXXXX XXX XXXXXXXXXXX XXXXXXXXXXX XXX XXXX XXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXX XXXXXXXX XXXXXXXX XXX XXXXXXX XX XXX XXXXXXXX XX XX XXXXXXXXXXX XXXXXXXXXX XXXX XXXX XXX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXXX (XXX \u003ca href=\"#c12-1-4\"\u003e12.1.4\u003c/a\u003e). XXXX XXXXXXXX X XXXXX XX XXXXXX XXXXXXX XXXX XXX XXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX XXXX XX XXXX XXX XXXXXXX XXXXXXXX. XXXX XXXXXX XXXXXXX XXXXXXX, XXXXXXX XXXXX XXX XXXXX XXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXX XXXXXXXXX XXXXXXX XXX XXXXXXXXXX, XXX XXXX XX XXX XXXXXXXXX XXX XXXXXXXXXXXX XX XXX XXXXXX XXXXXX XX XXXXXXX XXXXXXX XXX XXXXXXX XX XXXXXX XXXXXXXXXX XX XXXXXXX. XXXXXXXXX XXXXXXX XXXXXX XXX XX XXXX XX XXXXXXXX XXXXXXX XX XXXX XXXXXXX XXX XXXXX XXXXXXXX XXXXXXXXXXXX XX XXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c14-2-3", + "title": "Technical review of applications after operating platform changes", + "props": [ + { + "class": "number", + "value": "14.2.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXX XXXXXXXXX XXXXXXXXX XXX XXXXXXX, XXXXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXX XXX XXXXXX XX XXXXXX XXXXX XX XX XXXXXXX XXXXXX XX XXXXXXXXXXXXXX XXXXXXXXXX XX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXX XXXXXXX XXXXXX XXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXX XX XXXXXXXXXXX XXXXXXX XXX XXXXXXXXX XXXXXXXXXX XX XXXXXX XXXX XXXX XXXX XXX XXXX XXXXXXXXXXX XX XXX XXXXXXXXX XXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXX XXXXXXXXXXXX XX XXXXXXXXX XXXXXXXX XXXXXXX XX XXXXXXXX XX XXXX XX XXXXX XXXXXXXXXXX XXXXX XXX XXXXXXX XX XXXX XXXXX XXXXXX XXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXX XXXXXXXXXXX XXXXXXX XXX XXXX XX XXX XXXXXXXX XXXXXXXXXX XXXXX (XXX \u003ca\u003eClause 17\u003c/a\u003e).\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXX XXXXXXXXX XXXXXXX XXXXXXXXX XXXXXXX, XXXXXXXXX XXX XXXXXXXXXX XXXXXXXXX. XXX XXXXXXX XXXXXX XXXX XX XXXXXXX XXX XXXXXXX XX XXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c14-2-4", + "title": "Restrictions on changes to software packages", + "props": [ + { + "class": "number", + "value": "14.2.4" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXXX, XXXXXXX XX XXXXXXXXX XXXXXXX XXX XXX XXXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXX XXX XX XXXXXXXX XXX XXXXXXXXXXX, XXXXXX-XXXXXXXX XXXXXXXX XXXXXXXX XXXXXX XX XXXX XXXXXXX XXXXXXXXXXXX. XXXXX X XXXXXXXX XXXXXXX XXXXX XX XX XXXXXXXX XXX XXXXXXXXX XXXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXX XX XXXXX-XX XXXXXXXX XXX XXXXXXXXX XXXXXXXXX XXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXX XXXXXXX XX XXX XXXXXX XXXXXX XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXXX XX XXXXXXXXX XXX XXXXXXXX XXXXXXX XXXX XXX XXXXXX XX XXXXXXXX XXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXX XX XXX XXXXXXXXXXXX XXXXXXX XXXXXXXXXXX XXX XXX XXXXXX XXXXXXXXXXX XX XXX XXXXXXXX XX X XXXXXX XX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXX XXXX XXXXX XXXXXXXX XX XXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXX XXXXXXX XXX XXXXXXXXX XXX XXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXX XXX XXX XXXXXXX XXXXXXX XX X XXXXXXXXXX XXXX. X XXXXXXXX XXXXXX XXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XXX XXXX XX-XX-XXXX XXXXXXXX XXXXXXX XXX XXXXXXXXXXX XXXXXXX XXX XXXXXXXXX XXX XXX XXXXXXXXXX XXXXXXXX (XXX \u003ca href=\"#c12-6-1\"\u003e12.6.1\u003c/a\u003e). XXX XXXXXXX XXXXXX XX XXXXX XXXXXX XXX XXXXXXXXXX, XX XXXX XXXX XXX XX XXXXXXXXX, XX XXXXXXXXX, XX XXXXXX XXXXXXXX XXXXXXXX. XX XXXXXXXX, XXX XXXXXXXXXXXXX XXXXXX XX XXXXXX XXX XXXXXXXXX XX XX XXXXXXXXXXX XXXXXXXXXX XXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c14-2-5", + "title": "Secure system engineering principles", + "props": [ + { + "class": "number", + "value": "14.2.5" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXX XXXXXXXXXXX XXXXXX XXXXXXX XXXXXX XX XXXXXXXXXXX, XXXXXXXXXX, XXXXXXXXXX XXX XXXXXXX XX XXX XXXXXXXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXX XXXXXXXXXXX XXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXX XX XXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX, XXXXXXXXXX XXX XXXXXXX XX XX-XXXXX XXXXXXXXXXX XXXXXX XXXXXXXXXXX XXXXXXXXXX. XXXXXXXX XXXXXX XX XXXXXXXX XXXX XXX XXXXXXXXXXXX XXXXXX (XXXXXXXX, XXXX, XXXXXXXXXXXX XXX XXXXXXXXXX) XXXXXXXXX XXX XXXX XXX XXXXXXXXXXX XXXXXXXX XXXX XXX XXXX XXX XXXXXXXXXXXXX. XXX XXXXXXXXXX XXXXXX XX XXXXXXXX XXX XXXXXXXX XXXXX XXX XXX XXXXXX XXXXXX XX XXXXXXXX XXXXXXX XXXXX XXXXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXX XXXXXXXXXX XXX XXX XXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXX XXXXXXXX XX XXXXXX XXXX XXXX XXX XXXXXXXXXXX XXXXXXXXXXXX XX XXXXXXXX XXXXXXXXX XX XXXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXX. XXXX XXXXXX XXXX XX XXXXXXXXX XXXXXXXX XX XXXXXX XXXX XXXX XXXXXX XX-XX-XXXX XX XXXXX XX XXXXXXXXX XXX XXX XXXXXXXXX XXXXXXX XXX XX XXXXXXXXX XXXXXXXXXX XX XXXXXXXX XX XXX XXXXXXXXXXXX XXX XXXXXXXXX XXXXX XXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX, XXXXX XXXXXXXXXX, XX XXXXXXXXXX XXXXXXXXXXX XXXXXXX XXXXXXX XXX XXXXXXXXX XXX XXXXX XXXXXXX XXXXXXXXXX XXXXXXX XXX XXXXXXXXXXXX XXX XXX XXXXXXXX XX XXXX XXX XXXXXXXXXXXX XXXXXXXXXX. XXX XXXXXXXXXXXX XXXXXX XXXXXXX XXXX XXX XXXXXX XX XXXXXXXXX’ XXXXXXXX XXXXXXXXXXX XXXXXXXXXX XX XXXXXXXXXX XXXX XXX XXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXX XXXXX XXXXXX XXXXXXXXXXX XXXXXXXXXX XX XXX XXXXXXXXXXX XX XXXXXXXXXXXX XXXX XXXX XXXXX XXX XXXXXX XXXXXXXXXX. XXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXXXX XX XXXX XXXXXXXXXXXXXX XXXXXXXXXX, XXXXXX XXXXXXX XXXXXXX XXX XXXX XXXXXXXXXX, XXXXXXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXXX XXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c14-2-6", + "title": "Secure development environment", + "props": [ + { + "class": "number", + "value": "14.2.6" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXX XXXXXX XXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXX XXXXXX XXXXXXXXXXX XXXXXXXXXXXX XXX XXXXXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXX XXXX XXXXX XXX XXXXXX XXXXXX XXXXXXXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eX XXXXXX XXXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXX, XXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXX XXXX XXXXXX XXXXXXXXXXX XXX XXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXXX XXXXXX XXXXXX XXXXX XXXXXXXXXX XXXX XXXXXXXXXX XXXXXX XXXXXXXXXXX XXXXXXX XXX XXXXXXXXX XXXXXX XXXXXXXXXXX XXXXXXXXXXXX XXX XXXXXXXX XXXXXX XXXXXXXXXXX XXXXXXX, XXXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXX XX XXXX XX XX XXXXXXXXX, XXXXXX XXX XXXXXXXXXXX XX XXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXXXX XXX XXXXXXXX XXXXXXXXXXXX, X.X. XXXX XXXXXXXXXXX XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXX XXXXXXX XXXXXXXXXXX XX XXX XXXXXXXXXXXX XXXX XXXXXXX XXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXXXX XX XXXXXXXXX XXXXXXX XX XXX XXXXXXXXXXX (XXX \u003ca href=\"#c7-1-1\"\u003e7.1.1\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXX XXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXX XXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXX XXX XXXXXXXXXXX XXXXXXX XXXXXXXXX XXXXXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXXXX XX XXX XXXXXXXXXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX XXXXXX XX XXX XXXXXXXXXXX XXX XXXX XXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXX XXXXXX XX XXXXXX XXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXX XXXXXXXX XX XXXX XXXX XXX XX XXX XXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXX XXX XXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXX X XXXXXXXX XXXXXXXXXXX XXXXXXXXXXX, XXXXXXXXXXXXX XXXXXX XXXXXXXX XXXXXXXXXXXXX XXXXXXXXX XX XXXXXX XXXXXXXXXXX XXXXXXXXXX XXX XXXXXXX XXXXX XX XXX XXXXXXXXXXX XXX XXXX XXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c14-2-7", + "title": "Outsourced development", + "props": [ + { + "class": "number", + "value": "14.2.7" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXXX XXXXXX XXXXXXXXX XXX XXXXXXX XXX XXXXXXXX XX XXXXXXXXXX XXXXXX XXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXXXX XXXXXXXX:\u003c/p\u003e", + "\u003cp\u003eXXXXX XXXXXX XXXXXXXXXXX XX XXXXXXXXXX, XXX XXXXXXXXX XXXXXX XXXXXX XX XXXXXXXXXX XXXXXX XXX XXXXXXXXXXXX’X XXXXXX XXXXXXXX XXXXXX XXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXXXX, XXXX XXXXXXXXX XXX XXXXXXXXXXXX XXXXXXXX XXXXXX XXXXXXX XX XXX XXXXXXXXXX XXXXXXX (XXX \u003ca href=\"#c18-1-2\"\u003e18.1.2\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXXXXXX XXX XXXXXX XXXXXX, XXXXXX XXX XXXXXXX XXXXXXXXX (XXX \u003ca href=\"#c14-2-1\"\u003e14.2.1\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXX XX XXX XXXXXXXX XXXXXX XXXXX XX XXX XXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXXX XXX XXX XXXXXXX XXX XXXXXXXX XX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XX XXXXXXXX XXXX XXXXXXXX XXXXXXXXXX XXXX XXXX XX XXXXXXXXX XXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX XXX XXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XX XXXXXXXX XXXX XXXXXXXXXX XXXXXXX XXX XXXX XXXXXXX XX XXXXX XXXXXXX XXX XXXXXXX XX XXXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXX XXXXXXX XXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XX XXXXXXXX XXXX XXXXXXXXXX XXXXXXX XXX XXXX XXXXXXX XX XXXXX XXXXXXX XXX XXXXXXXX XX XXXXX XXXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXXXXXX, X.X. XX XXXXXX XXXX XX XX XXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXX XX XXXXX XXXXXXXXXXX XXXXXXXXX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXXXXX XX XXX XXXXX XXXXXXXXXXX XXXX XX XXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXXXX XXXXXXX XXXXXXXXXXX XXX XXXXXXXXXX XXXX XXXXXXXXXX XXXX XXX XXXXXXX XXXXXXXXXX XXXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXX XXXXXXXXXXX XX XXXXXXXX XXXXXXXXXXXXX XXX XX XXXXX XX XXX/XXX XXXXX.[\u003ca\u003e21\u003c/a\u003e][\u003ca\u003e22\u003c/a\u003e][\u003ca\u003e23\u003c/a\u003e]\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c14-2-8", + "title": "System security testing", + "props": [ + { + "class": "number", + "value": "14.2.8" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXX XX XXXXXXXX XXXXXXXXXXXXX XXXXXX XX XXXXXXX XXX XXXXXX XXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXX XXXXXXX XXXXXXX XXXXXXX XXXXXXXX XXXXXXX XXX XXXXXXXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXXX, XXXXXXXXX XXX XXXXXXXXXXX XX X XXXXXXXX XXXXXXXX XX XXXXXXXXXX XXX XXXX XXXXXX XXX XXXXXXXX XXXXXXX XXXXX X XXXXX XX XXXXXXXXXX. XXX XX-XXXXX XXXXXXXXXXXX, XXXX XXXXX XXXXXX XXXXXXXXX XX XXXXXXXXX XX XXX XXXXXXXXXXX XXXX. XXXXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXX XXXX XX XXXXXXXXXX (XXXX XXX XX-XXXXX XXX XXX XXXXXXXXXX XXXXXXXXXXXX) XX XXXXXX XXXX XXX XXXXXX XXXXX XX XXXXXXXX XXX XXXX XX XXXXXXXX (XXX \u003ca href=\"#c14-1-1\"\u003e14.1.1\u003c/a\u003e XXX XX.X.X). XXX XXXXXX XX XXXXXXX XXXXXX XX XX XXXXXXXXXX XX XXX XXXXXXXXXX XXX XXXXXX XX XXX XXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c14-2-9", + "title": "System acceptance testing", + "props": [ + { + "class": "number", + "value": "14.2.9" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXXX XXXXXXXX XXX XXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXX XXXXXXXXXXX XXXXXXX, XXXXXXXX XXX XXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXX XXXXXXXXXX XXXXXXX XXXXXX XXXXXXX XXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX (XXX \u003ca href=\"#c14-1-1\"\u003e14.1.1\u003c/a\u003e XXX \u003ca href=\"#c14-1-2\"\u003e14.1.2\u003c/a\u003e) XXX XXXXXXXXX XX XXXXXX XXXXXX XXXXXXXXXXX XXXXXXXXX (XXX \u003ca href=\"#c14-2-1\"\u003e14.2.1\u003c/a\u003e). XXX XXXXXXX XXXXXX XXXX XX XXXXXXXXX XX XXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXX. XXXXXXXXXXXXX XXX XXXXXXXX XXXXXXXXX XXXXX, XXXX XX XXXX XXXXXXXX XXXXX XX XXXXXXXXXXXXX XXXXXXXX, XXX XXXXXX XXXXXX XXX XXXXXXXXXXX XX XXXXXXXX-XXXXXXX XXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXX XXXXXX XX XXXXXXXXX XX X XXXXXXXXX XXXX XXXXXXXXXXX XX XXXXXX XXXX XXX XXXXXX XXXX XXX XXXXXXXXX XXXXXXXXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXX XXXX XXX XXXXX XXX XXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g14-3", + "title": "Test data", + "props": [ + { + "class": "number", + "value": "14.3" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXX XXXXXXXXXX XX XXXX XXXX XXX XXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c14-3-1", + "title": "Protection of test data", + "props": [ + { + "class": "number", + "value": "14.3.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXX XXXX XXXXXX XX XXXXXXXX XXXXXXXXX, XXXXXXXXX XXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXX XX XXXXXXXXXXX XXXX XXXXXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XX XXX XXXXX XXXXXXXXXXXX XXXXXXXXXXX XXX XXXXXXX XXXXXXXX XXXXXX XX XXXXXXX. XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XX XXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XX XXXX XXX XXXXXXX XXXXXXXX, XXX XXXXXXXXX XXXXXXX XXX XXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXXX XX XXXXXXXXXXXX (XXX XXX/XXX XXXXX[\u003ca\u003e26\u003c/a\u003e]).\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXX XXXXXXXXXXX XXXX, XXXX XXXX XXX XXXXXXX XXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXX XXXXXX XXXXXXX XXXXXXXXXX, XXXXX XXXXX XX XXXXXXXXXXX XXXXXXXXXXX XXXXXXX, XXXXXX XXXX XXXXX XX XXXX XXXXXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXXXXX XXXX XXXX XXXXXXXXXXX XXXXXXXXXXX XX XXXXXX XX X XXXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXX XXXX X XXXX XXXXXXXXXXX XXXXXXXXXXX XXXXX XXX XXXXXXX XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXX XXX XXX XX XXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXX XX XXXXXXX XX XXXXX XXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXX XXX XXXXXXXXXX XXXXXXX XXXXXXX XXXXXXXX XXXXXXXXXXX XXXXXXX XX XXXX XXXX XXXX XXX XX XXXXX XX XXXXXXXX XX XXXXXXXXXXX XXXX.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "control-category", + "id": "g15", + "title": "Supplier relationships", + "props": [ + { + "class": "number", + "value": "15" + } + ], + "groups": [ + { + "class": "clause", + "id": "g15-1", + "title": "Information security in supplier relationships", + "props": [ + { + "class": "number", + "value": "15.1" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXX XXXX XX XXXXXXXXXX XX XXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c15-1-1", + "title": "Information security policy for supplier relationships", + "props": [ + { + "class": "number", + "value": "15.1.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXX XXXXXXXXXX XXX XXXXX XXXXXXXXXX XXXX XXXXXXXX’X XXXXXX XX XXX XXXXXXXXXXXX’X XXXXXX XXXXXX XX XXXXXX XXXX XXX XXXXXXXX XXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXXX XXXXXX XXXXXXXX XXX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XX XXXXXXXXXXXX XXXXXXX XXXXXXXX XXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XX X XXXXXX. XXXXX XXXXXXXX XXXXXX XXXXXXX XXXXXXXXX XXX XXXXXXXXXX XX XX XXXXXXXXXXX XX XXX XXXXXXXXXXXX, XX XXXX XX XXXXX XXXXXXXXX XXX XXXXXXXXXX XXXX XXX XXXXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXX XX XXXXXXXXX, XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXX XXX XXXXXXXXXXX XXX XXXXX XX XXXXXXXXX, X.X. XX XXXXXXXX, XXXXXXXXX XXXXXXXXX, XXXXXXXXX XXXXXXXX, XX XXXXXXXXXXXXXX XXXXXXXXXX, XXXX XXX XXXXXXXXXXXX XXXX XXXXX XX XXXXXX XXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eX XXXXXXXXXXXX XXXXXXX XXX XXXXXXXXX XXX XXXXXXXX XXXXXXXX XXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXXXX XX XXXXXXXXXXX XXXXXX XXXX XXXXXXXXX XXXXX XX XXXXXXXXX XXXX XX XXXXXXX, XXX XXXXXXXXXX XXX XXXXXXXXXXX XXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXX XXXX XXXX XX XXXXXXXXXXX XXX XXXX XX XXXXXX XX XXXXX XX XXX XXXXX XXX XXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXX XXX XXXXXXXXXXXX XXX XXX XXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXX XXXX XXXX XX XXXXXXXX XXX XXXX XX XXXXXX, XXXXXXXXX XXXXX XXXXX XXXXXX XXX XXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXXXXXXXXXXX XXXXXXXX XX XXXXXX XXX XXXXXXXXX XX XXX XXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXX XX XXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XX XXXXXXXXXXX XXXXXXXXXX XX XXXXXXXXX XX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXX XXXXXX XXXXXXXXX XXXXXXXXXXXXXXXX XX XXXX XXX XXXXXXXXXXXX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX, XX XXXXXXXXX, XXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXXX XX XXXXXX XXX XXXXXXXXXXXX XX XXX XXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXX XX XXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXX XXX XXX XXXXXXXXXXXX’X XXXXXXXXX XXXXXXXX XX XXXXXXXXXXXX XXXXXXXXX XXXXXXXXXX XXXXXXXX, XXXXXXXXX XXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXX XXX XXX XXXXXXXXXXXX’X XXXXXXXXX XXXXXXXXXXX XXXX XXXXXXXX XXXXXXXXX XXXXXXXXX XXXXXXXXXXX XXXXX XX XXXXXXXXXX XXX XXXXXXXXX XXXXX XX XXX XXXX XX XXXXXXXX XXX XXX XXXXX XX XXXXXXXX XXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXX XXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXX XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXX XXXXXXXX XXXX XX XXXXXXXXXX XX XX XXXXXXXXX XXXXXX XX XXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXX XX XXXXXXXXXXX, XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXX XXXX XXXX XXXXX XX XX XXXXX, XXX XXXXXXXX XXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXX XX XXX XX XXXX XX XXXXXXXXX XXXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX. XXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXX XX XXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX. XXX XXXXXXX, XX XXXXX XX X XXXXXXX XXXX XXX XXXXXXXXXXXXXXX XX XXX XXXXXXXXXXX, XXX-XXXXXXXXXX XXXXXXXXXX XXX XX XXXX. XXXXXXX XXXXXXX XX XXXX XXXXXXXXXX XXXXX XXXX XXX XXXXXXXX XXXXXXXXX XXXXXXXX XXXXXXXX XX, XX XXXXXX XX, XXXXXXXXXXX XXXXXX XXXXXXX. XXX XXXXXXXXXXXX XXXXX XX XX XXXXX XXXX XXX XXXXX XX XXXXXXXXXXX XXXXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXXX XXXX XXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c15-1-2", + "title": "Addressing security within supplier agreements", + "props": [ + { + "class": "number", + "value": "15.1.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXXX XXXX XXXX XXXXXXXX XXXX XXX XXXXXX, XXXXXXX, XXXXX, XXXXXXXXXXX, XX XXXXXXX XX XXXXXXXXXXXXXX XXXXXXXXXX XXX, XXX XXXXXXXXXXXX’X XXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXX XX XXXXXX XXXX XXXXX XX XX XXXXXXXXXXXXXXXX XXXXXXX XXX XXXXXXXXXXXX XXX XXX XXXXXXXX XXXXXXXXX XXXX XXXXXXX’ XXXXXXXXXXX XX XXXXXX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXX XX XXX XXXXXXXXXX XX XXXXX XX XXXXXXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXX XX XXX XXXXXXXXXXX XX XX XXXXXXXX XX XXXXXXXX XXX XXXXXXX XX XXXXXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXXXXX XXXXXX (XXX \u003ca href=\"#g8-2\"\u003e8.2\u003c/a\u003e); XX XXXXXXXXX XXXX XXXXXXX XXXXXXX XXX XXXXXXXXXXXX’X XXX XXXXXXXXXXXXXX XXXXXX XXX XXX XXXXXXXXXXXXXX XXXXXX XX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXX XXXXXXXXXX XXXXXXXXXXXX, XXXXXXXXX XXXX XXXXXXXXXX, XXXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXXX, XXX X XXXXXXXXXXX XX XXX XX XXXX XX XXXXXXX XXXX XXXX XXX XXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX XXXX XXXXXXXXXXX XXXXX XX XXXXXXXXX XX XXXXXX XXX XX XXXXXXXX XXXXXXXXX XXXXXX XXXXXXX, XXXXXXXXXXX XXXXXX, XXXXXXXXXX, XXXXXXXXX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XX XXXXXXXXXX XXX XX XXXXXXXXXXX, XXXXXXXXX XXXXXXXXXXXX XXX XX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXX XXXX XX XXXXXXXX XXXXXXXXX XXXXXXXXXX XX XXXXXX XX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXX XXXXXXXXXXXXX, XXX XXXXXXX XX XXX XXXXXXXXXXXXX, XXX XXXXXX XX XX XXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XX XXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXX XX XXX XXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXX XXXXXXXXXX (XXXXXXXXXX XXXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXX XXXXXXXX XXXXXXXXXXX);\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX, X.X. XXX XXXXXXXX XXXXXXXX, XXXXXXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXXX XXX XXX-XXXXXXXXXXX, XXXXXXXXX XXX XXXXXXXX XXXX XXXX XX XX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXXX XXXXXXXX, XXXXXXXXX X XXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXXXX, XX XXX, XXX XXXXXXXX’X XXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXX XXX XXXXXXXXXX XXX XXXXXXXXX XXX XXXXXXXXXXXX XXXXXXXXXX XX XXXXXXXXX XXX XXX XXXX XXXXXXXXX XX XX XXX XXXXXXX XXXX XXXXX XXX XXXXX XX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XX XXXXX XXX XXXXXXXX XXXXXXXXX XXX XXXXXXXX XXXXXXX XX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX’X XXXXXXXXXX XX XXXXXXXXXXXX XXXXXXX XX XXXXXXXXXXX XXXXXX XX XXX XXXXXXXXXXXXX XX XXXXXXXX XXX XXXXXXXXX XX XXXXXX XXXXXXXXXX XX XXXXXXXX XXXXXX XXXXXX XX XXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX’X XXXXXXXXXXX XX XXXXXX XXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXX XXX XXXX XXXXXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXXXX XXX XXXXX XXX XXXXXXXXX XXXXX XX XXXXXXXXX. XXXXXXXXX, XXXX XXXXXX XX XXXXX XX XXXXXXX XXX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXX XXX XXXXXXXXXXXX. XXXXXXXX XXXXXXXXXX XXX XXXX XXXXXXX XXXXX XXXXXXX (X.X. XXX-XXXXXXXXX).\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXX XX XXX XXXXX XXXX XXX XXXXXXXX XXXXXXX XXXXXX XX XXXXXX XXX XXXXXXXX XX XXXXXXXX XXXX XX XX XXXXXXXXXX XX XXX XXXXXXXXX XX XXXXX XXX XXXXX XX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c15-1-3", + "title": "Information and communication technology supply chain", + "props": [ + { + "class": "number", + "value": "15.1.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXX XXXXXXXXX XXXXXX XXXXXXX XXXXXXXXXXXX XX XXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXX XXXXXXXXXXXXXX XXXXXXXXXX XXXXXXXX XXX XXXXXXX XXXXXX XXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXX XX XXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XXXXX XXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XX XXXXX XX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXX XX XXXXXXX XXXXXXXXXXX XX XXXXXXXX XX XXX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXXX, XXXXXXXXX XXXX XXXXXXXXX XXXXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXXXXXXXX XXXXXXXXXX XXX XXXXXX XXXXX XX XXXXXXXXX XXXXXXXXXXX XXX XXXXX XX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXXXX XX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXXX, XXXXXXXXX XXXX XXXXXXXXX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXXXXXX XXX XXXXXX XXXXX XX XXXXX XXXXXXXX XXXXXXX XXXXXXXXXX XXXXXXXXX XXXX XXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX X XXXXXXXXXX XXXXXXX XXX XXXXXXXXXX XXXXXXX XXX XXXXXXXXXX XXXX XXXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXXX XXX XXXXXXXX XXX XXXXXXXX XX XXXXXX XXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX X XXXXXXX XXX XXXXXXXXXXX XXXXXXX XX XXXXXXX XXXXXXXXXX XXXX XXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXXXX XXX XXXXXXXXX XXXXXXX XXXXXXXXX XXXXXXXXX XXX XXXXXXXX XXXX XXXXX XXXXXXX XX XXX XXXXXXXXXXXX XXXXXXXXXX XX XXX XXX XXXX XXXXXXXX XXXXXXXXXX XXXXXXX XX XXXXXXX XX XXXXXXX XXXXXXXXXX XX XXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXX XXXX XXXXXXXX XXXXXXXXXX XXX XXXXX XXXXXX XXX XX XXXXXX XXXXXXXXXX XXX XXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXX XXXX XXX XXXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXX XXXXXXX XXX XXXXXXXXXX XX XXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXX XXX XXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXX XXXXXX XXXXX XXX XXX XXXXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXX XXX XXXXXXXXXXXX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXXXX XXXXXXXXX XXX XXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXX XXXXX. XXXX XXXXXXXX XXXXXXXX XXX XXXXX XX XXXXXXXXXX XX XXXXXX XXXXX XXXXXXXXX XXX XX XXXXXXXXX XX XXXXXX XXXXX XX XXXXXXXX XX XXXXXXXXX XX XXXXXX XXXXXXXXX XXXXX XXXXXXXXXX XXX XX XXXXXXXXXX XXXXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXX XXXXX XXXX XXXXXXXXXX XXXXXXXXX XXX XXXXX XX XXX XX XXXXXXX XXXXXXXXXXX XXXXXXXX, XXXXXXX, XXXXXXX XXXXXXXXXX XXX XXXXXX XXXXXXXXXXX XXXXXXXXX XXX XX XXX XXXXXXX XXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXXX XXX XXXXXXX XX XXXX XXXX XXXXXXXXX XX XXXXXXXXXX XXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXX XXXXX XXX XXX XXXXXXX XXXX XXXX XX XXXXXXXXX XXXXXX XX XXX XXXXXXXX XXX XXXXXXXX XXXXX XXXXXXXX. XXXXXXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXX XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XX XXXXXX XXXXX XX XXXXXXXXXX XXXX XXXXX XXXXXXXXX XXX XXXXXXX XXXX XXXXXX XX XXXXXXXXX XX XXXXX XXXXXXXXX XX XXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXX XXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXX XXXXX XX XXXXXXXXX XXXX XXXXXXXX XXXXX XXXXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g15-2", + "title": "Supplier service delivery management", + "props": [ + { + "class": "number", + "value": "15.2" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXXXX XX XXXXXX XXXXX XX XXXXXXXXXXX XXXXXXXX XXX XXXXXXX XXXXXXXX XX XXXX XXXX XXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c15-2-1", + "title": "Monitoring and review of supplier services", + "props": [ + { + "class": "number", + "value": "15.2.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXX XXXXXX XXXXXXXXX XXXXXXX, XXXXXX XXX XXXXX XXXXXXXX XXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXX XXXXXX XX XXXXXXXX XXXXXXXX XXXXXX XXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXX XXXXX XXX XXXXXXXXXX XX XXX XXXXXXXXXX XXX XXXXX XXXXXXX XX XXX XXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXX XXX XXXXXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXX XXXXXX XXXXXXX X XXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXX XXXXXXX XXX XXXXXXXXXXXX XXX XXX XXXXXXXX XX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXX XXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXX XXXXXXXXX XX XXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXX XXXXXXX XXXXXXXX XX XXX XXXXXXXX XXX XXXXXXX XXXXXXX XXXXXXXX XXXXXXXX XX XXXXXXXX XX XXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXX XX XXXXXXXXX, XX XXXXXXXXXXX XXXX XXXXXX XX XXXXXXXXXXX XXXXXXX’X XXXXXXX, XX XXXXXXXXX, XXX XXXXXX-XX XX XXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXXXXXXXXX XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXX XXXX XXXXXXXXXXX XX XXXXXXXX XX XXX XXXXXXXXXX XXX XXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXX XXXXX XXXXXX XXX XXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXX, XXXXXXXXXXX XXXXXXXX, XXXXXXXX, XXXXXXX XX XXXXXX XXX XXXXXXXXXXX XXXXXXX XX XXX XXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXX XXXXXX XXX XXXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXX XX XXX XXXXXXXX’X XXXXXXXXXXXXX XXXX XXX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXX XXX XXXXXXXX XXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXXXXXX XXXXXXXX XXXX XXXXXXXX XXXXX XXXXXXXX XX XXXXXX XXXX XXXXXX XXXXXXX XXXXXXXXXX XXXXXX XXX XXXXXXXXXX XXXXXXXXX XXXXX XXXXXXX XXXXXXXX XX XXXXXXXX (XXX \u003ca\u003eClause 17\u003c/a\u003e).\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXX XXXXXXXXXXXXXX XXX XXXXXXXX XXXXXXXX XXXXXXXXXXXXX XXXXXX XX XXXXXXXX XX X XXXXXXXXXX XXXXXXXXXX XX XXXXXXX XXXXXXXXXX XXXX. XX XXXXXXXX, XXX XXXXXXXXXXXX XXXXXX XXXXXX XXXX XXXXXXXXX XXXXXX XXXXXXXXXXXXXXXX XXX XXXXXXXXX XXXXXXXXXX XXX XXXXXXXXX XXX XXXXXXXXXXXX XX XXX XXXXXXXXXX. XXXXXXXXXX XXXXXXXXX XXXXXX XXX XXXXXXXXX XXXXXX XX XXXX XXXXXXXXX XX XXXXXXX XXXX XXX XXXXXXXXXXXX XX XXX XXXXXXXXX, XX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX, XXX XXXXX XXX. XXXXXXXXXXX XXXXXX XXXXXX XX XXXXX XXXX XXXXXXXXXXXX XX XXX XXXXXXX XXXXXXXX XXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXXXXXX XXXXXX XXXXXX XXXXXXXXXX XXXXXXX XXXXXXX XXX XXXXXXXXXX XXXX XXX XXXXXXXX XXXXXXX XXX XXXXXXXXX XX XXXXXXXX XXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXXXX, XXXXXXXXX XX XXXXXXX XX X XXXXXXXX. XXX XXXXXXXXXXXX XXXXXX XXXXXX XXXXXXXXXX XXXX XXXXXXXX XXXXXXXXXX XXXX XX XXXXXX XXXXXXXXXX, XXXXXXXXXXXXXX XX XXXXXXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXX XXXXXXX X XXXXXXX XXXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c15-2-2", + "title": "Managing changes to supplier services", + "props": [ + { + "class": "number", + "value": "15.2.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXX XX XXX XXXXXXXXX XX XXXXXXXX XX XXXXXXXXX, XXXXXXXXX XXXXXXXXXXX XXX XXXXXXXXX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXX, XXXXXXXXXX XXX XXXXXXXX, XXXXXX XX XXXXXXX, XXXXXX XXXXXXX XX XXX XXXXXXXXXXX XX XXXXXXXX XXXXXXXXXXX, XXXXXXX XXX XXXXXXXXX XXXXXXXX XXX XX-XXXXXXXXXX XX XXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXX XXXXXX XX XXXXX XXXX XXXXXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXX XX XXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXX XX XXX XXXXXXXXXXXX XX XXXXXXXXX:\u003col\u003e \u003cli\u003eXXXXXXXXXXXX XX XXX XXXXXXX XXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XX XXX XXX XXXXXXXXXXXX XXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXX XX XXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXX XXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XX XXXXXXX XXXXXXXX XX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XX XXXXXXX XXXXXXXX;.\u003c/li\u003e \u003c/ol\u003e \u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXXXXXX XXXXXXXX XX XXXXXXXXX:\u003col\u003e \u003cli\u003eXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XX XXX XXXXXXXX XX XXXXX XXXXXXXX/XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXXX XXXXX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XX XXXXXXXX XXXXXXXX XX XXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX-XXXXXXXXXXX XX XXXXXXX XXXXXXXX.\u003c/li\u003e \u003c/ol\u003e \u003c/li\u003e \u003c/ol\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "control-category", + "id": "g16", + "title": "Information security incident management", + "props": [ + { + "class": "number", + "value": "16" + } + ], + "groups": [ + { + "class": "clause", + "id": "g16-1", + "title": "Management of information security incidents and improvements", + "props": [ + { + "class": "number", + "value": "16.1" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX X XXXXXXXXXX XXX XXXXXXXXX XXXXXXXX XX XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX, XXXXXXXXX XXXXXXXXXXXXX XX XXXXXXXX XXXXXX XXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c16-1-1", + "title": "Responsibilities and procedures", + "props": [ + { + "class": "number", + "value": "16.1.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXXXXXXXXXXXX XXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX X XXXXX, XXXXXXXXX XXX XXXXXXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXXXXXXX XXX XXXXXXXXXX XXXX XXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXX XXXXXXXXXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XXXX XXX XXXXXXXXX XXXXXXXXXX XXX XXXXXXXXX XXX XXXXXXXXXXXX XXXXXXXXXX XXXXXX XXX XXXXXXXXXXXX:\u003col\u003e \u003cli\u003eXXXXXXXXXX XXX XXXXXXXX XXXXXXXX XXXXXXXX XXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX XXXXXXXXXX, XXXXXXXXX, XXXXXXXXX XXX XXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX XXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX XXXXXXXX XX XXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX XXXXXXXXXX XX XXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX XXXXXXXX XXXXXXXXX XXXXX XXX XXXXXXXXXX, XXXXXXXXXX XXXXXXXX XXXX XX XXXXXXXX XXX XXXXXXXXXXXXX XX XXXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXXXXXXX;\u003c/li\u003e \u003c/ol\u003e \u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXXXXXXX XXXXXX XXXXXX XXXX:\u003col\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXX XXXXXX XXX XXXXXX XXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXX XXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eX XXXXX XX XXXXXXX XXX XXXXXXXX XXXXXXXXX’ XXXXXXXXX XXX XXXXXXXXX XX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXX XXXX XXXXXXXXXXX, XXXXXXXX XXXXXXXX XXXXXX XX XXXXXX XXXX XXXXXX XXX XXXXXX XXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXXXX;\u003c/li\u003e \u003c/ol\u003e \u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXX XXXXXX XXXXXXX:\u003col\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXX XXXXXXXXX XXXXX XX XXXXXXX XXX XXXXXXXXX XXXXXX XXX XX XXXX XXX XXXXXX XXXXXXXXX XX XXXXXXXX XXX XXXXXXXXX XXXXXXX XX XXXX XX XX XXXXXXXXXXX XXXXXXXX XXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXX XX XX XXXXXXXXXX XX XXXX XX XX XXXXXXXXXXX XXXXXXXX XXXXX, X.X. XXXXXX XXX XXXXXXX XXXXXXXXXXX, XXXX XX XXXX XX XXX-XXXXXXXXXX XX XXXXXX, XXXXXXXXX XXXXXXXXXXX, XXXXXXXX XX XXX XXXXXX XXX XXXXXXXXXXX XXXXXXXXX XX XXX XXXXX XX XXXXXXX XXX XXXXXX XXXX XXXXXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XX XX XXXXXXXXXXX XXXXXX XXXXXXXXXXXX XXXXXXX XXX XXXXXXX XXXX XXXXXXXXX XXX XXXXXX XXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXX XXXXXXXXX XX XXXXXX XXXX XXXXX XXXXXXX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXX XX XXXXXXX XXXXX XXX XXXXX XXX XXXX XXXXX XXXX XXX XXXXXX.\u003c/li\u003e \u003c/ol\u003e \u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXX XXXX XXXXXXXXXX, XXX XX XXXXXX XX XXXXXXX XXXX XXXXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXX XXXXXXXXX XXXXXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX. XX XXXXXXX XX XXXX XXXXXXXXX XXXXX XX XX XXXXXXXXXX XXXX XX XXXXXXXXXX XXXXXXXX XXX XXXXX XXXXXXXXXXX XXXXX XXXXX XXXXXXXXX XXXX XXXXXXXX XXXXXXXXXXXXX XX XXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXXX XX XXXXXXXX XX XXX/XXX XXXXX.[\u003ca\u003e20\u003c/a\u003e]\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c16-1-2", + "title": "Reporting information security events", + "props": [ + { + "class": "number", + "value": "16.1.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXX XXXXXX XX XXXXXXXX XXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXX XX XXXXXXX XX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXX XXXXXXXXXXX XXXXXX XX XXXX XXXXX XX XXXXX XXXXXXXXXXXXXX XX XXXXXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXX. XXXX XXXXXX XXXX XX XXXXX XX XXX XXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXX XXX XXX XXXXX XX XXXXXXX XX XXXXX XXX XXXXXX XXXXXX XX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXX XX XX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXX XXXXXXXXX XXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XX XXXXXXXXXXX XXXXXXXXX, XXXXXXXXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXX-XXXXXXXXXXX XXXX XXXXXXXX XX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXXXX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XX XXXXXXXX XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXX XX XXXXX XXXXXXXXX XXXXXX XXXXXXXXX XXX XX XX XXXXXXXXX XX X XXXXXXXX XXXXXX XX XXXXXX XXXXXXXX XXXXXX XXX XXXXXX XXXXXXXXX XXXXXX XX XXXXXXXX XX XX XXXXXXXXXXX XXXXXXXX XXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c16-1-3", + "title": "Reporting information security weaknesses", + "props": [ + { + "class": "number", + "value": "16.1.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXX XXX XXXXXXXXXXX XXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXX XX XXXX XXX XXXXXX XXX XXXXXXXX XX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XX XXXXXXX XX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXX XXXXXXXXXXX XXXXXX XXXXXX XXXXX XXXXXXX XX XXX XXXXX XX XXXXXXX XX XXXXXXX XX XXXXXXXX XX XXXXX XX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX. XXX XXXXXXXXX XXXXXXXXX XXXXXX XX XX XXXX, XXXXXXXXXX XXX XXXXXXXXX XX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXX XXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXX XX XXXXXXX XX XXXXX XXXXXXXXX XXXXXXXX XXXXXXXXXX. XXXXXXX XXXXXXXXXX XXXXX XX XXXXXXXXXXX XX X XXXXXXXXX XXXXXX XX XXX XXXXXX XXX XXXXX XXXX XXXXX XXXXXX XX XXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXX XXXXXX XX XXXXX XXXXXXXXX XXX XXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c16-1-4", + "title": "Assessment of and decision on information security events", + "props": [ + { + "class": "number", + "value": "16.1.4" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXX XXXXXX XX XXXXXXXX XXX XX XXXXXX XX XXXXXXX XX XXXX XXX XX XX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXX XX XXXXXXX XXXXXX XXXXXX XXXX XXXXXXXXXXX XXXXXXXX XXXXX XXXXX XXX XXXXXX XXXXXXXXXXX XXXXXXXX XXXXX XXX XXXXXXXX XXXXXXXXXXXXXX XXXXX XXX XXXXXX XXXXXXX XXX XXXXX XXXXXX XX XXXXXXXXXX XX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX. XXXXXXXXXXXXXX XXX XXXXXXXXXXXXXX XX XXXXXXXXX XXX XXXX XX XXXXXXXX XXX XXXXXX XXX XXXXXX XX XX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXXX XXXXX XXX XXXXXXXXXXXX XXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXX XXXX (XXXXX), XXX XXXXXXXXXX XXX XXXXXXXX XXX XX XXXXXXXXX XX XXX XXXXX XXX XXXXXXXXXXXX XX XXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXX XX XXX XXXXXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXX XXX XXX XXXXXXX XX XXXXXX XXXXXXXXX XXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c16-1-5", + "title": "Response to information security incidents", + "props": [ + { + "class": "number", + "value": "16.1.5" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXX XX XX XXXXXXXXXX XXXX XXX XXXXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXX XX XX X XXXXXXXXX XXXXX XX XXXXXXX XXX XXXXX XXXXXXXX XXXXXXX XX XXX XXXXXXXXXXXX XX XXXXXXXX XXXXXXX (XXX \u003ca href=\"#c16-1-1\"\u003e16.1.1\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXX XXXXXXXX XX XXXX XX XXXXXXXX XXXXX XXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXXXX, XX XXXXXXXX (XXX \u003ca href=\"#c16-1-7\"\u003e16.1.7\u003c/a\u003e);\u003c/li\u003e \u003cli\u003eXXXXXXXXXX, XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXX XXX XXXXXXXX XXXXXXXX XXXXXXXXXX XXX XXXXXXXX XXXXXX XXX XXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXX XXX XXXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XX XXX XXXXXXXX XXXXXXX XXXXXXX XX XXXXX XXXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXXXXXXX XXXX X XXXX-XX-XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXX XXXX XXXXXXXXXXX XXXXXXXX XXXXXXXX(XX) XXXXX XX XXXXX XX XXXXXXXXXX XX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXX XXX XXXXXXXX XXX XXXX XXXXXXXXXXXX XXXXX XXXX, XXXXXXXX XXXXXXX XXX XXXXXXXXX XX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXX-XXXXXXXX XXXXXXXX XXXXXX XXXX XXXXX, XX XXXXXXXXX, XX XXXXXXXX XXX XXXXXX XX XXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX XXXXX XXXX XX XXXXXXXX XXXXXXXX XX XX XXXXXX ‘XXXXXX XXXXXXXX XXXXX’ XXX XXXX XXXXXXXX XXX XXXXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c16-1-6", + "title": "Learning from information security incidents", + "props": [ + { + "class": "number", + "value": "16.1.6" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXX XXXXXX XXXX XXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXX XX XXXX XX XXXXXX XXX XXXXXXXXXX XX XXXXXX XX XXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXX XXXXXX XX XXXXXXXXXX XX XXXXX XX XXXXXX XXX XXXXX, XXXXXXX XXX XXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XX XX XXXXXXXXXX XXX XXXXXXXXX. XXX XXXXXXXXXXX XXXXXX XXXX XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXX XX XXXX XX XXXXXXXX XXXXXXXXX XX XXXX XXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXX XXX XXXX XXX XXXXXXXX XX XXXXXXXXXX XXXXXXXX XX XXXXX XXX XXXXXXXXX, XXXXXX XXX XXXX XX XXXXXX XXXXXXXXXXX, XX XX XX XXXXX XXXX XXXXXXX XX XXX XXXXXXXX XXXXXX XXXXXX XXXXXXX (XXX \u003ca href=\"#c5-1-2\"\u003e5.1.2\u003c/a\u003e).\u003c/p\u003e", + "\u003cp\u003eXXXX XXX XXXX XX XXXXXXXXXXXXXXX XXXXXXX, XXXXXXXXX XXXX XXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XX XXXX XX XXXX XXXXXXXXX XXXXXXXX (XXX \u003ca href=\"#c7-2-2\"\u003e7.2.2\u003c/a\u003e) XX XXXXXXXX XX XXXX XXXXX XXXXXX, XXX XX XXXXXXX XX XXXX XXXXXXXXX XXX XXX XX XXXXX XXXX XX XXX XXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c16-1-7", + "title": "Collection of evidence", + "props": [ + { + "class": "number", + "value": "16.1.7" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXXX XXXXXX XXXXXX XXX XXXXX XXXXXXXXXX XXX XXX XXXXXXXXXXXXXX, XXXXXXXXXX, XXXXXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXXXXX, XXXXX XXX XXXXX XX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXX XXXX XXXXXXX XXXX XXXXXXXX XXX XXX XXXXXXXX XX XXXXXXXXXXXX XXX XXXXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXXXXX, XXXXX XXXXXXXXXX XXX XXXXXXXX XXXXXX XXXXXXX XXXXXXXXX XX XXXXXXXXXXXXXX, XXXXXXXXXX, XXXXXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXX XX XXXXXXXXXX XXXX XXXXXXXXX XXXXX XX XXXXX, XXXXXXX XXX XXXXXX XX XXXXXXX, X.X. XXXXXXX XX XX XXX. XXX XXXXXXXXXX XXXXXX XXXX XXXXXXX XX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXX XX XXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXX XXX XXXXXXXXXXXXXXXX XX XXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXX XXXXXXXXX, XXXXXXXXXXXXX XX XXXXX XXXXXXXX XXXXX XX XXXXXXXXXXXXX XX XXXXXXXXX XXX XXXXX XXXXXX XX XXXXXX, XX XX XX XXXXXXXXXX XXX XXXXX XX XXX XXXXXXXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXX XXXXXXXX XXX XXXXXXXXX XXXXXXXXXXXXXX XX XXXXXXXXXXXXXX XXXXXXXXXX. XX XXXX XXXXX, XX XXXXXX XX XXXXXXX XXXX XXX XXXXXXXXXXXX XX XXXXXXXX XX XXXXXXX XXX XXXXXXXX XXXXXXXXXXX XX XXXXXXXX XXXXXXXX. XXX XXXXXXXXXXXX XX XXXXXXXXX XXXXXXXXXXXXX XXXXXX XXXX XX XXXXXXXXXX XX XXXXXXXX XXXXXXX XX XXXXXXXXX XXXXXX XXX XXXXXXXX XXXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXXX XX XXX XXXXXXX XXXXXXXXX XXX XXXXXX XXX, XXXXXXXXXXX XXX XXXXXXXXXXXXX XX XXXXXXXXX XXXXXXXX. XXXXXXXXXX XX XXX XXXXXXX XX XXXXXXXXX XXX XXXXXXXX XXXXX XXXX XXX XXXXXXX XXXXXXXXX XXXXXXXX. XXXXXXXXXXX XX XXX XXXXXXX XX XXXXXXXX X XXXX XX XXXX XXXXXX X XXXXXXX XXX. XXXXXXXXXXXX XX XXX XXXXXXX XX XXXXXXXX XXX XXXXXXXXX XXX XXXXXXXXX XXX XXXXXXXX XXXXXXXXX XX XXX XXXXXXXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXX XX XXXXXXXXXXX XXXXXXXX XXXXX XX XXXXX XXXXXXXX, XX XXX XXX XX XXXXXXX XXXXXXX XX XXX XXX XXXXX XXXX XXXXXX XX XXXXX XXXXXX. XXXXXXXXX, XXX XXXXXX XXXXXX XXXX XXXXXXXXX XXXXXXXX XX XXXXXXXXX XXXXXXXXXXXXX XX XXXXXXXXXXXX XXXXXX XXX XXXXXXXXXXX XX XXX XXXXXXXX XX XXXXXXXX. XX XX XXXXXXXXX XX XXXXXXX X XXXXXX XX XXX XXXXXX XXXXX XX XXX XXXXXXXXXXXX XXXXX XXXXXX XXX XXXX XXXXXX XX XXX XXXXXXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX/XXX XXXXX[\u003ca\u003e24\u003c/a\u003e] XXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXXXX, XXXXXXXXXX, XXXXXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "control-category", + "id": "g17", + "title": "Information security aspects of business continuity management", + "props": [ + { + "class": "number", + "value": "17" + } + ], + "groups": [ + { + "class": "clause", + "id": "g17-1", + "title": "Information security continuity", + "props": [ + { + "class": "number", + "value": "17.1" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c17-1-1", + "title": "Planning information security continuity", + "props": [ + { + "class": "number", + "value": "17.1.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXXX XXXXXX XXXXXXXXX XXX XXXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XX XXXXXXX XXXXXXXXXX, X.X. XXXXXX X XXXXXX XX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXX XXXXXXXXXXXX XXXXXX XXXXXXXXX XXXXXXX XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XX XXXXXXXX XXXXXX XXX XXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXXX XX XXXXXX XXX XXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXX. XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXX XXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXX XXXXXXX XX XXXXXX XXXXXXXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXX XXXXXXXX, XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXX XXXXXX XXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXX XXX XXXX XX XXXXXXX XXXXXXXXXX, XXXXXXXX XX XXXXXX XXXXXXXXXXX XXXXXXXXXX. XXXXXXXXXXXXX, XX XXXXXXXXXXXX XXXXX XXXXXXX X XXXXXXXX XXXXXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXXXXXX XX XXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXX XXXXX XX XXXXXX XXX XXXX XXX XXXXXX XX XX ‘XXXXXXXXXX’ XXXXXXXX XXXXXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX, XX XX XXXXXXXXXXX XX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXX XXXXXX XXX XXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXX XXXXXX XXXXXXXX. XXXX XXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXX XXXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XX XXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XX XXXXX XX XXX/XXX XXXXX,[\u003ca href=\"#g14\"\u003e14\u003c/a\u003e] XXX XXXXX[\u003ca href=\"#g9\"\u003e9\u003c/a\u003e] XXX XXX XXXXX.[\u003ca href=\"#g8\"\u003e8\u003c/a\u003e]\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c17-1-2", + "title": "Implementing information security continuity", + "props": [ + { + "class": "number", + "value": "17.1.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXXX XXXXXX XXXXXXXXX, XXXXXXXX, XXXXXXXXX XXX XXXXXXXX XXXXXXXXX, XXXXXXXXXX XXX XXXXXXXX XX XXXXXX XXX XXXXXXXX XXXXX XX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXX XXXXXXXXXXXX XXXXXX XXXXXX XXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXX XXXXXXXX XXXXXXXXXX XXXXXXXXX XX XX XXXXX XX XXXXXXX XXX, XXXXXXXX XXX XXXXXXX XX X XXXXXXXXXX XXXXX XXXXX XXXXXXXXX XXXX XXX XXXXXXXXX XXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXXXXXXX XXXXXXXXX XXXX XXX XXXXXXXXX XXXXXXXXXXXXXX, XXXXXXXXX XXX XXXXXXXXXX XX XXXXXX XX XXXXXXXX XXX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXXXX, XXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXX XXXXXXXXX XXX XXXXXXXX, XXXXXXXXX XXX XXX XXXXXXXXXXXX XXXX XXXXXX X XXXXXXXXXX XXXXX XXX XXXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XX X XXXXXXXXXXXXX XXXXX, XXXXX XX XXXXXXXXXX-XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXX (XXX \u003ca href=\"#c17-1-1\"\u003e17.1.1\u003c/a\u003e).\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXX, XXX XXXXXXXXXXXX XXXXXX XXXXXXXXX, XXXXXXXX, XXXXXXXXX XXX XXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXX XXXXXXXX XXXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXX XXXXXXX XXX XXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXXXXXX XXXXXXX XX XXXXXXXX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXX XXXXXX XX XXXXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXX XXX XXXXXXX XX XXXXXXXX XXXXXXXXXX XX XXXXXXXX XXXXXXXX, XXXXXXXX XXXXXXXXX XXX XXXXXXXXXX XXX XXXX XXXX XXXXXXX. XXXXXXXXXXX XXXX XX XXXXXXX XXXXXX XXXXX XXXXXXXXX XXX XXXXXXXXXX XX XXXXXX XXXXXXXXX XXXXXXXXXXX XXXXXXX XX XXXXXXX XXXX XXXXXX XX XXXXXXXXX. XXXXXXXXX XX XXXXXXXXXXXX XXXXXX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXX XXXX XXXXXXXXXXXX, XXXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXX XXXX XXXX XXXX XXXXXXXXXXX XXXXXX XXXXXXXX XX XXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX. XX XXXXXXXX XXXXXXXX XXX XXX XXXX XX XXXXXXXX XX XXXXXX XXXXXXXXXXX, XXXXX XXXXXXXX XXXXXX XX XXXXXXXXXXX, XXXXXXXXXXX XXX XXXXXXXXXX XX XXXXXXXX XX XXXXXXXXXX XXXXX XX XXXXXXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c17-1-3", + "title": "Verify, review and evaluate information security continuity", + "props": [ + { + "class": "number", + "value": "17.1.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXXX XXXXXX XXXXXX XXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXX XX XXXXXXX XXXXXXXXX XX XXXXX XX XXXXXX XXXX XXXX XXX XXXXX XXX XXXXXXXXX XXXXXX XXXXXXX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003e“XXXXXXXXXXXXXX XXXXXXXX”\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXXXX, XXXXXXXXX, XXXXXXXXXX XXX XXXXXXX XXXXXXX, XXXXXXX XX XX XXXXXXXXXXX XX XXXXXXXXXX XXXXXXX, XXX XXXX XX XXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXX. XX XXXX XXXXX, XXX XXXXXXXXXX XX XXXXXXXXX, XXXXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXX XXXXXXX XXXXX XXXXXXX XXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXXX XXXXXX XXXXXX XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXX XX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXX XXX XXXXXXX XXX XXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXX, XXXXXXXXXX XXX XXXXXXXX XX XXXXXX XXXX XXXX XXX XXXXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXX XXX XXXXXXX XXX XXXXXXXXX XXX XXXXXXX XX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXX, XXXXXXXXXX XXX XXXXXXXX XX XXXXXX XXXX XXXXX XXXXXXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXX XXXX XXXXXXXXXXX XXXXXXX, XXXXXXXXXXX XXXXXXXX XXXXXXXXX, XXXXXXXXXX XXX XXXXXXXX XX XXXXXXXX XXXXXXXXXX XXXXXXXXXX/XXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXX XXX XXXXXXXXX XXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXX XX XXXXXXXXX XXXX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXX XXX XXXXXXXXXXXX XXX XXXXXX XX XXXXXXXXX XXXXXXX XXX XXXXXXX XX XXXXXXX. XX XXXXXXXX, XX XX XXXXXXXXXX XX XXXXXXXXX XXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXX XXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g17-2", + "title": "Redundancies", + "props": [ + { + "class": "number", + "value": "17.2" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c17-2-1", + "title": "Availability of information processing facilities", + "props": [ + { + "class": "number", + "value": "17.2.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXXX XXXXXXXXXX XXXXXXXXXX XX XXXX XXXXXXXXXXXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXX XXXXXX XXXXXXXX XXXXXXXX XXXXXXXXXXXX XXX XXX XXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXX. XXXXX XXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXX XXX XXXXXXXX XXXXXXX XXXXXXXXXXXX, XXXXXXXXX XXXXXXXXXX XX XXXXXXXXXXXXX XXXXXX XX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXX XXXXXXXXXX, XXXXXXXXX XXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXX XX XXXXXX XXX XXXXXXXX XXXX XXX XXXXXXXXX XX XXXXXXX XXXXXXXXX XXXXX XX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXXXXX XX XXXXXXXXXXXX XXX XXXXXXXXX XXXXX XX XXX XXXXXXXXX XX XXXXXXXXXXXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXX, XXXXX XXXX XX XX XXXXXXXXXX XXXX XXXXXXXXX XXXXXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "control-category", + "id": "g18", + "title": "Compliance", + "props": [ + { + "class": "number", + "value": "18" + } + ], + "groups": [ + { + "class": "clause", + "id": "g18-1", + "title": "Compliance with legal and contractual requirements", + "props": [ + { + "class": "number", + "value": "18.1" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXX XXXXXXXX XX XXXXX, XXXXXXXXX, XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX XXXXXXX XX XXXXXXXXXXX XXXXXXXX XXX XX XXX XXXXXXXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c18-1-1", + "title": "Identification of applicable legislation and contractual requirements", + "props": [ + { + "class": "number", + "value": "18.1.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXXXX XXXXXXXXXXX XXXXXXXXX, XXXXXXXXXX, XXXXXXXXXXX XXXXXXXXXXXX XXX XXX XXXXXXXXXXXX’X XXXXXXXX XX XXXX XXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXXXXXXX, XXXXXXXXXX XXX XXXX XX XX XXXX XXX XXXX XXXXXXXXXXX XXXXXX XXX XXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXX XXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXXXXXXX XX XXXX XXXXX XXXXXXXXXXXX XXXXXX XXXX XX XXXXXXX XXX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXX XXXXXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XX XXXXX XXXXXXXXXXXX XX XXXXX XX XXXX XXX XXXXXXXXXXXX XXX XXXXX XXXX XX XXXXXXXX. XX XXX XXXXXXXXXXXX XXXXXXXX XXXXXXXX XX XXXXX XXXXXXXXX, XXXXXXXX XXXXXX XXXXXXXX XXXXXXXXXX XX XXX XXXXXXXX XXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c18-1-2", + "title": "Intellectual property rights", + "props": [ + { + "class": "number", + "value": "18.1.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXXX XXXXXXX XX XXXXXXXXXXXX XXXXXXXX XXXXXX XXX XXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXX XXX XXXXXXXX XXXX XXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXX XX XXXXXXXXXXXX XXXXXXXX XXXXXX XXXXXXXXXX XXXXXX XXXXX XXXXXXX XXX XXXXX XXX XX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXX XXXX XXXXXXX XXXXX XXX XXXXXXXXX XXXXXXX, XX XXXXXX XXXX XXXXXXXXX XX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXXX XX XXXXXXXX XX XXXXXXX XXXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXX XXXXXX XX XXX XXXXXX XX XXXX XXXXXXXXXXXX XXXXXX XXXXXXX XXXXXXXXX XXXXXXXXX XXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXXXXXXXX XXXXX XXXXXXXXX XXX XXXXXXXXXXX XXX XXXXXX XXXX XXXXXXXXXXXX XX XXXXXXX XXXXXXXXXXXX XXXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXX XXXXX XXX XXXXXXXX XX XXXXXXXXX XX XXXXXXXX, XXXXXX XXXXX, XXXXXXX, XXX.;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XXXXXXXX XX XXXXXX XXXX XXX XXXXXXX XXXXXX XX XXXXX XXXXXXXXX XXXXXX XXX XXXXXXX XX XXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXXXXXX XXXX XXXX XXXXXXXXXX XXXXXXXX XXX XXXXXXXX XXXXXXXX XXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX X XXXXXX XXX XXXXXXXXXXX XXXXXXXXXXX XXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX X XXXXXX XXX XXXXXXXXX XX XX XXXXXXXXXXXX XXXXXXXX XX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXX XXXXX XXX XXXXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXX XXXXXX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXXXXXX, XXXXXXXXXX XX XXXXXXX XXXXXX XX XXXXXXXXXX XXXX XXXXXXXXXX XXXXXXXXXX (XXXX, XXXXX) XXXXX XXXX XXXXXXXXX XX XXXXXXXXX XXX;\u003c/li\u003e \u003cli\u003eXXX XXXXXXX XX XXXX XX XX XXXX, XXXXX, XXXXXXXX, XXXXXXX XX XXXXX XXXXXXXXX, XXXXX XXXX XXXXXXXXX XX XXXXXXXXX XXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXX XXXXXXXX XXXXXX XXXXXXX XXXXXXXX XX XXXXXXXX XXXXXXXXX, XXXXXX XXXXXX, XXXXXXXXXX, XXXXXXX XXX XXXXXX XXXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX XXXXXXXX XXXXXXXX XXX XXXXXXX XXXXXXXX XXXXX X XXXXXXX XXXXXXXXX XXXX XXXXXXXXX XXXXXXX XXXXX XXX XXXXXXXXXX, XXX XXXXXXX, XXXXXXXX XXX XXX XX XXX XXXXXXXX XX XXXXXXXXX XXXXXXXX XX XXXXXXXX XXXXXXX XX XXX XXXXXXXX XX XXXXXX XXXXXX XXXX. XXX XXXXXXXXXX XXX XXXXXXXXX XX XXXXXXXXXXXX XXXXXXXX XXXXXX XXXXXX XX XXXXXXXXXXXX XX XXXXX XXX XXXXXXXX XXXXXXXXX XX XXX XXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXXX XXX XXXXX XXXXXXXXXXXX XX XXX XXXXXXX XX XXXXXXXXXXX XXXXXXXX. XX XXXXXXXXXX, XXXX XXX XXXXXXX XXXX XXXX XXXXXXXX XXXX XX XXXXXXXXX XX XXX XXXXXXXXXXXX XX XXXX XX XXXXXXXX XX XXXXXXXX XX XXX XXXXXXXXX XX XXX XXXXXXXXXXXX, XXX XX XXXX. XXXXXXXXX XXXXXXXXXXXX XXX XXXX XX XXXXX XXXXXX, XXXXX XXX XXXXXXX XXXXX XXX XXXXXXXX XXXXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c18-1-3", + "title": "Protection of records", + "props": [ + { + "class": "number", + "value": "18.1.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXX XXXXXX XX XXXXXXXXX XXXX XXXX, XXXXXXXXXXX, XXXXXXXXXXXXX, XXXXXXXXXXXX XXXXXX XXX XXXXXXXXXXXX XXXXXXX, XX XXXXXXXXXX XXXX XXXXXXXXXXX, XXXXXXXXXX, XXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXX XXXXXXXX XXXX XXXXXXXXXX XX XXXXXXXX XXXXXXXXXXXXXX XXXXXXX, XXXXX XXXXXXXXXXXXX XXXXXXXXXXXXXX XXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXXXXX XXXXXX, XXXXXX XX XXXXXXXXXX. XXXXXXX XXXXXX XX XXXXXXXXXXX XXXX XXXXXX XXXXX, X.X. XXXXXXXXXX XXXXXXX, XXXXXXXX XXXXXXX, XXXXXXXXXXX XXXX, XXXXX XXXX XXX XXXXXXXXXXX XXXXXXXXXX, XXXX XXXX XXXXXXX XX XXXXXXXXX XXXXXXX XXX XXXX XX XXXXXXXXX XXXXXXX XXXXX, X.X. XXXXX, XXXXXXXXXX, XXXXXXXX, XXXXXXX. XXX XXXXXXX XXXXXXXXXXXXX XXXX XXX XXXXXXXX XXXXXXXXXX XXXX XXXXXXXXX XXXXXXXX XX XXXXXXX XXXXXXXXXX (XXX \u003ca\u003eClause 10\u003c/a\u003e), XXXXXX XXXX XX XXXXXX XX XXXXXX XXXXXXXXXX XX XXX XXXXXXX XXX XXX XXXXXX XX XXXX XXX XXXXXXX XXX XXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXXXXX XXXXXX XX XXXXX XX XXX XXXXXXXXXXX XX XXXXXXXXXXXXX XX XXXXX XXXX XXX XXXXXXX XX XXXXXXX. XXXXXXX XXX XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXXXXX XXXX XXXXXXXXXXXX’X XXXXXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXX XXXXXXXXXX XXXXXXX XXXXX XXX XXXXXX, XXXXXXXXXX XX XXXXXX XXX XXXXXXX XX XXXXXX XXXX (XXXX XXXXX XXX XXXXXX XXXXXXXXXXX) XXXXXXXXXX XXX XXXXXXXXX XXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXXXX XXXXXXX XXXX XXX XX XXXXXX XXXXXXXXXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXX XXXXXXX XXXXXXX XXXXXX XX XXXXXX XXXX XXXX XXXXXXXX XXXX XXX XX XXXXXXXXX XX XX XXXXXXXXXX XXXXXXXXX XXX XXXXXX, XXXXXXXXX XX XXX XXXXXXXXXXXX XX XX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXX XX XXXXXXX XXX XXXXXXXX XXXXXX XXXXXX XXXXXXXXXXXXXX XX XXXXXXX XXX XX XXXXX XXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXX XX XXXXXXXX XXXXXXXXXXX XX XXXXXXXXXXX, XX XXXXXXXXXX. XXXX XXXXXX XXXXXX XXXXXX XXXXXXXXXXX XXXXXXXXXXX XX XXXXXXX XXXXX XXXX XXXXXX XX XXXX XXX XXX XXXXXX XX XXX XXXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXXX XXXXX XXXXXX XXXXXXXXXXXX XXXXXXXXXX, XXX XXXXXXXXX XXXXX XXXXXX XX XXXXX XXXXXX XX XXXXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXX XXXXXX XX XXXXXX XX XXX XXXXXXXXX, XXXXXXX, XXXXXXXX XXX XXXXXXXX XX XXXXXXX XXX XXXXXXXXXXX;\u003c/li\u003e \u003cli\u003eX XXXXXXXXX XXXXXXXX XXXXXX XX XXXXX XX XXXXXXXXXXX XXXXXXX XXX XXX XXXXXX XX XXXX XXX XXXXX XXXX XXXXXX XX XXXXXXXX;\u003c/li\u003e \u003cli\u003eXX XXXXXXXXX XX XXXXXXX XX XXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXX XXXXXXX XXX XXXX XX XX XXXXXXXX XXXXXXXX XX XXXX XXXXXXXXX, XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXXX, XX XXXX XX XX XXXXXXX XXXXXXXXX XXXXXXXX XXXXXXXXXX. XXXXXXXX XXXXXXX XXXXXXX XXXX XXX XX XXXXXXXX XX XXXXXXXX XXXX XX XXXXXXXXXXXX XXXXXXXX XXXXXX XXXXXXXXX XX XXXXXXXXXX XXXXX, XX XXXXXX XXXXXXX XXXXXXX XXXXXXXXX XXXXX XX XXXXXXXX XXXXXX XX XX XXXXXXX XXX XXXXXXXXX XXXXXX XX XX XXXXXXXXXXXX XX XXXXXXXXXXXX, XXXXXXXX XXXXXXX XXX XXXXXXXX. XXXXXXXX XXX XX XXXXXXXXXX XXX XXX XXX XXXX XXXXXX XXX XXXX XXXXXXX XXX XXXXXXXXXXX XXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXX XXXXXXXXXXX XXXXX XXXXXXXX XXXXXXXXXXXXXX XXXXXXX XXX XX XXXXX XX XXX XXXXX-X.[\u003ca href=\"#g5\"\u003e5\u003c/a\u003e]\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c18-1-4", + "title": "Privacy and protection of personally identifiable information", + "props": [ + { + "class": "number", + "value": "18.1.4" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXX XXXXX XXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXX XXXXXXXXXXXX’X XXXX XXXXXX XXX XXXXXXX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX. XXXX XXXXXX XXXXXX XX XXXXXXXXXXXX XX XXX XXXXXXX XXXXXXXX XX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXXXXXXXX XXXX XXXX XXXXXX XXX XXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX XX XXX XXXXXXX XX XXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXX XXX XXXXXXX. XXXXX XXXX XX XXXX XXXXXXXX XX XXX XXXXXXXXXXX XX X XXXXXX XXXXXXXXXXX, XXXX XX X XXXXXXX XXXXXXX, XXX XXXXXX XXXXXXX XXXXXXXX XX XXXXXXXX, XXXXX XXX XXXXXXX XXXXXXXXX XX XXXXX XXXXXXXXXX XXXXXXXXXXXXXXXX XXX XXX XXXXXXXX XXXXXXXXXX XXXX XXXXXX XX XXXXXXXX. XXXXXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXX XXXXXXXX XXXXXXXXX XX XXX XXXXXXX XXXXXXXXXX XXXXXX XX XXXXX XXXX XX XXXXXXXXXX XXXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXX. XXXXXXXXXXX XXXXXXXXX XXX XXXXXXXXXXXXXX XXXXXXXX XX XXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX/XXX XXXXX[\u003ca\u003e25\u003c/a\u003e] XXXXXXXX X XXXX-XXXXX XXXXXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXX. X XXXXXX XX XXXXXXXXX XXXX XXXXXXXXXX XXXXXXXXXXX XXXXXXX XXXXXXXX XX XXX XXXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX (XXXXXXXXX XXXXXXXXXXX XX XXXXXX XXXXXXXXXXX XXX XXX XX XXXXXXXXXX XXXX XXXX XXXXXXXXXXX). XXXXXXXXX XX XXX XXXXXXXXXX XXXXXXXX XXXXXXXXXXX, XXXX XXXXXXXX XXX XXXXXX XXXXXX XX XXXXX XXXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX, XXX XXX XXXX XXXXXXXX XXX XXXXXXX XX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XX XXXXX XXXXXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c18-1-5", + "title": "Regulation of cryptographic controls", + "props": [ + { + "class": "number", + "value": "18.1.5" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXXXX XXXXXXXX XXXXXX XX XXXX XX XXXXXXXXXX XXXX XXX XXXXXXXX XXXXXXXXXX, XXXXXXXXXXX XXX XXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXXX XXXX XXX XXXXXXXX XXXXXXXXXX, XXXX XXX XXXXXXXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXXXXXX XX XXXXXX XX XXXXXX XX XXXXXXXX XXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXXXX XXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XX XXXXXX XX XXXXXX XX XXXXXXXX XXXXXXXX XXX XXXXXXXX XXXXX XX XXXXXXXX XX XXXX XXXXXXXXXXXXX XXXXXXXXX XXXXX XX XX;\u003c/li\u003e \u003cli\u003eXXXXXXXXXXXX XX XXX XXXXX XX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XX XXXXXXXXXXXXX XXXXXXX XX XXXXXX XX XXX XXXXXXXXX’ XXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XX XXXXXXXX XX XXXXXXXX XX XXXXXXX XXXXXXXXXXXXXXX XX XXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXX XXXXXX XXXXXX XX XXXXXX XX XXXXXX XXXXXXXXXX XXXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXX. XXXXXX XXXXXXXXX XXXXXXXXXXX XX XXXXXXXXXXXXX XXXXXXXX XXX XXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXX, XXXXX XXXXXX XXXXXX XXXX XX XXXXX.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "clause", + "id": "g18-2", + "title": "Information security reviews", + "props": [ + { + "class": "number", + "value": "18.2" + } + ], + "parts": [ + { + "class": "objective", + "prose": [ + "\u003cp\u003eXX XXXXXX XXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXXXXX XXX XXXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXXXXX XXXXXXXX XXX XXXXXXXXXX.\u003c/p\u003e" + ] + } + ], + "controls": [ + { + "class": "iso-27002", + "id": "c18-2-1", + "title": "Independent review of information security", + "props": [ + { + "class": "number", + "value": "18.2.1" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXX XXXXXXXXXXXX’X XXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXX XXX XXXXXXXXXXXXXX (X.X. XXXXXXX XXXXXXXXXX, XXXXXXXX, XXXXXXXX, XXXXXXXXX XXX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX) XXXXXX XX XXXXXXXX XXXXXXXXXXXXX XX XXXXXXX XXXXXXXXX XX XXXX XXXXXXXXXXX XXXXXXX XXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXXX XXXXXX XXXXXXXX XXX XXXXXXXXXXX XXXXXX. XXXX XX XXXXXXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXX XXX XXXXXXXXXX XXXXXXXXXXX, XXXXXXXX XXX XXXXXXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXXXXXXX. XXX XXXXXX XXXXXX XXXXXXX XXXXXXXXX XXXXXXXXXXXXX XXX XXXXXXXXXXX XXX XXX XXXX XXX XXXXXXX XX XXX XXXXXXXX XX XXXXXXXX, XXXXXXXXX XXX XXXXXX XXX XXXXXXX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXXX X XXXXXX XXXXXX XX XXXXXXX XXX XX XXXXXXXXXXX XXXXXXXXXXX XX XXX XXXX XXXXX XXXXXX, X.X. XXX XXXXXXXX XXXXX XXXXXXXX, XX XXXXXXXXXXX XXXXXXX XX XX XXXXXXXX XXXXX XXXXXXXXXXXX XXXXXXXXXXXX XX XXXX XXXXXXX. XXXXXXXXXXX XXXXXXXX XXX XXXXX XXXXXXX XXXXXX XXXX XXX XXXXXXXXXXX XXXXXX XXX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXXX XXXXXXX XX XXX XXXXXXXXXXX XXXXXX XXXXXX XX XXXXXXXX XXX XXXXXXXX XX XXX XXXXXXXXXX XXX XXXXXXXXX XXX XXXXXX. XXXXX XXXXXXX XXXXXX XX XXXXXXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXX XXXXXXXXXXX XXXXXX XXXXXXXXXX XXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXX XXXXXXXXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXXXX, X.X. XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXX XXX XXX XXX XX XXX XXXXXXXXX XXXX XXX XXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXX (XXX \u003ca href=\"#c5-1-1\"\u003e5.1.1\u003c/a\u003e), XXXXXXXXXX XXXXXX XXXXXXXX XXXXXXXXXX XXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXX/XXX XXXXX[\u003ca href=\"#g12\"\u003e12\u003c/a\u003e], “XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXX XXXXXXXX” XXX XXX/XXX XX XXXXX[\u003ca href=\"#g13\"\u003e13\u003c/a\u003e], “XXXXXXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX” XXXX XXXXXXX XXXXXXXX XXX XXXXXXXX XXX XXX XXXXXXXXXXX XXXXXX.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c18-2-2", + "title": "Compliance with security policies and standards", + "props": [ + { + "class": "number", + "value": "18.2.2" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXX XXXXXXXXX XXXXXX XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXX XXXXX XXXX XX XXXXXXXXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXX, XXXXXXXXX XXX XXX XXXXX XXXXXXXX XXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXX XXXXXX XXXXXXXX XXX XX XXXXXX XXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXXX XX XXXXXXXX, XXXXXXXXX XXX XXXXX XXXXXXXXXX XXXXXXXXXXX XXX XXX. XXXXXXXXX XXXXXXXXXXX XXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXX XXXXXXX XXXXXX.\u003c/p\u003e", + "\u003cp\u003eXX XXX XXX-XXXXXXXXXX XX XXXXX XX X XXXXXX XX XXX XXXXXX, XXXXXXXX XXXXXX:\u003c/p\u003e", + "\u003col\u003e \u003cli\u003eXXXXXXXX XXX XXXXXX XX XXX XXX-XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXX XXX XXXX XXX XXXXXXX XX XXXXXXX XXXXXXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXX;\u003c/li\u003e \u003cli\u003eXXXXXX XXX XXXXXXXXXX XXXXXX XXXXX XX XXXXXX XXX XXXXXXXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXXXX.\u003c/li\u003e \u003c/ol\u003e", + "\u003cp\u003eXXXXXXX XX XXXXXXX XXX XXXXXXXXXX XXXXXXX XXXXXXX XXX XX XXXXXXXX XXXXXX XX XXXXXXXX XXX XXXXX XXXXXXX XXXXXX XX XXXXXXXXXX. XXXXXXXX XXXXXX XXXXXX XXX XXXXXXX XX XXX XXXXXXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXX (XXX \u003ca href=\"#c18-2-1\"\u003e18.2.1\u003c/a\u003e) XXXX XX XXXXXXXXXXX XXXXXX XXXXX XXXXX XX XXX XXXX XX XXXXX XXXXXXXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "information", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXXXXX XX XXXXXX XXX XX XXXXXXX XX \u003ca href=\"#g12-4\"\u003e12.4\u003c/a\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "iso-27002", + "id": "c18-2-3", + "title": "Technical compliance review", + "props": [ + { + "class": "number", + "value": "18.2.3" + } + ], + "parts": [ + { + "class": "description", + "prose": [ + "\u003cp\u003eXXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXX XXXXXXXX XXX XXXXXXXXXX XXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXXX XXXXXXXX XXX XXXXXXXXX.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXX XXXX XXX XXXXXXXXXX XX XXXXXXXXX XXXXX, XXXXX XXXXXXXX XXXXXXXXX XXXXXXX XXX XXXXXXXXXX XXXXXXXXXXXXXX XX X XXXXXXXXX XXXXXXXXXX. 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"si.8.2." + }, + { + "controlId": "si.10" + }, + { + "controlId": "si.11" + }, + { + "controlId": "si.12" + }, + { + "controlId": "si.16" + } + ] + } + } + ] +} \ No newline at end of file diff --git a/working/SP800-53/rev4/SP800-53-OSCAL-demo.json b/working/SP800-53/rev4/SP800-53-OSCAL-demo.json new file mode 100644 index 0000000000..6926e7652b --- /dev/null +++ b/working/SP800-53/rev4/SP800-53-OSCAL-demo.json @@ -0,0 +1,3908 @@ +{ + "catalog": { + "title": "NIST SP800-53 Excerpts for demonstration", + "declarations": { + "href": "SP800-53-declarations.xml" + }, + "groups": [ + { + "class": "family", + "title": "ACCESS CONTROL", + "controls": [ + { + "class": "SP800-53", + "id": "ac.1", + "title": "ACCESS CONTROL POLICY AND PROCEDURES", + "params": [ + { + "id": "ac-1_a", + "desc": "organization-defined personnel or roles", + "value": "Club members in good standing" + }, + { + "id": "ac-1_b", + "desc": "organization-defined frequency", + "value": "Every TOTAL ECLIPSE OF THE SUN!" + } + ], + "props": [ + { + "class": "name", + "value": "AC-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ac-1_a\" /\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAn access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the access control policy and associated access controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ac-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAccess control policy \u003cinsert param-id=\"ac-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eAccess control procedures \u003cinsert param-id=\"ac-1_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.a.1.", + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an access control policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the access control policy are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the access control policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.2.", + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the access control policy and associated access control controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.b.1.", + "props": [ + { + "class": "name", + "value": "AC-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current access control policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current access control policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.b.2.", + "props": [ + { + "class": "name", + "value": "AC-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current access control procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current access control procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special\n Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special\n Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.2", + "title": "ACCOUNT MANAGEMENT", + "params": [ + { + "id": "ac-2_a", + "desc": "organization-defined information system account types", + "value": "organization-defined information system account types" + }, + { + "id": "ac-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ac-2_c", + "desc": "organization-defined procedures or conditions", + "value": "organization-defined procedures or conditions" + }, + { + "id": "ac-2_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies and selects the following types of information system accounts to support organizational missions/business functions: \u003cinsert param-id=\"ac-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eAssigns account managers for information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2b." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes conditions for group and role membership;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2c." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eSpecifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2d." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2e.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires approvals by \u003cinsert param-id=\"ac-2_b\"/\u003e for requests to create information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2e." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2f.", + "prose": [ + "\u003cp class=\"description\"\u003eCreates, enables, modifies, disables, and removes information system accounts in accordance with \u003cinsert param-id=\"ac-2_c\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2f." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2g.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors the use of information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2g." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2h.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies account managers:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-2h.1.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen accounts are no longer required;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-2h.2.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen users are terminated or transferred; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h.2." + } + ] + }, + { + "class": "item", + "id": "sms_ac-2h.3.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen individual information system usage or need-to-know changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ac-2i.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes access to the information system based on:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-2i.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA valid access authorization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-2i.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIntended system usage; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i.2." + } + ] + }, + { + "class": "item", + "id": "sms_ac-2i.3.", + "prose": [ + "\u003cp class=\"description\"\u003eOther attributes as required by the organization or associated missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ac-2j.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews accounts for compliance with account management requirements \u003cinsert param-id=\"ac-2_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2j." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2k.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2k." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.10" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.20" + }, + { + "href": "#au.9" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.11" + }, + { + "href": "#ma.3" + }, + { + "href": "#ma.4" + }, + { + "href": "#ma.5" + }, + { + "href": "#pl.4" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.a.", + "props": [ + { + "class": "name", + "value": "AC-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system account types to be identified and selected to support organizational missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies and selects organization-defined information system account types to support organizational missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eassigns account managers for information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes conditions for group and role membership;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003especifies for each account (as required):\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorized users of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003egroup and role membership;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess authorizations (i.e., privileges);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.d.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eother attributes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.e.", + "props": [ + { + "class": "name", + "value": "AC-2(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles required to approve requests to create information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires approvals by organization-defined personnel or roles for requests to create information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(e)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.", + "props": [ + { + "class": "name", + "value": "AC-2(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines procedures or conditions to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.f.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreate information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eenable information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003emodify information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisable information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremove information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][e]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ein accordance with organization-defined procedures or conditions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.f.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreates information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eenables information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003emodifies information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisables information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][e]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.g.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors the use of information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(g)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.h.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies account managers:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(h)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.h.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen accounts are no longer required;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(h)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.h.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen users are terminated or transferred;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(h)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.h.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen individual information system usage or need to know changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(h)(3)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.i.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes access to the information system based on;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(i)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.i.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ea valid access authorization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(i)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.i.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eintended system usage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(i)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.i.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eother attributes as required by the organization or associated missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(i)(3)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.j.", + "props": [ + { + "class": "name", + "value": "AC-2(j)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.j.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review accounts for compliance with account management requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(j)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.j.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews accounts for compliance with account management requirements with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(j)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.k.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(k)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of active system accounts along with the name of the individual associated with each account\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of conditions for group and role membership\u003c/p\u003e", + "\u003cp class=\"object\"\u003enotifications or records of recently transferred, separated, or terminated employees\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of recently disabled information system accounts along with the name of the individual associated with each account\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccount management compliance reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes account management on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for implementing account management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.2.1.", + "title": "AUTOMATED SYSTEM ACCOUNT MANAGEMENT", + "props": [ + { + "class": "name", + "value": "AC-2 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to support the management of information system accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to support the management of information system accounts.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.2.", + "title": "REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-2 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically [Selection: removes; disables] temporary and emergency accounts after \u003cinsert param-id=\"ac-2_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period after which the information system automatically removes or disables temporary and emergency accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system automatically removes or disables temporary and emergency accounts after the organization-defined time period for each type of account.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of temporary accounts removed and/or disabled\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of emergency accounts removed and/or disabled\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_e", + "desc": "organization-defined time period for each type of account", + "value": "organization-defined time period for each type of account" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.3.", + "title": "DISABLE INACTIVE ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-2 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically disables inactive accounts after \u003cinsert param-id=\"ac-2_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period after which the information system automatically disables inactive accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system automatically disables inactive accounts after the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of temporary accounts removed and/or disabled\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of emergency accounts removed and/or disabled\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.4.", + "title": "AUTOMATED AUDIT ACTIONS", + "props": [ + { + "class": "name", + "value": "AC-2 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies \u003cinsert param-id=\"ac-2_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system automatically audits the following account actions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.4.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eenabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoval;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][e]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be notified of the following account actions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.4.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eenabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][d]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoval;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][e]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system notifies organization-defined personnel or roles of the following account actions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.4.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eenabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisabling; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][d]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoval.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][e]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003enotifications/alerts of account creation, modification, enabling, disabling, and removal actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.5.", + "title": "INACTIVITY LOGOUT", + "props": [ + { + "class": "name", + "value": "AC-2 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that users log out when \u003cinsert param-id=\"ac-2_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.23" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines either the time period of expected inactivity that requires users to log out or the description of when users are required to log out; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that users log out when the organization-defined time period of inactivity is reached or in accordance with organization-defined description of when to log out.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity violation reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eusers that must comply with inactivity logout policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ac-2_h", + "desc": "organization-defined time-period of expected inactivity or description of when to log out", + "value": "organization-defined time-period of expected inactivity or description of when to log out" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.6.", + "title": "DYNAMIC PRIVILEGE MANAGEMENT", + "props": [ + { + "class": "name", + "value": "AC-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements the following dynamic privilege management capabilities: \u003cinsert param-id=\"ac-2_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, dynamic access control approaches (e.g., service-oriented architectures) rely on run time access control decisions facilitated by dynamic privilege management. While user identities may remain relatively constant over time, user privileges may change more frequently based on ongoing mission/business requirements and operational needs of organizations. Dynamic privilege management can include, for example, the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also refer to mechanisms that change the privileges of users based on dynamic rules as opposed to editing specific user profiles. This type of privilege management includes, for example, automatic adjustments of privileges if users are operating out of their normal work times, or if information systems are under duress or in emergency maintenance situations. This control enhancement also includes the ancillary effects of privilege changes, for example, the potential changes to encryption keys used for communications. Dynamic privilege management can support requirements for information system resiliency.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a list of dynamic privilege management capabilities to be implemented by the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements the organization-defined list of dynamic privilege management capabilities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of dynamic privilege management capabilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system implementing dynamic privilege management capabilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_i", + "desc": "organization-defined list of dynamic privilege management capabilities", + "value": "organization-defined list of dynamic privilege management capabilities" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.7.", + "title": "ROLE-BASED SCHEMES", + "props": [ + { + "class": "name", + "value": "AC-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-2.7.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-2.7.b.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors privileged role assignments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (7)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-2.7.c.", + "prose": [ + "\u003cp class=\"description\"\u003eTakes \u003cinsert param-id=\"ac-2_j\"/\u003e when privileged role assignments are no longer appropriate.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (7)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.7.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(7)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors privileged role assignments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(7)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.7.c.", + "props": [ + { + "class": "name", + "value": "AC-2(7)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.7.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines actions to be taken when privileged role assignments are no longer appropriate; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(7)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.7.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etakes organization-defined actions when privileged role assignments are no longer appropriate.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(7)(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of privileged user accounts and associated role\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of actions taken when privileged role assignments are no longer appropriate\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit tracking and monitoring reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms monitoring privileged role assignments\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_j", + "desc": "organization-defined actions", + "value": "organization-defined actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.8.", + "title": "DYNAMIC ACCOUNT CREATION", + "props": [ + { + "class": "name", + "value": "AC-2 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system creates \u003cinsert param-id=\"ac-2_k\"/\u003e dynamically.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic approaches for creating information system accounts (e.g., as implemented within service-oriented architectures) rely on establishing accounts (identities) at run time for entities that were previously unknown. Organizations plan for dynamic creation of information system accounts by establishing trust relationships and mechanisms with the appropriate authorities to validate related authorizations and privileges.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system accounts to be created by the information system dynamically; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system creates organization-defined information system accounts dynamically.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(8)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_k", + "desc": "organization-defined information system accounts", + "value": "organization-defined information system accounts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.9.", + "title": "RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-2 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization only permits the use of shared/group accounts that meet \u003cinsert param-id=\"ac-2_l\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines conditions for establishing shared/group accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eonly permits the use of shared/group accounts that meet organization-defined conditions for establishing shared/group accounts.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of shared/group accounts and associated role\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing management of shared/group accounts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_l", + "desc": "organization-defined conditions for establishing shared/group accounts", + "value": "organization-defined conditions for establishing shared/group accounts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.10.", + "title": "SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION", + "props": [ + { + "class": "name", + "value": "AC-2 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system terminates shared/group account credentials when members leave the group.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system terminates shared/group account credentials when members leave the group.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccount access termination records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.11.", + "title": "USAGE CONDITIONS", + "props": [ + { + "class": "name", + "value": "AC-2 (11)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces \u003cinsert param-id=\"ac-2_m\"/\u003e for \u003cinsert param-id=\"ac-2_n\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines circumstances and/or usage conditions to be enforced for information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system accounts for which organization-defined circumstances and/or usage conditions are to be enforced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(11)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.11.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces organization-defined circumstances and/or usage conditions for organization-defined information system accounts.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(11)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of information system accounts and associated assignments of usage circumstances and/or usage conditions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_m", + "desc": "organization-defined circumstances and/or usage conditions", + "value": "organization-defined circumstances and/or usage conditions" + }, + { + "id": "ac-2_n", + "desc": "organization-defined information system accounts", + "value": "organization-defined information system accounts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.12.", + "title": "ACCOUNT MONITORING / ATYPICAL USAGE", + "props": [ + { + "class": "name", + "value": "AC-2 (12)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-2.12.a.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors information system accounts for \u003cinsert param-id=\"ac-2_o\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (12)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-2.12.b.", + "prose": [ + "\u003cp class=\"description\"\u003eReports atypical usage of information system accounts to \u003cinsert param-id=\"ac-2_p\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (12)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAtypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.12.a.", + "props": [ + { + "class": "name", + "value": "AC-2(12)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.12.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines atypical usage to be monitored for information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(12)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.12.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors information system accounts for organization-defined atypical usage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(12)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.12.b.", + "props": [ + { + "class": "name", + "value": "AC-2(12)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.12.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom atypical usage of information system accounts are to be reported; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(12)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.12.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports atypical usage of information system accounts to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(12)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit tracking and monitoring reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_o", + "desc": "organization-defined atypical usage", + "value": "organization-defined atypical usage" + }, + { + "id": "ac-2_p", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.13.", + "title": "DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AC-2 (13)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization disables accounts of users posing a significant risk within \u003cinsert param-id=\"ac-2_q\"/\u003e of discovery of the risk.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUsers posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which accounts are disabled upon discovery of a significant risk posed by users of such accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edisables accounts of users posing a significant risk within the organization-defined time period of discovery of the risk.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(13)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of disabled accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of user activities posing significant organizational risk\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_q", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.13", + "title": "SUPERVISION AND REVIEW - ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "AC-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-2 and AU-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#au.6" + } + ] + } + ] + }, + { + "class": "family", + "title": "PROGRAM MANAGEMENT", + "controls": [ + { + "class": "SP800-53", + "id": "pm.1", + "title": "INFORMATION SECURITY PROGRAM PLAN", + "params": [ + { + "id": "pm-1_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PM-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops and disseminates an organization-wide information security program plan that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pm-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pm-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.2." + } + ] + }, + { + "class": "item", + "id": "sms_pm-1a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eReflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.3." + } + ] + }, + { + "class": "item", + "id": "sms_pm-1a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eIs approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pm-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the organization-wide information security program plan \u003cinsert param-id=\"pm-1_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1b." + } + ] + }, + { + "class": "item", + "id": "smm_pm-1c.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the plan to address organizational changes and problems identified during plan implementation or security control assessments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1c." + } + ] + }, + { + "class": "item", + "id": "smm_pm-1d.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the information security program plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation security program plans can be represented in single documents or compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Information security program plans provide sufficient information about the program management controls/common controls (including specification of parameters for any assignment and selection statements either explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended. The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organization�s information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls. Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and disseminates an organization-wide information security program plan that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.1.", + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides an overview of the requirements for the security program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides a description of the:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity program management controls in place or planned for meeting those requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ecommon controls in place or planned for meeting those requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eincludes the identification and assignment of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.5.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[5]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(3)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eis approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations, organizational assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(4)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.b.", + "props": [ + { + "class": "name", + "value": "PM-1(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the security program plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the organization-wide information security program plan with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the plan to address organizational:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges identified during plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges identified during security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eproblems identified during plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eproblems identified during security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the information security program plan from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edisclosure; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing program plan development and implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing program plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing coordination of the program plan with relevant entities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for program plan approvals\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of program plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information security program plan development/review/update/approval\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the information security program plan\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.2", + "title": "SENIOR INFORMATION SECURITY OFFICER", + "props": [ + { + "class": "name", + "value": "PM-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe security officer described in this control is an organizational official. For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this official as the Senior Information Security Officer or Chief Information Security Officer.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization appoints a senior information security officer with the mission and resources to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-2-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinate an organization-wide information security program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-2-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelop an organization-wide information security program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-2-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplement an organization-wide information security program; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-2-4.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintain an organization-wide information security program.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing program plan development and implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing program plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing coordination of the program plan with relevant entities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esenior information security officer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ] + } + ] + } +} \ No newline at end of file diff --git a/working/SP800-53/rev4/SP800-53-OSCAL-refined.json b/working/SP800-53/rev4/SP800-53-OSCAL-refined.json new file mode 100644 index 0000000000..5e33c2106d --- /dev/null +++ b/working/SP800-53/rev4/SP800-53-OSCAL-refined.json @@ -0,0 +1,137909 @@ +{ + "catalog": { + "title": "NIST SP800-53", + "declarations": { + "href": "SP800-53-declarations.xml" + }, + "groups": [ + { + "class": "family", + "title": "ACCESS CONTROL", + "controls": [ + { + "class": "SP800-53", + "id": "ac.1", + "title": "ACCESS CONTROL POLICY AND PROCEDURES", + "params": [ + { + "id": "ac-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ac-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ac-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AC-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ac-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAn access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the access control policy and associated access controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ac-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAccess control policy \u003cinsert param-id=\"ac-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eAccess control procedures \u003cinsert param-id=\"ac-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.a.1.", + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an access control policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the access control policy are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the access control policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.2.", + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the access control policy and associated access control controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.b.1.", + "props": [ + { + "class": "name", + "value": "AC-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current access control policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current access control policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.b.2.", + "props": [ + { + "class": "name", + "value": "AC-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current access control procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current access control procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.2", + "title": "ACCOUNT MANAGEMENT", + "params": [ + { + "id": "ac-2_a", + "desc": "organization-defined information system account types", + "value": "organization-defined information system account types" + }, + { + "id": "ac-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ac-2_c", + "desc": "organization-defined procedures or conditions", + "value": "organization-defined procedures or conditions" + }, + { + "id": "ac-2_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies and selects the following types of information system accounts to support organizational missions/business functions: \u003cinsert param-id=\"ac-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eAssigns account managers for information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2b." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes conditions for group and role membership;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2c." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eSpecifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2d." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2e.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires approvals by \u003cinsert param-id=\"ac-2_b\"/\u003e for requests to create information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2e." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2f.", + "prose": [ + "\u003cp class=\"description\"\u003eCreates, enables, modifies, disables, and removes information system accounts in accordance with \u003cinsert param-id=\"ac-2_c\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2f." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2g.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors the use of information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2g." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2h.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies account managers:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-2h.1.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen accounts are no longer required;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-2h.2.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen users are terminated or transferred; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h.2." + } + ] + }, + { + "class": "item", + "id": "sms_ac-2h.3.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen individual information system usage or need-to-know changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ac-2i.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes access to the information system based on:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-2i.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA valid access authorization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-2i.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIntended system usage; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i.2." + } + ] + }, + { + "class": "item", + "id": "sms_ac-2i.3.", + "prose": [ + "\u003cp class=\"description\"\u003eOther attributes as required by the organization or associated missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ac-2j.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews accounts for compliance with account management requirements \u003cinsert param-id=\"ac-2_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2j." + } + ] + }, + { + "class": "item", + "id": "smm_ac-2k.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2k." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.10" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.20" + }, + { + "href": "#au.9" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.11" + }, + { + "href": "#ma.3" + }, + { + "href": "#ma.4" + }, + { + "href": "#ma.5" + }, + { + "href": "#pl.4" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.a.", + "props": [ + { + "class": "name", + "value": "AC-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system account types to be identified and selected to support organizational missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies and selects organization-defined information system account types to support organizational missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eassigns account managers for information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes conditions for group and role membership;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003especifies for each account (as required):\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorized users of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003egroup and role membership;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess authorizations (i.e., privileges);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.d.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eother attributes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(d)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.e.", + "props": [ + { + "class": "name", + "value": "AC-2(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles required to approve requests to create information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires approvals by organization-defined personnel or roles for requests to create information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(e)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.", + "props": [ + { + "class": "name", + "value": "AC-2(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines procedures or conditions to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.f.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreate information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eenable information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003emodify information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisable information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremove information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][e]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ein accordance with organization-defined procedures or conditions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.f.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreates information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eenables information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003emodifies information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisables information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.f.2.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][e]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.g.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors the use of information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(g)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.h.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies account managers:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(h)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.h.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen accounts are no longer required;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(h)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.h.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen users are terminated or transferred;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(h)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.h.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen individual information system usage or need to know changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(h)(3)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.i.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes access to the information system based on;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(i)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.i.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ea valid access authorization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(i)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.i.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eintended system usage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(i)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.i.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eother attributes as required by the organization or associated missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(i)(3)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.j.", + "props": [ + { + "class": "name", + "value": "AC-2(j)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-2.j.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review accounts for compliance with account management requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(j)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.j.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews accounts for compliance with account management requirements with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(j)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-2.k.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(k)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of active system accounts along with the name of the individual associated with each account\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of conditions for group and role membership\u003c/p\u003e", + "\u003cp class=\"object\"\u003enotifications or records of recently transferred, separated, or terminated employees\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of recently disabled information system accounts along with the name of the individual associated with each account\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccount management compliance reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes account management on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for implementing account management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.2.1.", + "title": "AUTOMATED SYSTEM ACCOUNT MANAGEMENT", + "props": [ + { + "class": "name", + "value": "AC-2 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to support the management of information system accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to support the management of information system accounts.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.2.", + "title": "REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-2 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically [Selection: removes; disables] temporary and emergency accounts after \u003cinsert param-id=\"ac-2_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period after which the information system automatically removes or disables temporary and emergency accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system automatically removes or disables temporary and emergency accounts after the organization-defined time period for each type of account.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of temporary accounts removed and/or disabled\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of emergency accounts removed and/or disabled\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_e", + "desc": "organization-defined time period for each type of account", + "value": "organization-defined time period for each type of account" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.3.", + "title": "DISABLE INACTIVE ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-2 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically disables inactive accounts after \u003cinsert param-id=\"ac-2_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period after which the information system automatically disables inactive accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system automatically disables inactive accounts after the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of temporary accounts removed and/or disabled\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of emergency accounts removed and/or disabled\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.4.", + "title": "AUTOMATED AUDIT ACTIONS", + "props": [ + { + "class": "name", + "value": "AC-2 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies \u003cinsert param-id=\"ac-2_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system automatically audits the following account actions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.4.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eenabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoval;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][e]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be notified of the following account actions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.4.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eenabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][d]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.2.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoval;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][e]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system notifies organization-defined personnel or roles of the following account actions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.4.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecreation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eenabling;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edisabling; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][d]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.4.3.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoval.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][e]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003enotifications/alerts of account creation, modification, enabling, disabling, and removal actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.5.", + "title": "INACTIVITY LOGOUT", + "props": [ + { + "class": "name", + "value": "AC-2 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that users log out when \u003cinsert param-id=\"ac-2_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.23" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines either the time period of expected inactivity that requires users to log out or the description of when users are required to log out; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that users log out when the organization-defined time period of inactivity is reached or in accordance with organization-defined description of when to log out.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity violation reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eusers that must comply with inactivity logout policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ac-2_h", + "desc": "organization-defined time-period of expected inactivity or description of when to log out", + "value": "organization-defined time-period of expected inactivity or description of when to log out" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.6.", + "title": "DYNAMIC PRIVILEGE MANAGEMENT", + "props": [ + { + "class": "name", + "value": "AC-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements the following dynamic privilege management capabilities: \u003cinsert param-id=\"ac-2_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, dynamic access control approaches (e.g., service-oriented architectures) rely on run time access control decisions facilitated by dynamic privilege management. While user identities may remain relatively constant over time, user privileges may change more frequently based on ongoing mission/business requirements and operational needs of organizations. Dynamic privilege management can include, for example, the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also refer to mechanisms that change the privileges of users based on dynamic rules as opposed to editing specific user profiles. This type of privilege management includes, for example, automatic adjustments of privileges if users are operating out of their normal work times, or if information systems are under duress or in emergency maintenance situations. This control enhancement also includes the ancillary effects of privilege changes, for example, the potential changes to encryption keys used for communications. Dynamic privilege management can support requirements for information system resiliency.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a list of dynamic privilege management capabilities to be implemented by the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements the organization-defined list of dynamic privilege management capabilities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of dynamic privilege management capabilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system implementing dynamic privilege management capabilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_i", + "desc": "organization-defined list of dynamic privilege management capabilities", + "value": "organization-defined list of dynamic privilege management capabilities" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.7.", + "title": "ROLE-BASED SCHEMES", + "props": [ + { + "class": "name", + "value": "AC-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-2.7.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-2.7.b.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors privileged role assignments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (7)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-2.7.c.", + "prose": [ + "\u003cp class=\"description\"\u003eTakes \u003cinsert param-id=\"ac-2_j\"/\u003e when privileged role assignments are no longer appropriate.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (7)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.7.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(7)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors privileged role assignments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(7)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.7.c.", + "props": [ + { + "class": "name", + "value": "AC-2(7)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.7.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines actions to be taken when privileged role assignments are no longer appropriate; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(7)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.7.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etakes organization-defined actions when privileged role assignments are no longer appropriate.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(7)(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system-generated list of privileged user accounts and associated role\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of actions taken when privileged role assignments are no longer appropriate\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit tracking and monitoring reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms monitoring privileged role assignments\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_j", + "desc": "organization-defined actions", + "value": "organization-defined actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.8.", + "title": "DYNAMIC ACCOUNT CREATION", + "props": [ + { + "class": "name", + "value": "AC-2 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system creates \u003cinsert param-id=\"ac-2_k\"/\u003e dynamically.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic approaches for creating information system accounts (e.g., as implemented within service-oriented architectures) rely on establishing accounts (identities) at run time for entities that were previously unknown. Organizations plan for dynamic creation of information system accounts by establishing trust relationships and mechanisms with the appropriate authorities to validate related authorizations and privileges.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system accounts to be created by the information system dynamically; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system creates organization-defined information system accounts dynamically.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(8)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_k", + "desc": "organization-defined information system accounts", + "value": "organization-defined information system accounts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.9.", + "title": "RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-2 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization only permits the use of shared/group accounts that meet \u003cinsert param-id=\"ac-2_l\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines conditions for establishing shared/group accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eonly permits the use of shared/group accounts that meet organization-defined conditions for establishing shared/group accounts.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of shared/group accounts and associated role\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing management of shared/group accounts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_l", + "desc": "organization-defined conditions for establishing shared/group accounts", + "value": "organization-defined conditions for establishing shared/group accounts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.10.", + "title": "SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION", + "props": [ + { + "class": "name", + "value": "AC-2 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system terminates shared/group account credentials when members leave the group.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system terminates shared/group account credentials when members leave the group.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccount access termination records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.11.", + "title": "USAGE CONDITIONS", + "props": [ + { + "class": "name", + "value": "AC-2 (11)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces \u003cinsert param-id=\"ac-2_m\"/\u003e for \u003cinsert param-id=\"ac-2_n\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines circumstances and/or usage conditions to be enforced for information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system accounts for which organization-defined circumstances and/or usage conditions are to be enforced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(11)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.11.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces organization-defined circumstances and/or usage conditions for organization-defined information system accounts.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(11)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of information system accounts and associated assignments of usage circumstances and/or usage conditions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_m", + "desc": "organization-defined circumstances and/or usage conditions", + "value": "organization-defined circumstances and/or usage conditions" + }, + { + "id": "ac-2_n", + "desc": "organization-defined information system accounts", + "value": "organization-defined information system accounts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.12.", + "title": "ACCOUNT MONITORING / ATYPICAL USAGE", + "props": [ + { + "class": "name", + "value": "AC-2 (12)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-2.12.a.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors information system accounts for \u003cinsert param-id=\"ac-2_o\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (12)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-2.12.b.", + "prose": [ + "\u003cp class=\"description\"\u003eReports atypical usage of information system accounts to \u003cinsert param-id=\"ac-2_p\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (12)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAtypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.12.a.", + "props": [ + { + "class": "name", + "value": "AC-2(12)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.12.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines atypical usage to be monitored for information system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(12)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.12.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors information system accounts for organization-defined atypical usage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(12)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.12.b.", + "props": [ + { + "class": "name", + "value": "AC-2(12)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.12.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom atypical usage of information system accounts are to be reported; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(12)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.12.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports atypical usage of information system accounts to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(12)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit tracking and monitoring reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_o", + "desc": "organization-defined atypical usage", + "value": "organization-defined atypical usage" + }, + { + "id": "ac-2_p", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.13.", + "title": "DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AC-2 (13)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization disables accounts of users posing a significant risk within \u003cinsert param-id=\"ac-2_q\"/\u003e of discovery of the risk.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUsers posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-2.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which accounts are disabled upon discovery of a significant risk posed by users of such accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-2.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edisables accounts of users posing a significant risk within the organization-defined time period of discovery of the risk.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2(13)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of disabled accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of user activities posing significant organizational risk\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-2_q", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.3", + "title": "ACCESS ENFORCEMENT", + "props": [ + { + "class": "name", + "value": "AC-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAccess control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.16" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.20" + }, + { + "href": "#ac.21" + }, + { + "href": "#ac.22" + }, + { + "href": "#au.9" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.11" + }, + { + "href": "#ma.3" + }, + { + "href": "#ma.4" + }, + { + "href": "#ma.5" + }, + { + "href": "#pe.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of approved authorizations (user privileges)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.3.1.", + "title": "RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.2.", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "AC-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces dual authorization for \u003cinsert param-id=\"ac-3_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDual authorization mechanisms require the approval of two authorized individuals in order to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.9" + }, + { + "href": "#mp.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines privileged commands and/or other actions for which dual authorization is to be enforced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces dual authorization for organization-defined privileged commands and/or other organization-defined actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement and dual authorization\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of privileged commands requiring dual authorization\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of actions requiring dual authorization\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of approved authorizations (user privileges)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eDual authorization mechanisms implementing access control policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_a", + "desc": "organization-defined privileged commands and/or other organization-defined actions", + "value": "organization-defined privileged commands and/or other organization-defined actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.3.", + "title": "MANDATORY ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "AC-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces \u003cinsert param-id=\"ac-3_b\"/\u003e over all subjects and objects where the policy:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-3.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eIs uniformly enforced across all subjects and objects within the boundary of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-3.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eSpecifies that a subject that has been granted access to information is constrained from doing any of the following;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)" + } + ], + "parts": [ + { + "class": "item", + "id": "s_sms_ac-3.3.b.1.", + "prose": [ + "\u003cp class=\"description\"\u003ePassing the information to unauthorized subjects or objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(1)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ac-3.3.b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eGranting its privileges to other subjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(2)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ac-3.3.b.3.", + "prose": [ + "\u003cp class=\"description\"\u003eChanging one or more security attributes on subjects, objects, the information system, or information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(3)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ac-3.3.b.4.", + "prose": [ + "\u003cp class=\"description\"\u003eChoosing the security attributes and attribute values to be associated with newly created or modified objects; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(4)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ac-3.3.b.5.", + "prose": [ + "\u003cp class=\"description\"\u003eChanging the rules governing access control; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(5)" + } + ] + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-3.3.c.", + "prose": [ + "\u003cp class=\"description\"\u003eSpecifies that \u003cinsert param-id=\"ac-3_c\"/\u003e may explicitly be granted \u003cinsert param-id=\"ac-3_d\"/\u003e such that they are not limited by some or all of the above constraints.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMandatory access control as defined in this control enhancement is synonymous with nondiscretionary access control, and is not constrained only to certain historical uses (e.g., implementations using the Bell-LaPadula Model). The above class of mandatory access control policies constrains what actions subjects can take with information obtained from data objects for which they have already been granted access, thus preventing the subjects from passing the information to unauthorized subjects and objects. This class of mandatory access control policies also constrains what actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the information system has control. Otherwise, the access control policy can be circumvented. This enforcement typically is provided via an implementation that meets the reference monitor concept (see AC-25). The policy is bounded by the information system boundary (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes a policy regarding access to sensitive/classified information and some users of the information system are not authorized access to all sensitive/classified information resident in the information system. This control can operate in conjunction with AC-3 (4). A subject that is constrained in its operation by policies governed by this control is still able to operate under the less rigorous constraints of AC-3 (4), but policies governed by this control take precedence over the less rigorous constraints of AC-3 (4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity label, AC-3 (4) permits the subject to pass the information to any subject with the same sensitivity label as the subject.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.25" + }, + { + "href": "#sc.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines mandatory access control policies to be enforced over all subjects and objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines subjects over which organization-defined mandatory access control policies are to be enforced;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines objects over which organization-defined mandatory access control policies are to be enforced;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines subjects that may explicitly be granted privileges such that they are not limited by the constraints specified elsewhere within this control;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.5.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines privileges that may be granted to organization-defined subjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[5]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces organization-defined mandatory access control policies over all subjects and objects where the policy specifies that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.3.6.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe policy is uniformly enforced across all subjects and objects within the boundary of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea subject that has been granted access to information is constrained from doing any of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003epassing the information to unauthorized subjects or objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(1)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003egranting its privileges to other subjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(2)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003echanging one or more security attributes on:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esubjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)[a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eobjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)[b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)[c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003esystem components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)[d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.4.", + "prose": [ + "\u003cp class=\"decision\"\u003echoosing the security attributes and attribute values to be associated with newly created or modified objects; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(4)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.b.5.", + "prose": [ + "\u003cp class=\"decision\"\u003echanging the rules governing access control; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(5)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.3.6.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined subjects may explicitly be granted organization-defined privileges such that they are not limited by some or all of the above constraints.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](c)" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003emandatory access control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing mandatory access control\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_b", + "desc": "organization-defined mandatory access control policy", + "value": "organization-defined mandatory access control policy" + }, + { + "id": "ac-3_c", + "desc": "organization-defined subjects", + "value": "organization-defined subjects" + }, + { + "id": "ac-3_d", + "desc": "organization-defined privileges (i.e., they are trusted subjects)", + "value": "organization-defined privileges (i.e., they are trusted subjects)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.4.", + "title": "DISCRETIONARY ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "AC-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces \u003cinsert param-id=\"ac-3_e\"/\u003e over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-3.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003ePass the information to any other subjects or objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-3.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eGrant its privileges to other subjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-3.4.c.", + "prose": [ + "\u003cp class=\"description\"\u003eChange security attributes on subjects, objects, the information system, or the information system�s components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-3.4.d.", + "prose": [ + "\u003cp class=\"description\"\u003eChoose the security attributes to be associated with newly created or revised objects; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(d)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-3.4.e.", + "prose": [ + "\u003cp class=\"description\"\u003eChange the rules governing access control.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3 (3). A subject that is constrained in its operation by policies governed by AC-3 (3) is still able to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3 (3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3 (4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines discretionary access control policies to be enforced over defined subjects and objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces organization-defined discretionary access control policies over defined subjects and objects where the policy specifies that a subject has been granted access to information and can do one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.4.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epass the information to any other subjects or objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003egrant its privileges to other subjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003echange security attributes on:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.4.2.c.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esubjects,\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)[a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.c.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eobjects,\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)[b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.c.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)[c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.c.d.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system’s components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)[d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003echoose the security attributes to be associated with newly created or revised objects; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](d)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.4.2.e.", + "prose": [ + "\u003cp class=\"decision\"\u003echange the rules governing access control.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](e)" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003ediscretionary access control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing discretionary access control policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_e", + "desc": "organization-defined discretionary access control policy", + "value": "organization-defined discretionary access control policy" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.5.", + "title": "SECURITY-RELEVANT INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents access to \u003cinsert param-id=\"ac-3_f\"/\u003e except during secure, non-operable system states.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity-relevant information is any information within information systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the isolation of code and data. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Secure, non-operable system states include the times in which information systems are not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shut down).\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security-relevant information to which the information system prevents access except during secure, non-operable system states; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents access to organization-defined security-relevant information except during secure, non-operable system states.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms preventing access to security-relevant information within the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_f", + "desc": "organization-defined security-relevant information", + "value": "organization-defined security-relevant information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.6.", + "title": "PROTECTION OF USER AND SYSTEM INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-4 and SC-28\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.4" + }, + { + "href": "#sc.28" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.7.", + "title": "ROLE-BASED ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "AC-3 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces a role-based access control policy over defined subjects and objects and controls access based upon \u003cinsert param-id=\"ac-3_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRole-based access control (RBAC) is an access control policy that restricts information system access to authorized users. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on organizational information systems associated with the organization-defined roles. When users are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3 (3) define the scope of the subjects and objects covered by the policy.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines roles to control information system access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines users authorized to assume the organization-defined roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(7)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.7.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system controls access based on organization-defined roles and users authorized to assume such roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(7)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.7.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces a role-based access control policy over defined:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(7)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.7.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esubjects, and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(7)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.7.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eobjects.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(7)[4][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003erole-based access control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan, information system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of roles, users, and associated privileges required to control information system access\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing role-based access control policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_g", + "desc": "organization-defined roles and users authorized to assume such roles", + "value": "organization-defined roles and users authorized to assume such roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.8.", + "title": "REVOCATION OF ACCESS AUTHORIZATIONS", + "props": [ + { + "class": "name", + "value": "AC-3 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on \u003cinsert param-id=\"ac-3_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRevocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object (e.g., file) is opened or until the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations can provide alternative approaches on how to make revocations immediate if information systems cannot provide such capability and immediate revocation is necessary.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines rules governing the timing of revocations of access authorizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on organization-defined rules governing the timing of revocations of access authorizations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(8)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules governing revocation of access authorizations, information system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_h", + "desc": "organization-defined rules governing the timing of revocations of access authorizations", + "value": "organization-defined rules governing the timing of revocations of access authorizations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.9.", + "title": "CONTROLLED RELEASE", + "props": [ + { + "class": "name", + "value": "AC-3 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system does not release information outside of the established system boundary unless:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-3.9.a.", + "prose": [ + "\u003cp class=\"description\"\u003eThe receiving \u003cinsert param-id=\"ac-3_i\"/\u003e provides \u003cinsert param-id=\"ac-3_j\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (9)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-3.9.b.", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"ac-3_k\"/\u003e are used to validate the appropriateness of the information designated for release.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (9)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems can only protect organizational information within the confines of established system boundaries. Additional security safeguards may be needed to ensure that such information is adequately protected once it is passed beyond the established information system boundaries. Examples of information leaving the system boundary include transmitting information to an external information system or printing the information on one of its printers. In cases where the information system is unable to make a determination of the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external information systems are providing adequate security. The means used to determine the adequacy of the security provided by external information systems include, for example, conducting inspections or periodic testing, establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires information systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the information system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the information system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular information system or organization.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the information system or system component authorized to receive information released outside of the established system boundary of the information system releasing such information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be provided by organization-defined information system or system component receiving information released from an information system outside of the established system boundary;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(9)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.9.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be used to validate the appropriateness of the information designated for release;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(9)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.9.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system does not release information outside of the established system boundary unless:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(9)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.9.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe receiving organization-defined information system or system component provides organization-defined security safeguards; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(9)[4](a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.9.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization-defined security safeguards are used to validate the appropriateness of the information designated for release.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(9)[4](b)" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards provided by receiving information system or system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards validating appropriateness of information designated for release\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_i", + "desc": "organization-defined information system or system component", + "value": "organization-defined information system or system component" + }, + { + "id": "ac-3_j", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "ac-3_k", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.10.", + "title": "AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS", + "props": [ + { + "class": "name", + "value": "AC-3 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs an audited override of automated access control mechanisms under \u003cinsert param-id=\"ac-3_l\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-3.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines conditions under which to employ an audited override of automated access control mechanisms; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-3.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys an audited override of automated access control mechanisms under organization-defined conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3(10)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econditions for employing audited override of automated access control mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-3_l", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.4", + "title": "INFORMATION FLOW ENFORCEMENT", + "params": [ + { + "id": "ac-4_a", + "desc": "organization-defined information flow control policies", + "value": "organization-defined information flow control policies" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on \u003cinsert param-id=\"ac-4_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.21" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.7" + }, + { + "href": "#sa.8" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.18" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-4-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information flow control policies to control the flow of information within the system and between interconnected systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-4-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on organization-defined information flow control policies.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system baseline configuration\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information flow authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.4.1.", + "title": "OBJECT SECURITY ATTRIBUTES", + "props": [ + { + "class": "name", + "value": "AC-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system uses \u003cinsert param-id=\"ac-4_b\"/\u003e associated with \u003cinsert param-id=\"ac-4_c\"/\u003e to enforce \u003cinsert param-id=\"ac-4_d\"/\u003e as a basis for flow control decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation flow enforcement mechanisms compare security attributes associated with information (data content and data structure) and source/destination objects, and respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. Security attributes can also include, for example, source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security attributes can be used, for example, to control the release of certain types of information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information flow control policies as a basis for flow control decisions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security attributes to be associated with information, source, and destination objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the following objects to be associated with organization-defined security attributes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(1)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.1.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(1)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.1.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esource;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(1)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.1.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edestination; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(1)[3][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system uses organization-defined security attributes associated with organization-defined information, source, and destination objects to enforce organization-defined information flow control policies as a basis for flow control decisions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(1)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security attributes and associated information, source, and destination objects enforcing information flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_b", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + }, + { + "id": "ac-4_c", + "desc": "organization-defined information, source, and destination objects", + "value": "organization-defined information, source, and destination objects" + }, + { + "id": "ac-4_d", + "desc": "organization-defined information flow control policies", + "value": "organization-defined information flow control policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.2.", + "title": "PROCESSING DOMAINS", + "props": [ + { + "class": "name", + "value": "AC-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system uses protected processing domains to enforce \u003cinsert param-id=\"ac-4_e\"/\u003e as a basis for flow control decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWithin information systems, protected processing domains are processing spaces that have controlled interactions with other processing spaces, thus enabling control of information flows between these spaces and to/from data/information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, information system processes are assigned to domains; information is identified by types; and information flows are controlled based on allowed information accesses (determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information flow control policies as a basis for flow control decisions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system uses protected processing domains to enforce organization-defined information flow control policies as a basis for flow control decisions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_e", + "desc": "organization-defined information flow control policies", + "value": "organization-defined information flow control policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.3.", + "title": "DYNAMIC INFORMATION FLOW CONTROL", + "props": [ + { + "class": "name", + "value": "AC-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces dynamic information flow control based on \u003cinsert param-id=\"ac-4_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational policies regarding dynamic information flow control include, for example, allowing or disallowing information flows based on changing conditions or mission/operational considerations. Changing conditions include, for example, changes in organizational risk tolerance due to changes in the immediacy of mission/business needs, changes in the threat environment, and detection of potentially harmful or adverse events.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines policies to enforce dynamic information flow control; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces dynamic information flow control based on organization-defined policies.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_f", + "desc": "organization-defined policies", + "value": "organization-defined policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.4.", + "title": "CONTENT CHECK ENCRYPTED INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents encrypted information from bypassing content-checking mechanisms by [Selection (one or more): decrypting the information; blocking the flow of the encrypted information; terminating communications sessions attempting to pass encrypted information; \u003cinsert param-id=\"ac-4_g\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a procedure or method to be employed to prevent encrypted information from bypassing content-checking mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents encrypted information from bypassing content-checking mechanisms by doing one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(4)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.4.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edecrypting the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(4)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.4.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eblocking the flow of the encrypted information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(4)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.4.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eterminating communications sessions attempting to pass encrypted information; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(4)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.4.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploying the organization-defined procedure or method.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(4)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_g", + "desc": "organization-defined procedure or method", + "value": "organization-defined procedure or method" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.5.", + "title": "EMBEDDED DATA TYPES", + "props": [ + { + "class": "name", + "value": "AC-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces \u003cinsert param-id=\"ac-4_h\"/\u003e on embedding data types within other data types.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEmbedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes, for example, inserting executable files as objects within word processing files, inserting references or descriptive information into a media file, and compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines limitations to be enforced on embedding data types within other data types; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces organization-defined limitations on embedding data types within other data types.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of limitations to be enforced on embedding data types within other data types\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_h", + "desc": "organization-defined limitations", + "value": "organization-defined limitations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.6.", + "title": "METADATA", + "props": [ + { + "class": "name", + "value": "AC-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces information flow control based on \u003cinsert param-id=\"ac-4_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMetadata is information used to describe the characteristics of data. Metadata can include structural metadata describing data structures (e.g., data format, syntax, and semantics) or descriptive metadata describing data contents (e.g., age, location, telephone number). Enforcing allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata with regard to data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., ensuring sufficiently strong binding techniques with appropriate levels of assurance).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines metadata to be used as a means of enforcing information flow control; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces information flow control based on organization-defined metadata.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etypes of metadata used to enforce information flow control decisions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_i", + "desc": "organization-defined metadata", + "value": "organization-defined metadata" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.7.", + "title": "ONE-WAY FLOW MECHANISMS", + "props": [ + { + "class": "name", + "value": "AC-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces \u003cinsert param-id=\"ac-4_j\"/\u003e using hardware mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines one-way information flows to be enforced by the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces organization-defined one-way information flows using hardware mechanisms.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(7)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware mechanisms and associated configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eHardware mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_j", + "desc": "organization-defined one-way information flows", + "value": "organization-defined one-way information flows" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.8.", + "title": "SECURITY POLICY FILTERS", + "props": [ + { + "class": "name", + "value": "AC-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces information flow control using \u003cinsert param-id=\"ac-4_k\"/\u003e as a basis for flow control decisions for \u003cinsert param-id=\"ac-4_l\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganization-defined security policy filters can address data structures and content. For example, security policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security policy filters for data content can check for specific words (e.g., dirty/clean word filters), enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data typically refers to digital information without a particular data structure or with a data structure that does not facilitate the development of rule sets to address the particular sensitivity of the information conveyed by the data or the associated flow enforcement decisions. Unstructured data consists of: (i) bitmap objects that are inherently non language-based (i.e., image, video, or audio files); and (ii) textual objects that are based on written or printed languages (e.g., commercial off-the-shelf word processing documents, spreadsheets, or emails). Organizations can implement more than one security policy filter to meet information flow control objectives (e.g., employing clean word lists in conjunction with dirty word lists may help to reduce false positives).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security policy filters to be used as a basis for enforcing flow control decisions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information flows for which flow control decisions are to be applied and enforced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.8.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces information flow control using organization-defined security policy filters as a basis for flow control decisions for organization-defined information flows.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(8)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security policy filters regulating flow control decisions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_k", + "desc": "organization-defined security policy filters", + "value": "organization-defined security policy filters" + }, + { + "id": "ac-4_l", + "desc": "organization-defined information flows", + "value": "organization-defined information flows" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.9.", + "title": "HUMAN REVIEWS", + "props": [ + { + "class": "name", + "value": "AC-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces the use of human reviews for \u003cinsert param-id=\"ac-4_m\"/\u003e under the following conditions: \u003cinsert param-id=\"ac-4_n\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations define security policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of, or as a complement to, automated security policy filtering. Human reviews may also be employed as deemed necessary by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information flows requiring the use of human reviews;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines conditions under which the use of human reviews for organization-defined information flows is to be enforced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(9)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.9.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces the use of human reviews for organization-defined information flows under organization-defined conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(9)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of human reviews regarding information flows\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of conditions requiring human reviews for information flows\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms enforcing the use of human reviews\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_m", + "desc": "organization-defined information flows", + "value": "organization-defined information flows" + }, + { + "id": "ac-4_n", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.10.", + "title": "ENABLE / DISABLE SECURITY POLICY FILTERS", + "props": [ + { + "class": "name", + "value": "AC-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability for privileged administrators to enable/disable \u003cinsert param-id=\"ac-4_o\"/\u003e under the following conditions: \u003cinsert param-id=\"ac-4_p\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor example, as allowed by the information system authorization, administrators can enable security policy filters to accommodate approved data types.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security policy filters that privileged administrators have the capability to enable/disable;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization-defined conditions under which privileged administrators have the capability to enable/disable organization-defined security policy filters; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(10)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.10.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the capability for privileged administrators to enable/disable organization-defined security policy filters under organization-defined conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(10)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow information policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security policy filters enabled/disabled by privileged administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for enabling/disabling security policy filters\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_o", + "desc": "organization-defined security policy filters", + "value": "organization-defined security policy filters" + }, + { + "id": "ac-4_p", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.11.", + "title": "CONFIGURATION OF SECURITY POLICY FILTERS", + "props": [ + { + "class": "name", + "value": "AC-4 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability for privileged administrators to configure \u003cinsert param-id=\"ac-4_q\"/\u003e to support different security policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor example, to reflect changes in security policies, administrators can change the list of �dirty words� that security policy mechanisms check in accordance with the definitions provided by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security policy filters that privileged administrators have the capability to configure to support different security policies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the capability for privileged administrators to configure organization-defined security policy filters to support different security policies.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(11)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security policy filters\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for configuring security policy filters\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_q", + "desc": "organization-defined security policy filters", + "value": "organization-defined security policy filters" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.12.", + "title": "DATA TYPE IDENTIFIERS", + "props": [ + { + "class": "name", + "value": "AC-4 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, when transferring information between different security domains, uses \u003cinsert param-id=\"ac-4_r\"/\u003e to validate data essential for information flow decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData type identifiers include, for example, filenames, file types, file signatures/tokens, and multiple internal file signatures/tokens. Information systems may allow transfer of data only if compliant with data type format specifications.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines data type identifiers to be used, when transferring information between different security domains, to validate data essential for information flow decisions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, when transferring information between different security domains, uses organization-defined data type identifiers to validate data essential for information flow decisions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(12)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of data type identifiers\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_r", + "desc": "organization-defined data type identifiers", + "value": "organization-defined data type identifiers" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.13.", + "title": "DECOMPOSITION INTO POLICY-RELEVANT SUBCOMPONENTS", + "props": [ + { + "class": "name", + "value": "AC-4 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, when transferring information between different security domains, decomposes information into \u003cinsert param-id=\"ac-4_s\"/\u003e for submission to policy enforcement mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePolicy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security domains. Parsing transfer files facilitates policy decisions on source, destination, certificates, classification, attachments, and other security-related component differentiators.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines policy-relevant subcomponents to decompose information for submission to policy enforcement mechanisms when transferring such information between different security domains; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, when transferring information between different security domains, decomposes information into organization-defined policy-relevant subcomponents for submission to policy enforcement mechanisms.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(13)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_s", + "desc": "organization-defined policy-relevant subcomponents", + "value": "organization-defined policy-relevant subcomponents" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.14.", + "title": "SECURITY POLICY FILTER CONSTRAINTS", + "props": [ + { + "class": "name", + "value": "AC-4 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, when transferring information between different security domains, implements \u003cinsert param-id=\"ac-4_t\"/\u003e requiring fully enumerated formats that restrict data structure and content.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData structure and content restrictions reduce the range of potential malicious and/or unsanctioned content in cross-domain transactions. Security policy filters that restrict data structures include, for example, restricting file sizes and field lengths. Data content policy filters include, for example: (i) encoding formats for character sets (e.g., Universal Character Set Transformation Formats, American Standard Code for Information Interchange); (ii) restricting character data fields to only contain alpha-numeric characters; (iii) prohibiting special characters; and (iv) validating schema structures.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.14.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security policy filters to be implemented that require fully enumerated formats restricting data structure and content when transferring information between different security domains; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(14)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.14.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, when transferring information between different security domains, implements organization-defined security policy filters requiring fully enumerated formats that restrict data structure and content.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(14)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security policy filters\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of data content policy filters\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_t", + "desc": "organization-defined security policy filters", + "value": "organization-defined security policy filters" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.15.", + "title": "DETECTION OF UNSANCTIONED INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-4 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, when transferring information between different security domains, examines the information for the presence of \u003cinsert param-id=\"ac-4_u\"/\u003e and prohibits the transfer of such information in accordance with the \u003cinsert param-id=\"ac-4_v\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetection of unsanctioned information includes, for example, checking all information to be transferred for malicious code and dirty words.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.15.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines unsanctioned information to be detected when transferring information between different security domains;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(15)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.15.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the security policy that requires the transfer of organization-defined unsanctioned information between different security domains to be prohibited when the presence of such information is detected; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(15)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.15.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, when transferring information between different security domains, examines the information for the presence of organization-defined unsanctioned information and prohibits the transfer of such information in accordance with the organization-defined security policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(15)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of unsanctioned information types and associated information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_u", + "desc": "organized-defined unsanctioned information", + "value": "organized-defined unsanctioned information" + }, + { + "id": "ac-4_v", + "desc": "organization-defined security policy", + "value": "organization-defined security policy" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.16.", + "title": "INFORMATION TRANSFERS ON INTERCONNECTED SYSTEMS", + "props": [ + { + "class": "name", + "value": "AC-4 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.17.", + "title": "DOMAIN AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "AC-4 (17)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system uniquely identifies and authenticates source and destination points by [Selection (one or more): organization, system, application, individual] for information transfer.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAttribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in information systems, allows the forensic reconstruction of events when required, and encourages policy compliance by attributing policy violations to specific organizations/individuals. Successful domain authentication requires that information system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system uniquely identifies and authenticates: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.17.1.", + "props": [ + { + "class": "name", + "value": "AC-4(17)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.17.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esource points for information transfer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(17)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.17.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edestination points for information transfer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(17)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.17.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eby one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(17)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.17.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(17)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.17.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esystem;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(17)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.17.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eapplication; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(17)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.17.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eindividual.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(17)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing source and destination domain identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.18.", + "title": "SECURITY ATTRIBUTE BINDING", + "props": [ + { + "class": "name", + "value": "AC-4 (18)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system binds security attributes to information using \u003cinsert param-id=\"ac-4_w\"/\u003e to facilitate information flow policy enforcement.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBinding techniques implemented by information systems affect the strength of security attribute binding to information. Binding strength and the assurance associated with binding techniques play an important part in the trust organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#sc.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.18.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines binding techniques to be used to facilitate information flow policy enforcement; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(18)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.18.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system binds security attributes to information using organization-defined binding techniques to facilitate information flow policy enforcement.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(18)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of binding techniques to bind security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_w", + "desc": "organization-defined binding techniques", + "value": "organization-defined binding techniques" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.19.", + "title": "VALIDATION OF METADATA", + "props": [ + { + "class": "name", + "value": "AC-4 (19)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires the validation of metadata and the data to which the metadata applies. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions, considering metadata and the data to which the metadata applies as part of the payload. All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security policy filtering criteria applied to metadata and data payloads\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.20.", + "title": "APPROVED SOLUTIONS", + "props": [ + { + "class": "name", + "value": "AC-4 (20)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"ac-4_x\"/\u003e to control the flow of \u003cinsert param-id=\"ac-4_y\"/\u003e across security domains.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The Unified Cross Domain Management Office (UCDMO) provides a baseline listing of approved cross-domain solutions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.20.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines solutions in approved configurations to control the flow of information across security domains;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(20)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.20.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information for which organization-defined solutions in approved configurations are to be employed to control the flow of such information across security domains; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(20)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.20.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined solutions in approved configurations to control the flow of organization-defined information across security domains.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(20)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of solutions in approved configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapproved configuration baselines\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_x", + "desc": "organization-defined solutions in approved configurations", + "value": "organization-defined solutions in approved configurations" + }, + { + "id": "ac-4_y", + "desc": "organization-defined information", + "value": "organization-defined information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.21.", + "title": "PHYSICAL / LOGICAL SEPARATION OF INFORMATION FLOWS", + "props": [ + { + "class": "name", + "value": "AC-4 (21)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system separates information flows logically or physically using \u003cinsert param-id=\"ac-4_z\"/\u003e to accomplish \u003cinsert param-id=\"ac-4_aa\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEnforcing the separation of information flows by type can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths perhaps not otherwise achievable. Types of separable information include, for example, inbound and outbound communications traffic, service requests and responses, and information of differing security categories.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-4.21.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the required separations of information flows by types of information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(21)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.21.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the mechanisms and/or techniques to be used to separate information flows logically or physically; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(21)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-4.21.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system separates information flows logically or physically using organization-defined mechanisms and/or techniques to accomplish organization-defined required separations by types of information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-4(21)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of required separation of information flows by information types\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of mechanisms and/or techniques used to logically or physically separate information flows\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-4_z", + "desc": "organization-defined mechanisms and/or techniques", + "value": "organization-defined mechanisms and/or techniques" + }, + { + "id": "ac-4_aa", + "desc": "organization-defined required separations by types of information", + "value": "organization-defined required separations by types of information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.22.", + "title": "ACCESS ONLY", + "props": [ + { + "class": "name", + "value": "AC-4 (22)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe information system, for example, provides a desktop for users to access each connected security domain without providing any mechanisms to allow transfer of information between the different security domains.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.5", + "title": "SEPARATION OF DUTIES", + "params": [ + { + "id": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "organization-defined duties of individuals" + } + ], + "props": [ + { + "class": "name", + "value": "AC-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eSeparates \u003cinsert param-id=\"ac-5_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments separation of duties of individuals; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5b." + } + ] + }, + { + "class": "item", + "id": "smm_ac-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines information system access authorizations to support separation of duties.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSeparation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example: (i) dividing mission functions and information system support functions among different individuals and/or roles; (ii) conducting information system support functions with different individuals (e.g., system management, programming, configuration management, quality assurance and testing, and network security); and (iii) ensuring security personnel administering access control functions do not also administer audit functions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + }, + { + "href": "#ps.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-5.a.", + "props": [ + { + "class": "name", + "value": "AC-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines duties of individuals to be separated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eseparates organization-defined duties of individuals;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments separation of duties; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-5.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system access authorizations to support separation of duties.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing divisions of responsibility and separation of duties\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of divisions of responsibility and separation of duties\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing separation of duties policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.6", + "title": "LEAST PRIVILEGE", + "props": [ + { + "class": "name", + "value": "AC-6" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ least privilege for specific duties and information systems. The principle of least privilege is also applied to information system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions/business functions. Organizations consider the creation of additional processes, roles, and information system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.7" + }, + { + "href": "#pl.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs the principle of least privilege, allowing only authorized access for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of assigned access authorizations (user privileges)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.6.1.", + "title": "AUTHORIZE ACCESS TO SECURITY FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization explicitly authorizes access to \u003cinsert param-id=\"ac-6_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security-relevant information for which access must be explicitly authorized;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security functions deployed in:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ehardware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.1.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[2][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eexplicitly authorizes access to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.1.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined security functions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.1.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity-relevant information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(1)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-6_a", + "desc": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information", + "value": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.2.", + "title": "NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that users of information system accounts, or roles, with access to \u003cinsert param-id=\"ac-6_b\"/\u003e, use non-privileged accounts or roles, when accessing nonsecurity functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security functions or security-relevant information to which users of information system accounts, or roles, have access; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that users of information system accounts, or roles, with access to organization-defined security functions or security-relevant information, use non-privileged accounts, or roles, when accessing nonsecurity functions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system-generated security functions or security-relevant information assigned to information system accounts or roles\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-6_b", + "desc": "organization-defined security functions or security-relevant information", + "value": "organization-defined security functions or security-relevant information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.3.", + "title": "NETWORK ACCESS TO PRIVILEGED COMMANDS", + "props": [ + { + "class": "name", + "value": "AC-6 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization authorizes network access to \u003cinsert param-id=\"ac-6_c\"/\u003e only for \u003cinsert param-id=\"ac-6_d\"/\u003e and documents the rationale for such access in the security plan for the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNetwork access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines privileged commands to which network access is to be authorized only for compelling operational needs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines compelling operational needs for which network access to organization-defined privileged commands are to be solely authorized;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes network access to organization-defined privileged commands only for organization-defined compelling operational needs; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments the rationale for authorized network access to organization-defined privileged commands in the security plan for the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(3)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of operational needs for authorizing network access to privileged commands\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-6_c", + "desc": "organization-defined privileged commands", + "value": "organization-defined privileged commands" + }, + { + "id": "ac-6_d", + "desc": "organization-defined compelling operational needs", + "value": "organization-defined compelling operational needs" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.4.", + "title": "SEPARATE PROCESSING DOMAINS", + "props": [ + { + "class": "name", + "value": "AC-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides separate processing domains to enable finer-grained allocation of user privileges.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProviding separate processing domains for finer-grained allocation of user privileges includes, for example: (i) using virtualization techniques to allow additional privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying actual machine; (ii) employing hardware and/or software domain separation mechanisms; and (iii) implementing separate physical domains.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.30" + }, + { + "href": "#sc.32" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides separate processing domains to enable finer-grained allocation of user privileges.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.5.", + "title": "PRIVILEGED ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-6 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization restricts privileged accounts on the information system to \u003cinsert param-id=\"ac-6_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided organizations retain the ability to control information system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles for which privileged accounts on the information system are to be restricted; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricts privileged accounts on the information system to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system-generated privileged accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system administration personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-6_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.6.", + "title": "PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS", + "props": [ + { + "class": "name", + "value": "AC-6 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits privileged access to the information system by non-organizational users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ia.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization prohibits privileged access to the information system by non-organizational users. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system-generated privileged accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of non-organizational users\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms prohibiting privileged access to the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.7.", + "title": "REVIEW OF USER PRIVILEGES", + "props": [ + { + "class": "name", + "value": "AC-6 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-6.7.a.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews \u003cinsert param-id=\"ac-6_f\"/\u003e the privileges assigned to \u003cinsert param-id=\"ac-6_g\"/\u003e to validate the need for such privileges; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-6.7.b.", + "prose": [ + "\u003cp class=\"description\"\u003eReassigns or removes privileges, if necessary, to correctly reflect organizational mission/business needs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6 (7)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe need for certain assigned user privileges may change over time reflecting changes in organizational missions/business function, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.7.a.", + "props": [ + { + "class": "name", + "value": "AC-6(7)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines roles or classes of users to which privileges are assigned;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(7)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the privileges assigned to organization-defined roles or classes of users to validate the need for such privileges;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(7)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.7.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the privileges assigned to organization-defined roles or classes of users with the organization-defined frequency to validate the need for such privileges; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(7)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereassigns or removes privileges, if necessary, to correctly reflect organizational missions/business needs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(7)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system-generated roles or classes of users and assigned privileges\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evalidation reviews of privileges assigned to roles or classes or users\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of privilege removals or reassignments for roles or classes of users\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing review of user privileges\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-6_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ac-6_g", + "desc": "organization-defined roles or classes of users", + "value": "organization-defined roles or classes of users" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.8.", + "title": "PRIVILEGE LEVELS FOR CODE EXECUTION", + "props": [ + { + "class": "name", + "value": "AC-6 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents \u003cinsert param-id=\"ac-6_h\"/\u003e from executing at higher privilege levels than users executing the software.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, software applications/programs need to execute with elevated privileges to perform required functions. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines software that should not execute at higher privilege levels than users executing the software; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents organization-defined software from executing at higher privilege levels than users executing the software.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(8)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of software that should not execute at higher privilege levels than users executing software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions for software execution\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-6_h", + "desc": "organization-defined software", + "value": "organization-defined software" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.9.", + "title": "AUDITING USE OF PRIVILEGED FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (9)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system audits the execution of privileged functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMisuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised information system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat (APT).\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system audits the execution of privileged functions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of privileged functions to be audited\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of audited events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms auditing the execution of least privilege functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.10.", + "title": "PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (10)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged functions include, for example, establishing information system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system prevents non-privileged users from executing privileged functions to include:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-6.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edisabling implemented security safeguards/countermeasures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecircumventing security safeguards/countermeasures; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(10)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-6.10.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ealtering implemented security safeguards/countermeasures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6(10)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of privileged functions and associated user account assignments\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing least privilege functions for non-privileged users\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.7", + "title": "UNSUCCESSFUL LOGON ATTEMPTS", + "params": [ + { + "id": "ac-7_a", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "id": "ac-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "ac-7_c", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "ac-7_d", + "desc": "organization-defined delay algorithm", + "value": "organization-defined delay algorithm" + } + ], + "props": [ + { + "class": "name", + "value": "AC-7" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-7a.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces a limit of \u003cinsert param-id=\"ac-7_a\"/\u003e consecutive invalid logon attempts by a user during a \u003cinsert param-id=\"ac-7_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-7b.", + "prose": [ + "\u003cp class=\"description\"\u003eAutomatically [Selection: locks the account/node for an \u003cinsert param-id=\"ac-7_c\"/\u003e; locks the account/node until released by an administrator; delays next logon prompt according to \u003cinsert param-id=\"ac-7_d\"/\u003e] when the maximum number of unsuccessful attempts is exceeded.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by information systems are usually temporary and automatically release after a predetermined time period established by organizations. If a delay algorithm is selected, organizations may choose to employ different algorithms for different information system components based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.9" + }, + { + "href": "#ac.14" + }, + { + "href": "#ia.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-7.a.", + "props": [ + { + "class": "name", + "value": "AC-7(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the number of consecutive invalid logon attempts allowed to the information system by a user during an organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period allowed by a user of the information system for an organization-defined number of consecutive invalid logon attempts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-7.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces a limit of organization-defined number of consecutive invalid logon attempts by a user during an organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-7.b.", + "props": [ + { + "class": "name", + "value": "AC-7(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-7.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines account/node lockout time period or logon delay algorithm to be automatically enforced by the information system when the maximum number of unsuccessful logon attempts is exceeded;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-7.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, when the maximum number of unsuccessful logon attempts is exceeded, automatically:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-7.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003elocks the account/node for the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-7.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003elocks the account/node until released by an administrator; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(b)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-7.b.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edelays next logon prompt according to the organization-defined delay algorithm.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(b)[2][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing unsuccessful logon attempts\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for unsuccessful logon attempts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.7.1.", + "title": "AUTOMATIC ACCOUNT LOCK", + "props": [ + { + "class": "name", + "value": "AC-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.7.2.", + "title": "PURGE / WIPE MOBILE DEVICE", + "props": [ + { + "class": "name", + "value": "AC-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system purges/wipes information from \u003cinsert param-id=\"ac-7_e\"/\u003e based on \u003cinsert param-id=\"ac-7_f\"/\u003e after \u003cinsert param-id=\"ac-7_g\"/\u003e consecutive, unsuccessful device logon attempts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies only to mobile devices for which a logon occurs (e.g., personal digital assistants, smart phones, tablets). The logon is to the mobile device, not to any one account on the device. Therefore, successful logons to any accounts on mobile devices reset the unsuccessful logon count to zero. Organizations define information to be purged/wiped carefully in order to avoid over purging/wiping which may result in devices becoming unusable. Purging/wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#mp.5" + }, + { + "href": "#mp.6" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-7.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines mobile devices to be purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-7.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines purging/wiping requirements/techniques to be used when organization-defined mobile devices are purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-7.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the number of consecutive, unsuccessful logon attempts allowed for accessing mobile devices before the information system purges/wipes information from such devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-7.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system purges/wipes information from organization-defined mobile devices based on organization-defined purging/wiping requirements/techniques after organization-defined number of consecutive, unsuccessful logon attempts.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing unsuccessful login attempts on mobile devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of mobile devices to be purged/wiped after organization-defined consecutive, unsuccessful device logon attempts\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of purging/wiping requirements or techniques for mobile devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for unsuccessful device logon attempts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-7_e", + "desc": "organization-defined mobile devices", + "value": "organization-defined mobile devices" + }, + { + "id": "ac-7_f", + "desc": "organization-defined purging/wiping requirements/techniques", + "value": "organization-defined purging/wiping requirements/techniques" + }, + { + "id": "ac-7_g", + "desc": "organization-defined number", + "value": "organization-defined number" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.8", + "title": "SYSTEM USE NOTIFICATION", + "params": [ + { + "id": "ac-8_a", + "desc": "organization-defined system use notification message or banner", + "value": "organization-defined system use notification message or banner" + }, + { + "id": "ac-8_b", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eDisplays to users \u003cinsert param-id=\"ac-8_a\"/\u003e before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-8a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eUsers are accessing a U.S. Government information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-8a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eInformation system usage may be monitored, recorded, and subject to audit;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a.2." + } + ] + }, + { + "class": "item", + "id": "sms_ac-8a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eUnauthorized use of the information system is prohibited and subject to criminal and civil penalties; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a.3." + } + ] + }, + { + "class": "item", + "id": "sms_ac-8a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eUse of the information system indicates consent to monitoring and recording;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ac-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eRetains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8b." + } + ] + }, + { + "class": "item", + "id": "smm_ac-8c.", + "prose": [ + "\u003cp class=\"description\"\u003eFor publicly accessible systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8c." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ac-8c.1.", + "prose": [ + "\u003cp class=\"description\"\u003eDisplays system use information \u003cinsert param-id=\"ac-8_b\"/\u003e, before granting further access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8c.1." + } + ] + }, + { + "class": "item", + "id": "sms_ac-8c.2.", + "prose": [ + "\u003cp class=\"description\"\u003eDisplays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8c.2." + } + ] + }, + { + "class": "item", + "id": "sms_ac-8c.3.", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes a description of the authorized uses of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8c.3." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem use notifications can be implemented using messages or warning banners displayed before individuals log in to information systems. System use notifications are used only for access via logon interfaces with human users and are not required when such human interfaces do not exist. Organizations consider system use notification messages/banners displayed in multiple languages based on specific organizational needs and the demographics of information system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-8.a.", + "props": [ + { + "class": "name", + "value": "AC-8(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-8.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a system use notification message or banner to be displayed by the information system to users before granting access to the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system displays to users the organization-defined system use notification message or banner before granting access to the information system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance, and states that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-8.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eusers are accessing a U.S. Government information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(a)[2](1)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation system usage may be monitored, recorded, and subject to audit;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(a)[2](2)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eunauthorized use of the information system is prohibited and subject to criminal and civil penalties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(a)[2](3)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.a.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003euse of the information system indicates consent to monitoring and recording;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(a)[2](4)" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.c.", + "prose": [ + "\u003cp class=\"decision\"\u003efor publicly accessible systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-8.c.1.", + "props": [ + { + "class": "name", + "value": "AC-8(c)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-8.c.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines conditions for system use to be displayed by the information system before granting further access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(c)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.c.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system displays organization-defined conditions before granting further access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(c)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(c)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-8.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system includes a description of the authorized uses of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8(c)(3)" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprivacy and security policies, procedures addressing system use notification\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumented approval of information system use notification messages or banners\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003euser acknowledgements of notification message or banner\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system use notification messages\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for providing legal advice\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing system use notification\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.9", + "title": "PREVIOUS LOGON (ACCESS) NOTIFICATION", + "props": [ + { + "class": "name", + "value": "AC-9" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control is applicable to logons to information systems via human user interfaces and logons to systems that occur in other types of architectures (e.g., service-oriented architectures).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.7" + }, + { + "href": "#pl.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system notification messages\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.9.1.", + "title": "UNSUCCESSFUL LOGONS", + "props": [ + { + "class": "name", + "value": "AC-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.9.2.", + "title": "SUCCESSFUL / UNSUCCESSFUL LOGONS", + "props": [ + { + "class": "name", + "value": "AC-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system notifies the user of the number of [Selection: successful logons/accesses; unsuccessful logon/access attempts; both] during \u003cinsert param-id=\"ac-9_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-9.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period within which the information system must notify the user of the number of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(2)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-9.2.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esuccessful logons/accesses; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(2)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-9.2.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eunsuccessful logon/access attempts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(2)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-9.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, during the organization-defined time period, notifies the user of the number of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(2)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-9.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esuccessful logons/accesses; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(2)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-9.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eunsuccessful logon/access attempts.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(2)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-9_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.9.3.", + "title": "NOTIFICATION OF ACCOUNT CHANGES", + "props": [ + { + "class": "name", + "value": "AC-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system notifies the user of changes to \u003cinsert param-id=\"ac-9_b\"/\u003e during \u003cinsert param-id=\"ac-9_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-9.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security-related characteristics/parameters of a user’s account;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-9.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period within which changes to organization-defined security-related characteristics/parameters of a user’s account must occur; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-9.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system notifies the user of changes to organization-defined security-related characteristics/parameters of the user’s account during the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-9_b", + "desc": "organization-defined security-related characteristics/parameters of the user�s account", + "value": "organization-defined security-related characteristics/parameters of the user�s account" + }, + { + "id": "ac-9_c", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.9.4.", + "title": "ADDITIONAL LOGON INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system notifies the user, upon successful logon (access), of the following additional information: \u003cinsert param-id=\"ac-9_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement permits organizations to specify additional information to be provided to users upon logon including, for example, the location of last logon. User location is defined as that information which can be determined by information systems, for example, IP addresses from which network logons occurred, device identifiers, or notifications of local logons.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-9.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information to be included in addition to the date and time of the last logon (access); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-9.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system notifies the user, upon successful logon (access), of the organization-defined information to be included in addition to the date and time of the last logon (access).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-9(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-9_d", + "desc": "organization-defined information to be included in addition to the date and time of the last logon (access)", + "value": "organization-defined information to be included in addition to the date and time of the last logon (access)" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.10", + "title": "CONCURRENT SESSION CONTROL", + "params": [ + { + "id": "ac-10_a", + "desc": "organization-defined account and/or account type", + "value": "organization-defined account and/or account type" + }, + { + "id": "ac-10_b", + "desc": "organization-defined number", + "value": "organization-defined number" + } + ], + "props": [ + { + "class": "name", + "value": "AC-10" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system limits the number of concurrent sessions for each \u003cinsert param-id=\"ac-10_a\"/\u003e to \u003cinsert param-id=\"ac-10_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may define the maximum number of concurrent sessions for information system accounts globally, by account type (e.g., privileged user, non-privileged user, domain, specific application), by account, or a combination. For example, organizations may limit the number of concurrent sessions for system administrators or individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003e Determine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-10-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines account and/or account types for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-10[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-10-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the number of concurrent sessions to be allowed for each organization-defined account and/or account type; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-10[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-10-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system limits the number of concurrent sessions for each organization-defined account and/or account type to the organization-defined number of concurrent sessions allowed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-10[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing concurrent session control\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for concurrent session control\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.11", + "title": "SESSION LOCK", + "params": [ + { + "id": "ac-11_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "AC-11" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-11a.", + "prose": [ + "\u003cp class=\"description\"\u003ePrevents further access to the system by initiating a session lock after \u003cinsert param-id=\"ac-11_a\"/\u003e of inactivity or upon receiving a request from a user; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-11a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-11b.", + "prose": [ + "\u003cp class=\"description\"\u003eRetains the session lock until the user reestablishes access using established identification and authentication procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-11b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSession locks are temporary actions taken when users stop work and move away from the immediate vicinity of information systems but do not want to log out because of the temporary nature of their absences. Session locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Session locks are not an acceptable substitute for logging out of information systems, for example, if organizations require users to log out at the end of workdays.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003e Determine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-11.a.", + "props": [ + { + "class": "name", + "value": "AC-11(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-11.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period of user inactivity after which the information system initiates a session lock;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-11(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-11.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents further access to the system by initiating a session lock after organization-defined time period of user inactivity or upon receiving a request from a user; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-11(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-11.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system retains the session lock until the user reestablishes access using established identification and authentication procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-11(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session lock\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access control policy for session lock\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.11.1.", + "title": "PATTERN-HIDING DISPLAYS", + "props": [ + { + "class": "name", + "value": "AC-11 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePublicly viewable images can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the additional caveat that none of the images convey sensitive information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session lock\u003c/p\u003e", + "\u003cp class=\"object\"\u003edisplay screen with session lock activated\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system session lock mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2006/m06-16.pdf", + "value": "OMB Memorandum 06-16" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.12", + "title": "SESSION TERMINATION", + "params": [ + { + "id": "ac-12_a", + "desc": "organization-defined conditions or trigger events requiring session disconnect", + "value": "organization-defined conditions or trigger events requiring session disconnect" + } + ], + "props": [ + { + "class": "name", + "value": "AC-12" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically terminates a user session after \u003cinsert param-id=\"ac-12_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the termination of user-initiated logical sessions in contrast to SC-10 which addresses the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user�s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on information system use.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.10" + }, + { + "href": "#sc.23" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-12-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines conditions or trigger events requiring session disconnect; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-12[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-12-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system automatically terminates a user session after organization-defined conditions or trigger events requiring session disconnect occurs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-12[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session termination\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of conditions or trigger events requiring session disconnect\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing user session termination\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.12.1.", + "title": "USER-INITIATED LOGOUTS / MESSAGE DISPLAYS", + "props": [ + { + "class": "name", + "value": "AC-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-12.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to \u003cinsert param-id=\"ac-12_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-12 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-12.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eDisplays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-12 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web-based services. Logout messages for web page access, for example, can be displayed after authenticated sessions have been terminated. However, for some types of interactive sessions including, for example, file transfer protocol (FTP) sessions, information systems typically send logout messages as final messages prior to terminating sessions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-12.1.a.", + "props": [ + { + "class": "name", + "value": "AC-12(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-12.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information resources for which user authentication is required to gain access to such resources;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-12(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-12.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to organization-defined information resources; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-12(1)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-12.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system displays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-12(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session termination\u003c/p\u003e", + "\u003cp class=\"object\"\u003euser logout messages\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system session lock mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-12_b", + "desc": "organization-defined information resources", + "value": "organization-defined information resources" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.13", + "title": "SUPERVISION AND REVIEW - ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "AC-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-2 and AU-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#au.6" + } + ] + }, + { + "class": "SP800-53", + "id": "ac.14", + "title": "PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION", + "params": [ + { + "id": "ac-14_a", + "desc": "organization-defined user actions", + "value": "organization-defined user actions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-14" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-14a.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies \u003cinsert param-id=\"ac-14_a\"/\u003e that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-14a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-14b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-14b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses situations in which organizations determine that no identification or authentication is required in organizational information systems. Organizations may allow a limited number of user actions without identification or authentication including, for example, when individuals access public websites or other publicly accessible federal information systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational information systems without identification and authentication and thus, the values for assignment statements can be none.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#ia.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-14.a.", + "props": [ + { + "class": "name", + "value": "AC-14(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-14.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-14(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-14.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies organization-defined user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-14(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-14.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-14(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing permitted actions without identification or authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of user actions that can be performed without identification or authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.14.1.", + "title": "NECESSARY USES", + "props": [ + { + "class": "name", + "value": "AC-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-14\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.14" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.15", + "title": "AUTOMATED MARKING", + "props": [ + { + "class": "name", + "value": "AC-15" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-3\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.3" + } + ] + }, + { + "class": "SP800-53", + "id": "ac.16", + "title": "SECURITY ATTRIBUTES", + "params": [ + { + "id": "ac-16_a", + "desc": "organization-defined types of security attributes", + "value": "organization-defined types of security attributes" + }, + { + "id": "ac-16_b", + "desc": "organization-defined security attribute values", + "value": "organization-defined security attribute values" + }, + { + "id": "ac-16_c", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + }, + { + "id": "ac-16_d", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + }, + { + "id": "ac-16_e", + "desc": "organization-defined values or ranges", + "value": "organization-defined values or ranges" + } + ], + "props": [ + { + "class": "name", + "value": "AC-16" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-16a.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides the means to associate \u003cinsert param-id=\"ac-16_a\"/\u003e having \u003cinsert param-id=\"ac-16_b\"/\u003e with information in storage, in process, and/or in transmission;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-16b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the security attribute associations are made and retained with the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16b." + } + ] + }, + { + "class": "item", + "id": "smm_ac-16c.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes the permitted \u003cinsert param-id=\"ac-16_c\"/\u003e for \u003cinsert param-id=\"ac-16_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16c." + } + ] + }, + { + "class": "item", + "id": "smm_ac-16d.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines the permitted \u003cinsert param-id=\"ac-16_e\"/\u003e for each of the established security attributes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. These attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the information system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security attributes to subjects and objects is referred to as binding and is typically inclusive of setting the attribute value and the attribute type. Security attributes when bound to data/information, enables the enforcement of information security policies for access control and information flow control, either through organizational processes or information system functions or mechanisms. The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Organizations can define the types of attributes needed for selected information systems to support missions/business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings could include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations can ensure that the security attribute values are meaningful and relevant. The term security labeling refers to the association of security attributes with subjects and objects represented by internal data structures within organizational information systems, to enable information system-based enforcement of information security policies. Security labels include, for example, access authorizations, data life cycle protection (i.e., encryption and data expiration), nationality, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. The term security marking refers to the association of security attributes with objects in a human-readable form, to enable organizational process-based enforcement of information security policies. The AC-16 base control represents the requirement for user-based attribute association (marking). The enhancements to AC-16 represent additional requirements including information system-based attribute association (labeling). Types of attributes include, for example, classification level for objects and clearance (access authorization) level for subjects. An example of a value for both of these attribute types is Top Secret.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.21" + }, + { + "href": "#au.2" + }, + { + "href": "#au.10" + }, + { + "href": "#sc.16" + }, + { + "href": "#mp.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-16.a.", + "props": [ + { + "class": "name", + "value": "AC-16(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-16.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of security attributes to be associated with information:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-16.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ein storage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ein process; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.a.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ein transmission;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security attribute values for organization-defined types of security attributes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the means to associate organization-defined types of security attributes having organization-defined security attribute values with information:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-16.a.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ein storage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.a.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ein process; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.a.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ein transmission;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(a)[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the security attribute associations are made and retained with the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.c.", + "props": [ + { + "class": "name", + "value": "AC-16(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-16.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems for which the permitted organization-defined security attributes are to be established;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security attributes that are permitted for organization-defined information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes the permitted organization-defined security attributes for organization-defined information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(c)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.d.", + "props": [ + { + "class": "name", + "value": "AC-16(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-16.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines values or ranges for each of the established security attributes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-16.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines the permitted organization-defined values or ranges for each of the established security attributes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the association of security attributes to information in storage, in process, and in transmission\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational capability supporting and maintaining the association of security attributes to information in storage, in process, and in transmission\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.16.1.", + "title": "DYNAMIC ATTRIBUTE ASSOCIATION", + "props": [ + { + "class": "name", + "value": "AC-16 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system dynamically associates security attributes with \u003cinsert param-id=\"ac-16_f\"/\u003e in accordance with \u003cinsert param-id=\"ac-16_g\"/\u003e as information is created and combined.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic association of security attributes is appropriate whenever the security characteristics of information changes over time. Security attributes may change, for example, due to information aggregation issues (i.e., the security characteristics of individual information elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), and changes in the security category of information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-16.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines subjects and objects to which security attributes are to be dynamically associated as information is created and combined;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security policies requiring the information system to dynamically associate security attributes with organization-defined subjects and objects; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system dynamically associates security attributes with organization-defined subjects and objects in accordance with organization-defined security policies as information is created and combined.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing dynamic association of security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing dynamic association of security attributes to information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-16_f", + "desc": "organization-defined subjects and objects", + "value": "organization-defined subjects and objects" + }, + { + "id": "ac-16_g", + "desc": "organization-defined security policies", + "value": "organization-defined security policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.2.", + "title": "ATTRIBUTE VALUE CHANGES BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AC-16 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security attributes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#au.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides authorized individuals (or processes acting on behalf on individuals) the capability to define or change the value of associated security attributes. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the change of security attribute values\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of individuals authorized to change security attributes\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for changing values of security attributes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms permitting changes to values of security attributes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.3.", + "title": "MAINTENANCE OF ATTRIBUTE ASSOCIATIONS BY INFORMATION SYSTEM", + "props": [ + { + "class": "name", + "value": "AC-16 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system maintains the association and integrity of \u003cinsert param-id=\"ac-16_h\"/\u003e to \u003cinsert param-id=\"ac-16_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMaintaining the association and integrity of security attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. Automated policy actions include, for example, access control decisions or information flow control decisions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-16.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security attributes to be associated with organization-defined subjects and objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines subjects and objects requiring the association and integrity of security attributes to such subjects and objects to be maintained; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system maintains the association and integrity of organization-defined security attributes to organization-defined subjects and objects.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the association of security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms maintaining association and integrity of security attributes to information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-16_h", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + }, + { + "id": "ac-16_i", + "desc": "organization-defined subjects and objects", + "value": "organization-defined subjects and objects" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.4.", + "title": "ASSOCIATION OF ATTRIBUTES BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AC-16 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system supports the association of \u003cinsert param-id=\"ac-16_j\"/\u003e with \u003cinsert param-id=\"ac-16_k\"/\u003e by authorized individuals (or processes acting on behalf of individuals).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe support provided by information systems can vary to include: (i) prompting users to select specific security attributes to be associated with specific information objects; (ii) employing automated mechanisms for categorizing information with appropriate attributes based on defined policies; or (iii) ensuring that the combination of selected security attributes selected is valid. Organizations consider the creation, deletion, or modification of security attributes when defining auditable events.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-16.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security attributes to be associated with subjects and objects by authorized individuals (or processes acting on behalf of individuals);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines subjects and objects requiring the association of organization-defined security attributes by authorized individuals (or processes acting on behalf of individuals); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system supports the association of organization-defined security attributes with organization-defined subjects and objects by authorized individuals (or processes acting on behalf of individuals).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(4)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the association of security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of users authorized to associate security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for associating security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting user associations of security attributes to information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-16_j", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + }, + { + "id": "ac-16_k", + "desc": "organization-defined subjects and objects", + "value": "organization-defined subjects and objects" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.5.", + "title": "ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES", + "props": [ + { + "class": "name", + "value": "AC-16 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify \u003cinsert param-id=\"ac-16_l\"/\u003e using \u003cinsert param-id=\"ac-16_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system outputs include, for example, pages, screens, or equivalent. Information system output devices include, for example, printers and video displays on computer workstations, notebook computers, and personal digital assistants.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-16.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization identifies special dissemination, handling, or distribution instructions to be used for each object that the information system transmits to output devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization identifies human-readable, standard naming conventions for the security attributes to be displayed in human-readable form on each object that the information system transmits to output devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify organization-identified special dissemination, handling, or distribution instructions using organization-identified human readable, standard naming conventions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing display of security attributes in human-readable form\u003c/p\u003e", + "\u003cp class=\"object\"\u003especial dissemination, handling, or distribution instructions\u003c/p\u003e", + "\u003cp class=\"object\"\u003etypes of human-readable, standard naming conventions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem output devices displaying security attributes in human-readable form on each object\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-16_l", + "desc": "organization-identified special dissemination, handling, or distribution instructions", + "value": "organization-identified special dissemination, handling, or distribution instructions" + }, + { + "id": "ac-16_m", + "desc": "organization-identified human-readable, standard naming conventions", + "value": "organization-identified human-readable, standard naming conventions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.6.", + "title": "MAINTENANCE OF ATTRIBUTE ASSOCIATION BY ORGANIZATION", + "props": [ + { + "class": "name", + "value": "AC-16 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization allows personnel to associate, and maintain the association of \u003cinsert param-id=\"ac-16_n\"/\u003e with \u003cinsert param-id=\"ac-16_o\"/\u003e in accordance with \u003cinsert param-id=\"ac-16_p\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires individual users (as opposed to the information system) to maintain associations of security attributes with subjects and objects.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-16.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security attributes to be associated with subjects and objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines subjects and objects to be associated with organization-defined security attributes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(6)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.6.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security policies to allow personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(6)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.6.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eallows personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects in accordance with organization-defined security policies.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(6)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing association of security attributes with subjects and objects\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for associating and maintaining association of security attributes with subjects and objects\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting associations of security attributes to subjects and objects\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-16_n", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + }, + { + "id": "ac-16_o", + "desc": "organization-defined subjects and objects", + "value": "organization-defined subjects and objects" + }, + { + "id": "ac-16_p", + "desc": "organization-defined security policies", + "value": "organization-defined security policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.7.", + "title": "CONSISTENT ATTRIBUTE INTERPRETATION", + "props": [ + { + "class": "name", + "value": "AC-16 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides a consistent interpretation of security attributes transmitted between distributed information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn order to enforce security policies across multiple components in distributed information systems (e.g., distributed database management systems, cloud-based systems, and service-oriented architectures), organizations provide a consistent interpretation of security attributes that are used in access enforcement and flow enforcement decisions. Organizations establish agreements and processes to ensure that all distributed information system components implement security attributes with consistent interpretations in automated access/flow enforcement actions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides a consistent interpretation of security attributes transmitted between distributed information system components. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing consistent interpretation of security attributes transmitted between distributed information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for providing consistent interpretation of security attributes used in access enforcement and information flow enforcement actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access enforcement and information flow enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.8.", + "title": "ASSOCIATION TECHNIQUES / TECHNOLOGIES", + "props": [ + { + "class": "name", + "value": "AC-16 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"ac-16_q\"/\u003e with \u003cinsert param-id=\"ac-16_r\"/\u003e in associating security attributes to information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe association (i.e., binding) of security attributes to information within information systems is of significant importance with regard to conducting automated access enforcement and flow enforcement actions. The association of such security attributes can be accomplished with technologies/techniques providing different levels of assurance. For example, information systems can cryptographically bind security attributes to information using digital signatures with the supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-16.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines techniques or technologies to be implemented in associating security attributes to information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines level of assurance to be provided when the information system implements organization-defined technologies or technologies to associate security attributes to information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.8.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined techniques or technologies with organization-defined level of assurance in associating security attributes to information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(8)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing association of security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for associating security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing techniques or technologies associating security attributes to information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-16_q", + "desc": "organization-defined techniques or technologies", + "value": "organization-defined techniques or technologies" + }, + { + "id": "ac-16_r", + "desc": "organization-defined level of assurance", + "value": "organization-defined level of assurance" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.9.", + "title": "ATTRIBUTE REASSIGNMENT", + "props": [ + { + "class": "name", + "value": "AC-16 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using \u003cinsert param-id=\"ac-16_s\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eValidated re-grading mechanisms are employed by organizations to provide the requisite levels of assurance for security attribute reassignment activities. The validation is facilitated by ensuring that re-grading mechanisms are single purpose and of limited function. Since security attribute reassignments can affect security policy enforcement actions (e.g., access/flow enforcement decisions), using trustworthy re-grading mechanisms is necessary to ensure that such mechanisms perform in a consistent/correct mode of operation.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-16.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines techniques or procedures to validate re-grading mechanisms used to reassign association of security attributes with information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-16.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using organization-defined techniques or procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing reassignment of security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for reassigning association of security attributes to information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing techniques or procedures for reassigning association of security attributes to information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-16_s", + "desc": "organization-defined techniques or procedures", + "value": "organization-defined techniques or procedures" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.10.", + "title": "ATTRIBUTE CONFIGURATION BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AC-16 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals only.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration of security attributes by authorized individuals\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining or changing security attributes associated with information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing capability for defining or changing security attributes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.17", + "title": "REMOTE ACCESS", + "props": [ + { + "class": "name", + "value": "AC-17" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-17a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes and documents usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-17b.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes remote access to the information system prior to allowing such connections.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRemote access is access to organizational information systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g., employing appropriate encryption techniques for confidentiality and integrity protection) may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can affect the organizational capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to information systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.20" + }, + { + "href": "#ca.3" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.8" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.8" + }, + { + "href": "#ma.4" + }, + { + "href": "#pe.17" + }, + { + "href": "#pl.4" + }, + { + "href": "#sc.10" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-17.a.", + "props": [ + { + "class": "name", + "value": "AC-17(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-17.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies the types of remote access allowed to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-17.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes for each type of remote access allowed:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-17.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eusage restrictions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-17.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003econfiguration/connection requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-17.a.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplementation guidance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[2][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-17.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments for each type of remote access allowed:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-17.a.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eusage restrictions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-17.a.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003econfiguration/connection requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-17.a.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplementation guidance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(a)[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-17.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes remote access to the information system prior to allowing such connections.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing remote access implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eremote access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for managing remote access connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eRemote access management capability for the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.17.1.", + "title": "AUTOMATED MONITORING / CONTROL", + "props": [ + { + "class": "name", + "value": "AC-17 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system monitors and controls remote access methods.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated monitoring and control of remote access sessions allows organizations to detect cyber attacks and also ensure ongoing compliance with remote access policies by auditing connection activities of remote users on a variety of information system components (e.g., servers, workstations, notebook computers, smart phones, and tablets).\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system monitors and controls remote access methods. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms monitoring and controlling remote access methods\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.2.", + "title": "PROTECTION OF CONFIDENTIALITY / INTEGRITY USING ENCRYPTION", + "props": [ + { + "class": "name", + "value": "AC-17 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe encryption strength of mechanism is selected based on the security categorization of the information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms protecting confidentiality and integrity of remote access sessions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.3.", + "title": "MANAGED ACCESS CONTROL POINTS", + "props": [ + { + "class": "name", + "value": "AC-17 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system routes all remote accesses through \u003cinsert param-id=\"ac-17_a\"/\u003e managed network access control points.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLimiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the Trusted Internet Connections (TIC) initiative requirements for external network connections.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-17.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the number of managed network access control points through which all remote accesses are to be routed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-17.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system routes all remote accesses through the organization-defined number of managed network access control points.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of all managed network access control points\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms routing all remote accesses through managed network access control points\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-17_a", + "desc": "organization-defined number", + "value": "organization-defined number" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.4.", + "title": "PRIVILEGED COMMANDS / ACCESS", + "props": [ + { + "class": "name", + "value": "AC-17 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-17.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes the execution of privileged commands and access to security-relevant information via remote access only for \u003cinsert param-id=\"ac-17_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-17.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments the rationale for such access in the security plan for the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17 (4)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-17.4.a.", + "props": [ + { + "class": "name", + "value": "AC-17(4)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-17.4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines needs to authorize the execution of privileged commands and access to security-relevant information via remote access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(4)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-17.4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes the execution of privileged commands and access to security-relevant information via remote access only for organization-defined needs; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(4)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-17.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments the rationale for such access in the information system security plan.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(4)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing remote access management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-17_b", + "desc": "organization-defined needs", + "value": "organization-defined needs" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.5.", + "title": "MONITORING FOR UNAUTHORIZED CONNECTIONS", + "props": [ + { + "class": "name", + "value": "AC-17 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.6.", + "title": "PROTECTION OF INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-17 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#ps.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for implementing or monitoring remote access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system users with knowledge of information about remote access mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.7.", + "title": "ADDITIONAL PROTECTION FOR SECURITY FUNCTION ACCESS", + "props": [ + { + "class": "name", + "value": "AC-17 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-3 (10)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.3.10." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.8.", + "title": "DISABLE NONSECURE NETWORK PROTOCOLS", + "props": [ + { + "class": "name", + "value": "AC-17 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.9.", + "title": "DISCONNECT / DISABLE ACCESS", + "props": [ + { + "class": "name", + "value": "AC-17 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides the capability to expeditiously disconnect or disable remote access to the information system within \u003cinsert param-id=\"ac-17_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the information system and/or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions/business functions and the need to eliminate immediate or future remote access to organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-17.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which to expeditiously disconnect or disable remote access to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-17.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the capability to expeditiously disconnect or disable remote access to the information system within the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing disconnecting or disabling remote access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan, information system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing capability to disconnect or disable remote access to information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-17_c", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-46", + "value": "NIST Special Publication 800-46" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-77", + "value": "NIST Special Publication 800-77" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-113", + "value": "NIST Special Publication 800-113" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-114", + "value": "NIST Special Publication 800-114" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-121", + "value": "NIST Special Publication 800-121" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.18", + "title": "WIRELESS ACCESS", + "props": [ + { + "class": "name", + "value": "AC-18" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-18a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes usage restrictions, configuration/connection requirements, and implementation guidance for wireless access; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-18b.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes wireless access to the information system prior to allowing such connections.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.19" + }, + { + "href": "#ca.3" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.8" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.8" + }, + { + "href": "#pl.4" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-18.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes for wireless access:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-18.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eusage restrictions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-18.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econfiguration/connection requirement;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-18.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplementation guidance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-18.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes wireless access to the information system prior to allowing such connections.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless access implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewireless access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for managing wireless access connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eWireless access management capability for the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.18.1.", + "title": "AUTHENTICATION AND ENCRYPTION", + "props": [ + { + "class": "name", + "value": "AC-18 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects wireless access to the system using authentication of [Selection (one or more): users; devices] and encryption.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system protects wireless access to the system using encryption and one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-18.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthentication of users; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-18.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthentication of devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing wireless access protections to the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.18.2.", + "title": "MONITORING UNAUTHORIZED CONNECTIONS", + "props": [ + { + "class": "name", + "value": "AC-18 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.18.3.", + "title": "DISABLE WIRELESS NETWORKING", + "props": [ + { + "class": "name", + "value": "AC-18 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms managing the disabling of wireless networking capabilities internally embedded within information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.18.4.", + "title": "RESTRICT CONFIGURATIONS BY USERS", + "props": [ + { + "class": "name", + "value": "AC-18 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies and explicitly authorizes users allowed to independently configure wireless networking capabilities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#sc.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-18.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies users allowed to independently configure wireless networking capabilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-18.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eexplicitly authorizes the identified users allowed to independently configure wireless networking capabilities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms authorizing independent user configuration of wireless networking capabilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.18.5.", + "title": "ANTENNAS / TRANSMISSION POWER LEVELS", + "props": [ + { + "class": "name", + "value": "AC-18 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization selects radio antennas and calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eActions that may be taken by organizations to limit unauthorized use of wireless communications outside of organization-controlled boundaries include, for example: (i) reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be used by adversaries outside of the physical perimeters of organizations; (ii) employing measures such as TEMPEST to control wireless emanations; and (iii) using directional/beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational information systems as well as other systems that may be operating in the area.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-18.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eselects radio antennas to reduce the probability that usable signals can be received outside of organization-controlled boundaries; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-18.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecalibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eWireless access capability protecting usable signals from unauthorized access outside organization-controlled boundaries\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-48", + "value": "NIST Special Publication 800-48" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-94", + "value": "NIST Special Publication 800-94" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-97", + "value": "NIST Special Publication 800-97" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.19", + "title": "ACCESS CONTROL FOR MOBILE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-19" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-19a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-19b.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes the connection of mobile devices to organizational information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA mobile device is a computing device that: (i) has a small form factor such that it can easily be carried by a single individual; (ii) is designed to operate without a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, non-removable or removable data storage; and (iv) includes a self-contained power source. Mobile devices may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually in close proximity to the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of desktop systems, depending upon the nature and intended purpose of the device. Due to the large variety of mobile devices with different technical characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards and countermeasures for mobile devices are reflected in other security controls in the catalog allocated in the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some degree of overlap in the requirements articulated by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.7" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.20" + }, + { + "href": "#ca.9" + }, + { + "href": "#cm.2" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#pl.4" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.43" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003e Determine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-19.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes for organization-controlled mobile devices:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-19.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eusage restrictions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-19.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econfiguration/connection requirement;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-19.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplementation guidance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-19.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes the connection of mobile devices to organizational information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access control for mobile device usage (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorizations for mobile device connections to organizational information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel using mobile devices to access organizational information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control capability authorizing mobile device connections to organizational information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.19.1.", + "title": "USE OF WRITABLE / PORTABLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-19 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.19.2.", + "title": "USE OF PERSONALLY OWNED PORTABLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-19 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.19.3.", + "title": "USE OF PORTABLE STORAGE DEVICES WITH NO IDENTIFIABLE OWNER", + "props": [ + { + "class": "name", + "value": "AC-19 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.19.4.", + "title": "RESTRICTIONS FOR CLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-19 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-19.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eProhibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-19.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)" + } + ], + "parts": [ + { + "class": "item", + "id": "s_sms_ac-19.4.b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eConnection of unclassified mobile devices to classified information systems is prohibited;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(1)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ac-19.4.b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eConnection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(2)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ac-19.4.b.3.", + "prose": [ + "\u003cp class=\"description\"\u003eUse of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(3)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ac-19.4.b.4.", + "prose": [ + "\u003cp class=\"description\"\u003eUnclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by \u003cinsert param-id=\"ac-19_a\"/\u003e, and if classified information is found, the incident handling policy is followed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(4)" + } + ] + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-19.4.c.", + "prose": [ + "\u003cp class=\"description\"\u003eRestricts the connection of classified mobile devices to classified information systems in accordance with \u003cinsert param-id=\"ac-19_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ca.6" + }, + { + "href": "#ir.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-19.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-19.4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003econnection of unclassified mobile devices to classified information systems is prohibited;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(1)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econnection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(2)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003euse of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(3)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.b.4.", + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(4)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-19.4.b.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security officials responsible for reviews and inspections of unclassified mobile devices and the information stored on those devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.b.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eunclassified mobile devices and the information stored on those devices are subject to random reviews/inspections by organization-defined security officials;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.b.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe incident handling policy is followed if classified information is found;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(4)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.c.", + "props": [ + { + "class": "name", + "value": "AC-19(4)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-19.4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security policies to restrict the connection of classified mobile devices to classified information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricts the connection of classified mobile devices to classified information systems in accordance with organization-defined security policies.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(4)(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident handling policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access control for mobile devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidentiary documentation for random inspections and reviews of mobile devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel responsible for random reviews/inspections of mobile devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel using mobile devices in facilities containing information systems processing, storing, or transmitting classified information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms prohibiting the use of internal or external modems or wireless interfaces with mobile devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-19_a", + "desc": "organization-defined security officials", + "value": "organization-defined security officials" + }, + { + "id": "ac-19_b", + "desc": "organization-defined security policies", + "value": "organization-defined security policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.19.5.", + "title": "FULL DEVICE / CONTAINER-BASED ENCRYPTION", + "props": [ + { + "class": "name", + "value": "AC-19 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs [Selection: full-device encryption; container encryption] to protect the confidentiality and integrity of information on \u003cinsert param-id=\"ac-19_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContainer-based encryption provides a more fine-grained approach to the encryption of data/information on mobile devices, including for example, encrypting selected data structures such as files, records, or fields.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.5" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.28" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-19.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines mobile devices for which full-device encryption or container encryption is required to protect the confidentiality and integrity of information on such devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-19.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys full-device encryption or container encryption to protect the confidentiality and integrity of information on organization-defined mobile devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access control for mobile devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eencryption mechanism s and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access control responsibilities for mobile devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eEncryption mechanisms protecting confidentiality and integrity of information on mobile devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-19_c", + "desc": "organization-defined mobile devices", + "value": "organization-defined mobile devices" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2006/m06-16.pdf", + "value": "OMB Memorandum 06-16" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-114", + "value": "NIST Special Publication 800-114" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-124", + "value": "NIST Special Publication 800-124" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-164", + "value": "NIST Special Publication 800-164" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.20", + "title": "USE OF EXTERNAL INFORMATION SYSTEMS", + "props": [ + { + "class": "name", + "value": "AC-20" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-20a.", + "prose": [ + "\u003cp class=\"description\"\u003eAccess the information system from external information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-20b.", + "prose": [ + "\u003cp class=\"description\"\u003eProcess, store, or transmit organization-controlled information using external information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal information systems are information systems or components of information systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External information systems include, for example: (i) personally owned information systems/devices (e.g., notebook computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, train stations, convention centers, shopping malls, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of organizations. This control also addresses the use of external information systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) from organizational information systems. For some external information systems (i.e., information systems operated by other federal agencies, including organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Information systems within these organizations would not be considered external. These situations occur when, for example, there are pre-existing sharing/trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational information systems and over which organizations have the authority to impose rules of behavior with regard to system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending upon the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. This control does not apply to the use of external information systems to access public interfaces to organizational information systems (e.g., individuals accessing federal information through www.usa.gov). Organizations establish terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: types of applications that can be accessed on organizational information systems from external information systems; and the highest security category of information that can be processed, stored, or transmitted on external information systems. If terms and conditions with the owners of external information systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.19" + }, + { + "href": "#ca.3" + }, + { + "href": "#pl.4" + }, + { + "href": "#sa.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-20.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess the information system from the external information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-20.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprocess, store, or transmit organization-controlled information using external information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the use of external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal information systems terms and conditions\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of types of applications accessible from external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaximum security categorization for information processed, stored, or transmitted on external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for defining terms and conditions for use of external information systems to access organizational systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing terms and conditions on use of external information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.20.1.", + "title": "LIMITS ON AUTHORIZED USE", + "props": [ + { + "class": "name", + "value": "AC-20 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ac-20.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eVerifies the implementation of required security controls on the external system as specified in the organization�s information security policy and security plan; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ac-20.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eRetains approved information system connection or processing agreements with the organizational entity hosting the external information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement recognizes that there are circumstances where individuals using external information systems (e.g., contractors, coalition partners) need to access organizational information systems. In those situations, organizations need confidence that the external information systems contain the necessary security safeguards (i.e., security controls), so as not to compromise, damage, or otherwise harm organizational information systems. Verification that the required security controls have been implemented can be achieved, for example, by third-party, independent assessments, attestations, or other means, depending on the confidence level required by organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-20.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003everifies the implementation of required security controls on the external system as specified in the organization’s information security policy and security plan; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20(1)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-20.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains approved information system connection or processing agreements with the organizational entity hosting the external information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the use of external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system connection or processing agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccount management documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing limits on use of external information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.20.2.", + "title": "PORTABLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-20 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization [Selection: restricts; prohibits] the use of organization-controlled portable storage devices by authorized individuals on external information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLimits on the use of organization-controlled portable storage devices in external information systems include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization restricts or prohibits the use of organization-controlled portable storage devices by authorized individuals on external information systems. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the use of external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system connection or processing agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccount management documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for restricting or prohibiting use of organization-controlled storage devices on external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing restrictions on use of portable storage devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.20.3.", + "title": "NON-ORGANIZATIONALLY OWNED SYSTEMS / COMPONENTS / DEVICES", + "props": [ + { + "class": "name", + "value": "AC-20 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization [Selection: restricts; prohibits] the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNon-organizationally owned devices include devices owned by other organizations (e.g., federal/state agencies, contractors) and personally owned devices. There are risks to using non-organizationally owned devices. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, it may be such that the use of non-organizationally owned devices is allowed but restricted in some way. Restrictions include, for example: (i) requiring the implementation of organization-approved security controls prior to authorizing such connections; (ii) limiting access to certain types of information, services, or applications; (iii) using virtualization techniques to limit processing and storage activities to servers or other system components provisioned by the organization; and (iv) agreeing to terms and conditions for usage. For personally owned devices, organizations consult with the Office of the General Counsel regarding legal issues associated with using such devices in operational environments, including, for example, requirements for conducting forensic analyses during investigations after an incident.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization restricts or prohibits the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the use of external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system connection or processing agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccount management documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records, other relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for restricting or prohibiting use of non-organizationally owned information systems, system components, or devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing restrictions on the use of non-organizationally owned systems/components/devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.20.4.", + "title": "NETWORK ACCESSIBLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-20 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the use of \u003cinsert param-id=\"ac-20_a\"/\u003e in external information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNetwork accessible storage devices in external information systems include, for example, online storage devices in public, hybrid, or community cloud-based systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-20.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines network accessible storage devices to be prohibited from use in external information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-20.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the use of organization-defined network accessible storage devices in external information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing use of network accessible storage devices in external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan, information system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system connection or processing agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of network accessible storage devices prohibited from use in external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for prohibiting use of network accessible storage devices in external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms prohibiting the use of network accessible storage devices in external information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-20_a", + "desc": "organization-defined network accessible storage devices", + "value": "organization-defined network accessible storage devices" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.21", + "title": "INFORMATION SHARING", + "params": [ + { + "id": "ac-21_a", + "desc": "organization-defined information sharing circumstances where user discretion is required", + "value": "organization-defined information sharing circumstances where user discretion is required" + }, + { + "id": "ac-21_b", + "desc": "organization-defined automated mechanisms or manual processes", + "value": "organization-defined automated mechanisms or manual processes" + } + ], + "props": [ + { + "class": "name", + "value": "AC-21" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-21a.", + "prose": [ + "\u003cp class=\"description\"\u003eFacilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for \u003cinsert param-id=\"ac-21_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-21b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"ac-21_b\"/\u003e to assist users in making information sharing/collaboration decisions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to information that may be restricted in some manner (e.g., privileged medical information, contract-sensitive information, proprietary information, personally identifiable information, classified information related to special access programs or compartments) based on some formal or administrative determination. Depending on the particular information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-21.a.", + "props": [ + { + "class": "name", + "value": "AC-21(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-21.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information sharing circumstances where user discretion is required;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-21.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003efacilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for organization-defined information sharing circumstances;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ac-21.b.", + "props": [ + { + "class": "name", + "value": "AC-21(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-21.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines automated mechanisms or manual processes to be employed to assist users in making information sharing/collaboration decisions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-21.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined automated mechanisms or manual processes to assist users in making information sharing/collaboration decisions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user-based collaboration and information sharing (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of users authorized to make information sharing/collaboration decisions\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information sharing circumstances requiring user discretion\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel responsible for making information sharing/collaboration decisions\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms or manual process implementing access authorizations supporting information sharing/user collaboration decisions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.21.1.", + "title": "AUTOMATED DECISION SUPPORT", + "props": [ + { + "class": "name", + "value": "AC-21 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system enforces information-sharing decisions by authorized users based on: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-21.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess authorizations of sharing partners; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-21.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess restrictions on information to be shared.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user-based collaboration and information sharing (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of users authorized to make information sharing/collaboration decisions\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of sharing partners and access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of access restrictions regarding information to be shared\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access authorizations supporting information sharing/user collaboration decisions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.21.2.", + "title": "INFORMATION SEARCH AND RETRIEVAL", + "props": [ + { + "class": "name", + "value": "AC-21 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements information search and retrieval services that enforce \u003cinsert param-id=\"ac-21_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-21.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information sharing restrictions to be enforced through information search and retrieval services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-21.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements information search and retrieval services that enforce organization-defined information sharing restrictions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user-based collaboration and information sharing (including restrictions)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of access restrictions regarding information to be shared\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation search and retrieval records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities for information system search and retrieval services\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system search and retrieval services enforcing information sharing restrictions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-21_c", + "desc": "organization-defined information sharing restrictions", + "value": "organization-defined information sharing restrictions" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.22", + "title": "PUBLICLY ACCESSIBLE CONTENT", + "params": [ + { + "id": "ac-22_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AC-22" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ac-22a.", + "prose": [ + "\u003cp class=\"description\"\u003eDesignates individuals authorized to post information onto a publicly accessible information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22a." + } + ] + }, + { + "class": "item", + "id": "smm_ac-22b.", + "prose": [ + "\u003cp class=\"description\"\u003eTrains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22b." + } + ] + }, + { + "class": "item", + "id": "smm_ac-22c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22c." + } + ] + }, + { + "class": "item", + "id": "smm_ac-22d.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the content on the publicly accessible information system for nonpublic information \u003cinsert param-id=\"ac-22_a\"/\u003e and removes such information, if discovered.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn accordance with federal laws, Executive Orders, directives, policies, regulations, standards, and/or guidance, the general public is not authorized access to nonpublic information (e.g., information protected under the Privacy Act and proprietary information). This control addresses information systems that are controlled by the organization and accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by organizational policy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#au.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-22.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edesignates individuals authorized to post information onto a publicly accessible information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-22.b.", + "prose": [ + "\u003cp class=\"decision\"\u003etrains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-22.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-22.d.", + "props": [ + { + "class": "name", + "value": "AC-22(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-22.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the content on the publicly accessible information system for nonpublic information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-22.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the content on the publicly accessible information system for nonpublic information with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-22.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves nonpublic information from the publicly accessible information system, if discovered.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22(d)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing publicly accessible content\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of users authorized to post publicly accessible content on organizational information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining materials and/or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of publicly accessible information reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of response to nonpublic information on public websites\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem audit logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for managing publicly accessible information posted on organizational information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing management of publicly accessible content\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.23", + "title": "DATA MINING PROTECTION", + "params": [ + { + "id": "ac-23_a", + "desc": "organization-defined data mining prevention and detection techniques", + "value": "organization-defined data mining prevention and detection techniques" + }, + { + "id": "ac-23_b", + "desc": "organization-defined data storage objects", + "value": "organization-defined data storage objects" + } + ], + "props": [ + { + "class": "name", + "value": "AC-23" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"ac-23_a\"/\u003e for \u003cinsert param-id=\"ac-23_b\"/\u003e to adequately detect and protect against data mining.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData storage objects include, for example, databases, database records, and database fields. Data mining prevention and detection techniques include, for example: (i) limiting the types of responses provided to database queries; (ii) limiting the number/frequency of database queries to increase the work factor needed to determine the contents of such databases; and (iii) notifying organizational personnel when atypical database queries or accesses occur. This control focuses on the protection of organizational information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is now available as open source information residing on external sites, for example, through social networking or social media websites.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003e Determine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-23-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines data mining prevention and detection techniques to be employed for organization-defined storage objects to adequately detect and protect against data mining;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-23[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-23-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines data storage objects to be protected from data mining; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-23[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-23-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined data mining prevention and detection techniques for organization-defined data storage objects to adequately detect and protect against data mining.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-23[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing data mining techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of data storage objects against data mining\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for implementing data mining detection and prevention techniques for data storage objects\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing data mining prevention and detection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.24", + "title": "ACCESS CONTROL DECISIONS", + "params": [ + { + "id": "ac-24_a", + "desc": "organization-defined access control decisions", + "value": "organization-defined access control decisions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-24" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes procedures to ensure \u003cinsert param-id=\"ac-24_a\"/\u003e are applied to each access request prior to access enforcement.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAccess control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when information systems enforce access control decisions. While it is very common to have access control decisions and access enforcement implemented by the same entity, it is not required and it is not always an optimal implementation choice. For some architectures and distributed information systems, different entities may perform access control decisions and access enforcement.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-24-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines access control decisions to be applied to each access request prior to access control enforcement; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-24-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes procedures to ensure organization-defined access control decisions are applied to each access request prior to access control enforcement.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access control decisions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for establishing procedures regarding access control decisions to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms applying established access control decisions and procedures\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.24.1.", + "title": "TRANSMIT ACCESS AUTHORIZATION INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-24 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system transmits \u003cinsert param-id=\"ac-24_b\"/\u003e using \u003cinsert param-id=\"ac-24_c\"/\u003e to \u003cinsert param-id=\"ac-24_d\"/\u003e that enforce access control decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn distributed information systems, authorization processes and access control decisions may occur in separate parts of the systems. In such instances, authorization information is transmitted securely so timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information, supporting security attributes. This is due to the fact that in distributed information systems, there are various access control decisions that need to be made and different entities (e.g., services) make these decisions in a serial fashion, each requiring some security attributes to make the decisions. Protecting access authorization information (i.e., access control decisions) ensures that such information cannot be altered, spoofed, or otherwise compromised during transmission.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-24.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines access authorization information that the information system transmits to organization-defined information systems that enforce access control decisions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-24.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be used when the information system transmits organization-defined authorization information to organization-defined information systems that enforce access control decisions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-24.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the information systems that enforce access control decisions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-24.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system transmits organization-defined access authorization information using organization-defined security safeguards to organization-defined information systems that enforce access control decisions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24(1)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-24_b", + "desc": "organization-defined access authorization information", + "value": "organization-defined access authorization information" + }, + { + "id": "ac-24_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "ac-24_d", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.24.2.", + "title": "NO USER OR PROCESS IDENTITY", + "props": [ + { + "class": "name", + "value": "AC-24 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces access control decisions based on \u003cinsert param-id=\"ac-24_e\"/\u003e that do not include the identity of the user or process acting on behalf of the user.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions and, especially in the case of distributed information systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ac-24.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security attributes that support access control decisions that do not include the identity of the user or processes acting on behalf of the user; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ac-24.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces access control decisions based on organization-defined security attributes that do not include the identity of the user or process acting on behalf of the user.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-24(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ac-24_e", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.25", + "title": "REFERENCE MONITOR", + "params": [ + { + "id": "ac-25_a", + "desc": "organization-defined access control policies", + "value": "organization-defined access control policies" + } + ], + "props": [ + { + "class": "name", + "value": "AC-25" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements a reference monitor for \u003cinsert param-id=\"ac-25_a\"/\u003e that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Reference monitors typically enforce mandatory access control policies�a type of access control that restricts access to objects based on the identity of subjects or groups to which the subjects belong. The access controls are mandatory because subjects with certain privileges (i.e., access permissions) are restricted from passing those privileges on to any other subjects, either directly or indirectly�that is, the information system strictly enforces the access control policy based on the rule set established by the policy. The tamperproof property of the reference monitor prevents adversaries from compromising the functioning of the mechanism. The always invoked property prevents adversaries from bypassing the mechanism and hence violating the security policy. The smallness property helps to ensure the completeness in the analysis and testing of the mechanism to detect weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.16" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.39" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003e Determine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ac-25-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines access control policies for which the information system implements a reference monitor to enforce such policies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-25[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ac-25-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements a reference monitor for organization-defined access control policies that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-25[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "AWARENESS AND TRAINING", + "controls": [ + { + "class": "SP800-53", + "id": "at.1", + "title": "SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES", + "params": [ + { + "id": "at-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "at-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "at-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_at-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"at-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_at-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_at-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_at-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_at-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity awareness and training policy \u003cinsert param-id=\"at-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_at-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity awareness and training procedures \u003cinsert param-id=\"at-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.a.1.", + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an security awareness and training policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the security awareness and training policy are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the security awareness and training policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.2.", + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the security awareness and training policy and associated awareness and training controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.b.1.", + "props": [ + { + "class": "name", + "value": "AT-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current security awareness and training policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current security awareness and training policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.b.2.", + "props": [ + { + "class": "name", + "value": "AT-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current security awareness and training procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current security awareness and training procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security awareness and training responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-16", + "value": "NIST Special Publication 800-16" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "at.2", + "title": "SECURITY AWARENESS TRAINING", + "params": [ + { + "id": "at-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides basic security awareness training to information system users (including managers, senior executives, and contractors):\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_at-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eAs part of initial training for new users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2a." + } + ] + }, + { + "class": "item", + "id": "smm_at-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2b." + } + ] + }, + { + "class": "item", + "id": "smm_at-2c.", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"at-2_a\"/\u003e thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the appropriate content of security awareness training and security awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#at.4" + }, + { + "href": "#pl.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides basic security awareness training to information system users (including managers, senior executives, and contractors) as part of initial training for new users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_at-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides basic security awareness training to information system users (including managers, senior executives, and contractors) when required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_at-2.c.", + "props": [ + { + "class": "name", + "value": "AT-2(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide refresher security awareness training thereafter to information system users (including managers, senior executives, and contractors); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides refresher security awareness training to information users (including managers, senior executives, and contractors) with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eappropriate codes of federal regulations\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel comprising the general information system user community\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms managing security awareness training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "at.2.1.", + "title": "PRACTICAL EXERCISES", + "props": [ + { + "class": "name", + "value": "AT-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes practical exercises in security awareness training that simulate actual cyber attacks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePractical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cp.4" + }, + { + "href": "#ir.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes practical exercises in security awareness training that simulate actual cyber attacks. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel that participate in security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing cyber attack simulations in practical exercises\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.2.2.", + "title": "INSIDER THREAT", + "props": [ + { + "class": "name", + "value": "AT-2 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes security awareness training on recognizing and reporting potential indicators of insider threat.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePotential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to information not required for job performance, unexplained access to financial resources, bullying or sexual harassment of fellow employees, workplace violence, and other serious violations of organizational policies, procedures, directives, rules, or practices. Security awareness training includes how to communicate employee and management concerns regarding potential indicators of insider threat through appropriate organizational channels in accordance with established organizational policies and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.4" + }, + { + "href": "#pm.12" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes security awareness training on recognizing and reporting potential indicators of insider threat. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel that participate in security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for basic security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.gpo.gov/fdsys/granule/CFR-2009-title5-vol2/CFR-2009-title5-vol2-sec930-301/content-detail.html", + "value": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net", + "value": "Executive Order 13587" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "at.3", + "title": "ROLE-BASED SECURITY TRAINING", + "params": [ + { + "id": "at-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides role-based security training to personnel with assigned security roles and responsibilities:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_at-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eBefore authorizing access to the information system or performing assigned duties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3a." + } + ] + }, + { + "class": "item", + "id": "smm_at-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3b." + } + ] + }, + { + "class": "item", + "id": "smm_at-3c.", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"at-3_a\"/\u003e thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the appropriate content of security training based on the assigned roles and responsibilities of individuals and the specific security requirements of organizations and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include for example, policies, procedures, tools, and artifacts for the organizational security roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of organizational information security programs. Role-based security training also applies to contractors providing services to federal agencies.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.4" + }, + { + "href": "#pl.4" + }, + { + "href": "#ps.7" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides role-based security training to personnel with assigned security roles and responsibilities before authorizing access to the information system or performing assigned duties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_at-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides role-based security training to personnel with assigned security roles and responsibilities when required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_at-3.c.", + "props": [ + { + "class": "name", + "value": "AT-3(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-3.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide refresher role-based security training thereafter to personnel with assigned security roles and responsibilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-3.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides refresher role-based security training to personnel with assigned security roles and responsibilities with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecodes of federal regulations\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with assigned information system security roles and responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms managing role-based security training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "at.3.1.", + "title": "ENVIRONMENTAL CONTROLS", + "props": [ + { + "class": "name", + "value": "AT-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides \u003cinsert param-id=\"at-3_b\"/\u003e with initial and \u003cinsert param-id=\"at-3_c\"/\u003e training in the employment and operation of environmental controls.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEnvironmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the facility. Organizations identify personnel with specific roles and responsibilities associated with environmental controls requiring specialized training.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.1" + }, + { + "href": "#pe.13" + }, + { + "href": "#pe.14" + }, + { + "href": "#pe.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_at-3.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be provided with initial and refresher training in the employment and operation of environmental controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides organization-defined personnel or roles with initial and refresher training in the employment and operation of environmental controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide refresher training in the employment and operation of environmental controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides refresher training in the employment and operation of environmental controls with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(1)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for employing and operating environmental controls\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "at-3_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "at-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.3.2.", + "title": "PHYSICAL SECURITY CONTROLS", + "props": [ + { + "class": "name", + "value": "AT-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides \u003cinsert param-id=\"at-3_d\"/\u003e with initial and \u003cinsert param-id=\"at-3_e\"/\u003e training in the employment and operation of physical security controls.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring/surveillance equipment, and security guards (deployment and operating procedures). Organizations identify personnel with specific roles and responsibilities associated with physical security controls requiring specialized training.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + }, + { + "href": "#pe.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_at-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be provided with initial and refresher training in the employment and operation of physical security controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides organization-defined personnel or roles with initial and refresher training in the employment and operation of physical security controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide refresher training in the employment and operation of physical security controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides refresher training in the employment and operation of physical security controls with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for employing and operating physical security controls\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "at-3_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "at-3_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.3.3.", + "title": "PRACTICAL EXERCISES", + "props": [ + { + "class": "name", + "value": "AT-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes practical exercises in security training that reinforce training objectives.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePractical exercises may include, for example, security training for software developers that includes simulated cyber attacks exploiting common software vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted at senior leaders/executives. These types of practical exercises help developers better understand the effects of such vulnerabilities and appreciate the need for security coding standards and processes.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes practical exercises in security training that reinforce training objectives. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel that participate in security awareness training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.3.4.", + "title": "SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR", + "props": [ + { + "class": "name", + "value": "AT-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides training to its personnel on \u003cinsert param-id=\"at-3_f\"/\u003e to recognize suspicious communications and anomalous behavior in organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA well-trained workforce provides another organizational safeguard that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming in to organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to such suspicious email or web communications (e.g., not opening attachments, not clicking on embedded web links, and checking the source of email addresses). For this process to work effectively, all organizational personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in organizational information systems can potentially provide early warning for the presence of malicious code. Recognition of such anomalous behavior by organizational personnel can supplement automated malicious code detection and protection tools and systems employed by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_at-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines indicators of malicious code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides training to its personnel on organization-defined indicators of malicious code to recognize suspicious communications and anomalous behavior in organizational information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel that participate in security awareness training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "at-3_f", + "desc": "organization-defined indicators of malicious code", + "value": "organization-defined indicators of malicious code" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.gpo.gov/fdsys/granule/CFR-2009-title5-vol2/CFR-2009-title5-vol2-sec930-301/content-detail.html", + "value": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-16", + "value": "NIST Special Publication 800-16" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "at.4", + "title": "SECURITY TRAINING RECORDS", + "params": [ + { + "id": "at-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "AT-4" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_at-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments and monitors individual information system security training activities including basic security awareness training and specific information system security training; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4a." + } + ] + }, + { + "class": "item", + "id": "smm_at-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eRetains individual training records for \u003cinsert param-id=\"at-4_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDocumentation for specialized training may be maintained by individual supervisors at the option of the organization.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#pm.14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.a.", + "props": [ + { + "class": "name", + "value": "AT-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments individual information system security training activities including:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ebasic security awareness training;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-4.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003especific role-based information system security training;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors individual information system security training activities including:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ebasic security awareness training;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-4.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003especific role-based information system security training;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-4.b.", + "props": [ + { + "class": "name", + "value": "AT-4(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period to retain individual training records; 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and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_au-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_au-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_au-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAudit and accountability policy \u003cinsert param-id=\"au-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_au-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eAudit and accountability procedures \u003cinsert param-id=\"au-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-1.a.1.", + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an audit and accountability policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the audit and accountability policy are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the audit and accountability policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.2.", + "props": [ + { + "class": "name", + "value": "AU-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.b.1.", + "props": [ + { + "class": "name", + "value": "AU-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current audit and accountability policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current audit and accountability policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.b.2.", + "props": [ + { + "class": "name", + "value": "AU-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current audit and accountability procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current audit and accountability procedures in accordance with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "au.2", + "title": "AUDIT EVENTS", + "params": [ + { + "id": "au-2_a", + "desc": "organization-defined auditable events", + "value": "organization-defined auditable events" + }, + { + "id": "au-2_b", + "desc": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event", + "value": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event" + } + ], + "props": [ + { + "class": "name", + "value": "AU-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_au-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines that the information system is capable of auditing the following events: \u003cinsert param-id=\"au-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2a." + } + ] + }, + { + "class": "item", + "id": "smm_au-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2b." + } + ] + }, + { + "class": "item", + "id": "smm_au-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2c." + } + ] + }, + { + "class": "item", + "id": "smm_au-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines that the following events are to be audited within the information system: \u003cinsert param-id=\"au-2_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAn event is any observable occurrence in an organizational information system. Organizations identify audit events as those events which are significant and relevant to the security of information systems and the environments in which those systems operate in order to meet specific and ongoing audit needs. Audit events can include, for example, password changes, failed logons, or failed accesses related to information systems, administrative privilege usage, PIV credential usage, or third-party credential usage. In determining the set of auditable events, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are audited at a given point in time. For example, organizations may determine that information systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security controls and control enhancements. Organizations also include auditable events that are required by applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable events, the auditing necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented architectures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#ac.17" + }, + { + "href": "#au.3" + }, + { + "href": "#au.12" + }, + { + "href": "#ma.4" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-2.a.", + "props": [ + { + "class": "name", + "value": "AU-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the auditable events that the information system must be capable of auditing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines that the information system is capable of auditing organization-defined auditable events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_au-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_au-2.d.", + "props": [ + { + "class": "name", + "value": "AU-2(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-2.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the subset of auditable events defined in AU-2a that are to be audited within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-2.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines that the subset of auditable events defined in AU-2a are to be audited within the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-2.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines the frequency of (or situation requiring) auditing for each identified event.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(d)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information system auditing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.2.1.", + "title": "COMPILATION OF AUDIT RECORDS FROM MULTIPLE SOURCES", + "props": [ + { + "class": "name", + "value": "AU-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AU-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#au.12" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.2.2.", + "title": "SELECTION OF AUDIT EVENTS BY COMPONENT", + "props": [ + { + "class": "name", + "value": "AU-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AU-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#au.12" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.2.3.", + "title": "REVIEWS AND UPDATES", + "props": [ + { + "class": "name", + "value": "AU-2 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reviews and updates the audited events \u003cinsert param-id=\"au-2_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOver time, the events that organizations believe should be audited may change. Reviewing and updating the set of audited events periodically is necessary to ensure that the current set is still necessary and sufficient.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the audited events; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the auditable events with organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of organization-defined auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauditable events review and update records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system incident reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting review and update of auditable events\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.2.4.", + "title": "PRIVILEGED FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AU-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-6 (9)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.6.9." + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-92", + "value": "NIST Special Publication 800-92" + } + ] + }, + { + "citations": [ + { + "href": "http://idmanagement.gov", + "value": "http://idmanagement.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "au.3", + "title": "CONTENT OF AUDIT RECORDS", + "props": [ + { + "class": "name", + "value": "AU-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred).\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.8" + }, + { + "href": "#au.12" + }, + { + "href": "#si.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system generates audit records containing information that establishes: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-3-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhat type of event occurred;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-3-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen the event occurred;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-3-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhere the event occurred;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-3-4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe source of the event;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-3-5.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe outcome of the event; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3[5]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-3-6.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe identity of any individuals or subjects associated with the event.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3[6]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing content of audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of organization-defined auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system incident reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information system auditing of auditable events\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.3.1.", + "title": "ADDITIONAL AUDIT INFORMATION", + "props": [ + { + "class": "name", + "value": "AU-3 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system generates audit records containing the following additional information: \u003cinsert param-id=\"au-3_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetailed information that organizations may consider in audit records includes, for example, full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-3.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines additional, more detailed information to be contained in audit records that the information system generates; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-3.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system generates audit records containing the organization-defined additional, more detailed information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing content of audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of organization-defined auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system audit capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-3_a", + "desc": "organization-defined additional, more detailed information", + "value": "organization-defined additional, more detailed information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.3.2.", + "title": "CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT", + "props": [ + { + "class": "name", + "value": "AU-3 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides centralized management and configuration of the content to be captured in audit records generated by \u003cinsert param-id=\"au-3_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires that the content to be captured in audit records be configured from a central location (necessitating automation). Organizations coordinate the selection of required audit content to support the centralized management and configuration capability provided by the information system.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#au.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system components that generate audit records whose content is to be centrally managed and configured by the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides centralized management and configuration of the content to be captured in audit records generated by the organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-3(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing content of audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of organization-defined auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system capability implementing centralized management and configuration of audit record content\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-3_b", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.4", + "title": "AUDIT STORAGE CAPACITY", + "params": [ + { + "id": "au-4_a", + "desc": "organization-defined audit record storage requirements", + "value": "organization-defined audit record storage requirements" + } + ], + "props": [ + { + "class": "name", + "value": "AU-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization allocates audit record storage capacity in accordance with \u003cinsert param-id=\"au-4_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Allocating sufficient audit storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of auditing capability.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.5" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#au.11" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-4-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines audit record storage requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-4[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-4-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eallocates audit record storage capacity in accordance with the organization-defined audit record storage requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-4[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit storage capacity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record storage requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record storage capability for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit record storage capacity and related configuration settings\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.4.1.", + "title": "TRANSFER TO ALTERNATE STORAGE", + "props": [ + { + "class": "name", + "value": "AU-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system off-loads audit records \u003cinsert param-id=\"au-4_b\"/\u003e onto a different system or media than the system being audited.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOff-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary information system to a secondary or alternate system. It is a common process in information systems with limited audit storage capacity; the audit storage is used only in a transitory fashion until the system can communicate with the secondary or alternate system designated for storing the audit records, at which point the information is transferred.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003e Determine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-4.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the frequency to off-load audit records onto a different system or media than the system being audited; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-4(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-4.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system off-loads audit records onto a different system or media than the system being audited with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-4(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit storage capacity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transfer of information system audit records to secondary or alternate systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elogs of audit record transfers to secondary or alternate systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records transferred to secondary or alternate systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit storage capacity planning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting transfer of audit records onto a different system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-4_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.5", + "title": "RESPONSE TO AUDIT PROCESSING FAILURES", + "params": [ + { + "id": "au-5_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "au-5_b", + "desc": "organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)", + "value": "organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)" + } + ], + "props": [ + { + "class": "name", + "value": "AU-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_au-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eAlerts \u003cinsert param-id=\"au-5_a\"/\u003e in the event of an audit processing failure; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5a." + } + ] + }, + { + "class": "item", + "id": "smm_au-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eTakes the following additional actions: \u003cinsert param-id=\"au-5_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for different audit processing failures (e.g., by type, by location, by severity, or a combination of such factors). This control applies to each audit data storage repository (i.e., distinct information system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.4" + }, + { + "href": "#si.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-5.a.", + "props": [ + { + "class": "name", + "value": "AU-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the personnel or roles to be alerted in the event of an audit processing failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system alerts the organization-defined personnel or roles in the event of an audit processing failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-5.b.", + "props": [ + { + "class": "name", + "value": "AU-5(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-5.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines additional actions to be taken (e.g., shutdown information system, overwrite oldest audit records, stop generating audit records) in the event of an audit processing failure; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-5.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system takes the additional organization-defined actions in the event of an audit processing failure.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of personnel to be notified in case of an audit processing failure\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing information system response to audit processing failures\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.5.1.", + "title": "AUDIT STORAGE CAPACITY", + "props": [ + { + "class": "name", + "value": "AU-5 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides a warning to \u003cinsert param-id=\"au-5_c\"/\u003e within \u003cinsert param-id=\"au-5_d\"/\u003e when allocated audit record storage volume reaches \u003cinsert param-id=\"au-5_e\"/\u003e of repository maximum audit record storage capacity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may have multiple audit data storage repositories distributed across multiple information system components, with each repository having different storage volume capacities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epersonnel to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003elocations to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(1)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period within which the information system is to provide a warning to the organization-defined personnel, roles, and/or locations when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the percentage of repository maximum audit record storage capacity that, if reached, requires a warning to be provided; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides a warning to the organization-defined personnel, roles, and/or locations within the organization-defined time period when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(1)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing audit storage limit warnings\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-5_c", + "desc": "organization-defined personnel, roles, and/or locations", + "value": "organization-defined personnel, roles, and/or locations" + }, + { + "id": "au-5_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "au-5_e", + "desc": "organization-defined percentage", + "value": "organization-defined percentage" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.5.2.", + "title": "REAL-TIME ALERTS", + "props": [ + { + "class": "name", + "value": "AU-5 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides an alert in \u003cinsert param-id=\"au-5_f\"/\u003e to \u003cinsert param-id=\"au-5_g\"/\u003e when the following audit failure events occur: \u003cinsert param-id=\"au-5_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines audit failure events requiring real-time alerts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(2)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epersonnel to be alerted when organization-defined audit failure events requiring real-time alerts occur;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(2)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles to be alerted when organization-defined audit failure events requiring real-time alerts occur; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(2)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.2.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003elocations to be alerted when organization-defined audit failure events requiring real-time alerts occur;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(2)[2][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the real-time period within which the information system is to provide an alert to the organization-defined personnel, roles, and/or locations when the organization-defined audit failure events requiring real-time alerts occur; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides an alert within the organization-defined real-time period to the organization-defined personnel, roles, and/or locations when organization-defined audit failure events requiring real-time alerts occur.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of notifications or real-time alerts when audit processing failures occur\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing real-time audit alerts when organization-defined audit failure events occur\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-5_f", + "desc": "organization-defined real-time period", + "value": "organization-defined real-time period" + }, + { + "id": "au-5_g", + "desc": "organization-defined personnel, roles, and/or locations", + "value": "organization-defined personnel, roles, and/or locations" + }, + { + "id": "au-5_h", + "desc": "organization-defined audit failure events requiring real-time alerts", + "value": "organization-defined audit failure events requiring real-time alerts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.5.3.", + "title": "CONFIGURABLE TRAFFIC VOLUME THRESHOLDS", + "props": [ + { + "class": "name", + "value": "AU-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity and [Selection: rejects; delays] network traffic above those thresholds.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations have the capability to reject or delay the processing of network communications traffic if auditing such traffic is determined to exceed the storage capacity of the information system audit function. The rejection or delay response is triggered by the established organizational traffic volume thresholds which can be adjusted based on changes to audit storage capacity.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization selects if network traffic above configurable traffic volume thresholds is to be:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(3)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.3.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erejected; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(3)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.3.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edelayed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(3)[2][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system rejects or delays network communications traffic generated above configurable traffic volume thresholds.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration of network communications traffic volume thresholds\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system capability implementing configurable traffic volume thresholds\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.5.4.", + "title": "SHUTDOWN ON FAILURE", + "props": [ + { + "class": "name", + "value": "AU-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system invokes a [Selection: full system shutdown; partial system shutdown; degraded operational mode with limited mission/business functionality available] in the event of \u003cinsert param-id=\"au-5_i\"/\u003e, unless an alternate audit capability exists.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the types of audit failures that can trigger automatic information system shutdowns or degraded operations. Because of the importance of ensuring mission/business continuity, organizations may determine that the nature of the audit failure is not so severe that it warrants a complete shutdown of the information system supporting the core organizational missions/business operations. In those instances, partial information system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization selects one of the following specific actions for the information system to invoke in the event of organization-defined audit failures:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(4)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-5.4.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efull system shutdown;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(4)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.4.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003epartial system shutdown; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(4)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.4.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edegraded operational mode with limited mission/business functionality available;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(4)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines audit failures that, unless an alternate audit capability exists, are to trigger the information system to invoke a specific action; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-5.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system invokes the selected specific action in the event of organization-defined audit failures, unless an alternate audit capability exists.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5(4)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system capability invoking system shutdown or degraded operational mode in the event of an audit processing failure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-5_i", + "desc": "organization-defined audit failures", + "value": "organization-defined audit failures" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.6", + "title": "AUDIT REVIEW, ANALYSIS, AND REPORTING", + "params": [ + { + "id": "au-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "au-6_b", + "desc": "organization-defined inappropriate or unusual activity", + "value": "organization-defined inappropriate or unusual activity" + }, + { + "id": "au-6_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "AU-6" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_au-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and analyzes information system audit records \u003cinsert param-id=\"au-6_a\"/\u003e for indications of \u003cinsert param-id=\"au-6_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6a." + } + ] + }, + { + "class": "item", + "id": "smm_au-6b.", + "prose": [ + "\u003cp class=\"description\"\u003eReports findings to \u003cinsert param-id=\"au-6_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.17" + }, + { + "href": "#at.3" + }, + { + "href": "#au.7" + }, + { + "href": "#au.16" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.10" + }, + { + "href": "#cm.11" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.5" + }, + { + "href": "#ir.5" + }, + { + "href": "#ir.6" + }, + { + "href": "#ma.4" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.6" + }, + { + "href": "#pe.14" + }, + { + "href": "#pe.16" + }, + { + "href": "#ra.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.18" + }, + { + "href": "#sc.19" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-6.a.", + "props": [ + { + "class": "name", + "value": "AU-6(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-6.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the types of inappropriate or unusual activity to look for when information system audit records are reviewed and analyzed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-6.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and analyze information system audit records for indications of organization-defined inappropriate or unusual activity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-6.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and analyzes information system audit records for indications of organization-defined inappropriate or unusual activity with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-6.b.", + "props": [ + { + "class": "name", + "value": "AU-6(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom findings resulting from reviews and analysis of information system audit records are to be reported; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports findings to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereports of audit findings\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of actions taken in response to reviews/analyses of audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.6.1.", + "title": "PROCESS INTEGRATION", + "props": [ + { + "class": "name", + "value": "AU-6 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.12" + }, + { + "href": "#pm.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to integrate:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudit review;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ereporting processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(1)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003euses integrated audit review, analysis and reporting processes to support organizational processes for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einvestigation of suspicious activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponse to suspicious activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(1)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing investigation and response to suspicious activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms integrating audit review, analysis, and reporting processes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.2.", + "title": "AUTOMATED SECURITY ALERTS", + "props": [ + { + "class": "name", + "value": "AU-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.3.", + "title": "CORRELATE AUDIT REPOSITORIES", + "props": [ + { + "class": "name", + "value": "AU-6 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and information system) and supports cross-organization awareness.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.12" + }, + { + "href": "#ir.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records across different repositories\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting analysis and correlation of audit records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.4.", + "title": "CENTRAL REVIEW AND ANALYSIS", + "props": [ + { + "class": "name", + "value": "AU-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability to centrally review and analyze audit records from multiple components within the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms for centralized reviews and analyses include, for example, Security Information Management products.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides the capability to centrally review and analyze audit records from multiple components within the system.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system capability to centralize review and analysis of audit records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.5.", + "title": "INTEGRATION / SCANNING AND MONITORING CAPABILITIES", + "props": [ + { + "class": "name", + "value": "AU-6 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization integrates analysis of audit records with analysis of [Selection (one or more): vulnerability scanning information; performance data; information system monitoring information; \u003cinsert param-id=\"au-6_d\"/\u003e] to further enhance the ability to identify inappropriate or unusual activity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement does not require vulnerability scanning, the generation of performance data, or information system monitoring. Rather, the enhancement requires that the analysis of information being otherwise produced in these areas is integrated with the analysis of audit information. Security Event and Information Management System tools can facilitate audit record aggregation/consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans and correlating attack detection events with scanning results. Correlation with performance data can help uncover denial of service attacks or cyber attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.12" + }, + { + "href": "#ir.4" + }, + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines data/information to be collected from other sources;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eselects sources of data/information to be analyzed and integrated with the analysis of audit records from one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(5)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.5.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003evulnerability scanning information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(5)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eperformance data;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(5)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.5.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation system monitoring information; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(5)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.5.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined data/information collected from other sources; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(5)[2][d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegrates the analysis of audit records with the analysis of selected data/information to further enhance the ability to identify inappropriate or unusual activity.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrated analysis of audit records, vulnerability scanning information, performance data, network monitoring information and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing capability to integrate analysis of audit records with analysis of data/information sources\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-6_d", + "desc": "organization-defined data/information collected from other sources", + "value": "organization-defined data/information collected from other sources" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.6.", + "title": "CORRELATION WITH PHYSICAL MONITORING", + "props": [ + { + "class": "name", + "value": "AU-6 (6)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe correlation of physical audit information and audit logs from information systems may assist organizations in identifying examples of suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual�s identity for logical access to certain information systems with the additional physical security information that the individual was actually present at the facility when the logical access occurred, may prove to be useful in investigations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization correlates information from audit records with information obtained from monitoring physical access to enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation providing evidence of correlated information obtained from audit records and physical access monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing capability to correlate information from audit records with information from monitoring physical access\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.7.", + "title": "PERMITTED ACTIONS", + "props": [ + { + "class": "name", + "value": "AU-6 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization specifies the permitted actions for each [Selection (one or more): information system process; role; user] associated with the review, analysis, and reporting of audit information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations specify permitted actions for information system processes, roles, and/or users associated with the review, analysis, and reporting of audit records through account management techniques. Specifying permitted actions on audit information is a way to enforce the principle of least privilege. Permitted actions are enforced by the information system and include, for example, read, write, execute, append, and delete.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization specifies the permitted actions for each one or more of the following associated with the review, analysis and reporting of audit information:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation system process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erole; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(7)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.7.3.", + "prose": [ + "\u003cp class=\"decision\"\u003euser.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(7)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing process, role and/or user permitted actions from audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting permitted actions for review, analysis, and reporting of audit information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.8.", + "title": "FULL TEXT ANALYSIS OF PRIVILEGED COMMANDS", + "props": [ + { + "class": "name", + "value": "AU-6 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization performs a full text analysis of audited privileged commands in a physically distinct component or subsystem of the information system, or other information system that is dedicated to that analysis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires a distinct environment for the dedicated analysis of audit information related to privileged users without compromising such information on the information system where the users have elevated privileges including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and all parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes, for example, the use of pattern matching and heuristics.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.3" + }, + { + "href": "#au.9" + }, + { + "href": "#au.11" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization performs a full text analysis of audited privileged commands in:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ea physically distinct component or subsystem of the information system; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eother information system that is dedicated to that analysis.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(8)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etext analysis tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003etext analysis documentation of audited privileged commands\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing capability to perform a full text analysis of audited privilege commands\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.9.", + "title": "CORRELATION WITH INFORMATION FROM NONTECHNICAL SOURCES", + "props": [ + { + "class": "name", + "value": "AU-6 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNontechnical sources include, for example, human resources records documenting organizational policy violations (e.g., sexual harassment incidents, improper use of organizational information assets). Such information can lead organizations to a more directed analytical effort to detect potential malicious insider activity. Due to the sensitive nature of the information available from nontechnical sources, organizations limit access to such information to minimize the potential for the inadvertent release of privacy-related information to individuals that do not have a need to know. Thus, correlation of information from nontechnical sources with audit information generally occurs only when individuals are suspected of being involved in a security incident. Organizations obtain legal advice prior to initiating such actions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation providing evidence of correlated information obtained from audit records and organization-defined nontechnical sources\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information types from nontechnical sources for correlation with audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing capability to correlate information from non-technical sources\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.10.", + "title": "AUDIT LEVEL ADJUSTMENT", + "props": [ + { + "class": "name", + "value": "AU-6 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe frequency, scope, and/or depth of the audit review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-6.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003elaw enforcement information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eintelligence information; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(10)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-6.10.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eother credible sources of information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6(10)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational risk assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity control assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting review, analysis, and reporting of audit information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.7", + "title": "AUDIT REDUCTION AND REPORT GENERATION", + "props": [ + { + "class": "name", + "value": "AU-7" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides an audit reduction and report generation capability that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_au-7a.", + "prose": [ + "\u003cp class=\"description\"\u003eSupports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7a." + } + ] + }, + { + "class": "item", + "id": "smm_au-7b.", + "prose": [ + "\u003cp class=\"description\"\u003eDoes not alter the original content or time ordering of audit records.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. Audit reduction and report generation capabilities do not always emanate from the same information system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides an audit reduction and report generation capability that supports:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-7.a.", + "props": [ + { + "class": "name", + "value": "AU-7(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eon-demand audit review;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-7.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereporting requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-7.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eafter-the-fact investigations of security incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edoes not alter the original content or time ordering of audit records.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit reduction and report generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit reduction, review, analysis, and reporting tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit reduction and report generation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit reduction and report generation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.7.1.", + "title": "AUTOMATIC PROCESSING", + "props": [ + { + "class": "name", + "value": "AU-7 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability to process audit records for events of interest based on \u003cinsert param-id=\"au-7_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEvents of interest can be identified by the content of specific audit record fields including, for example, identities of individuals, event types, event locations, event times, event dates, system resources involved, IP addresses involved, or information objects accessed. Organizations may define audit event criteria to any degree of granularity required, for example, locations selectable by general networking location (e.g., by network or subnetwork) or selectable by specific information system component.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-7.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines audit fields within audit records in order to process audit records for events of interest; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-7.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the capability to process audit records for events of interest based on the organization-defined audit fields within audit records.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit reduction and report generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit reduction, review, analysis, and reporting tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record criteria (fields) establishing events of interest\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit reduction and report generation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit reduction and report generation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-7_a", + "desc": "organization-defined audit fields within audit records", + "value": "organization-defined audit fields within audit records" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.7.2.", + "title": "AUTOMATIC SORT AND SEARCH", + "props": [ + { + "class": "name", + "value": "AU-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability to sort and search audit records for events of interest based on the content of \u003cinsert param-id=\"au-7_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSorting and searching of audit records may be based upon the contents of audit record fields, for example: (i) date/time of events; (ii) user identifiers; (iii) Internet Protocol (IP) addresses involved in the event; (iv) type of event; or (v) event success/failure.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-7.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines audit fields within audit records in order to sort and search audit records for events of interest based on content of such audit fields; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-7.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the capability to sort and search audit records for events of interest based on the content of organization-defined audit fields within audit records.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit reduction and report generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit reduction, review, analysis, and reporting tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record criteria (fields) establishing events of interest\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit reduction and report generation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit reduction and report generation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-7_b", + "desc": "organization-defined audit fields within audit records", + "value": "organization-defined audit fields within audit records" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.8", + "title": "TIME STAMPS", + "params": [ + { + "id": "au-8_a", + "desc": "organization-defined granularity of time measurement", + "value": "organization-defined granularity of time measurement" + } + ], + "props": [ + { + "class": "name", + "value": "AU-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_au-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eUses internal system clocks to generate time stamps for audit records; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8a." + } + ] + }, + { + "class": "item", + "id": "smm_au-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eRecords time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT) and meets \u003cinsert param-id=\"au-8_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTime stamps generated by the information system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.3" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-8.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system uses internal system clocks to generate time stamps for audit records;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_au-8.b.", + "props": [ + { + "class": "name", + "value": "AU-8(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-8.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-8.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the granularity of time measurement to be met when recording time stamps for audit records; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-8.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization records time stamps for audit records that meet the organization-defined granularity of time measurement.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(b)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing time stamp generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing time stamp generation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.8.1.", + "title": "SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE", + "props": [ + { + "class": "name", + "value": "AU-8 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_au-8.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eCompares the internal information system clocks \u003cinsert param-id=\"au-8_b\"/\u003e with \u003cinsert param-id=\"au-8_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_au-8.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eSynchronizes the internal system clocks to the authoritative time source when the time difference is greater than \u003cinsert param-id=\"au-8_d\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides uniformity of time stamps for information systems with multiple system clocks and systems connected over a network.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-8.1.a.", + "props": [ + { + "class": "name", + "value": "AU-8(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-8.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the authoritative time source to which internal information system clocks are to be compared;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-8.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the frequency to compare the internal information system clocks with the organization-defined authoritative time source; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(1)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-8.1.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system compares the internal information system clocks with the organization-defined authoritative time source with organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(1)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-8.1.b.", + "props": [ + { + "class": "name", + "value": "AU-8(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-8.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period that, if exceeded by the time difference between the internal system clocks and the authoritative time source, will result in the internal system clocks being synchronized to the authoritative time source; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(1)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-8.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system synchronizes the internal information system clocks to the authoritative time source when the time difference is greater than the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8(1)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing time stamp generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing internal information system clock synchronization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "au-8_c", + "desc": "organization-defined authoritative time source", + "value": "organization-defined authoritative time source" + }, + { + "id": "au-8_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.8.2.", + "title": "SECONDARY AUTHORITATIVE TIME SOURCE", + "props": [ + { + "class": "name", + "value": "AU-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing time stamp generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing internal information system clock authoritative time sources\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.9", + "title": "PROTECTION OF AUDIT INFORMATION", + "props": [ + { + "class": "name", + "value": "AU-9" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects audit information and audit tools from unauthorized access, modification, and deletion.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-9-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system protects audit information from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-9-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-9-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-9-1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edeletion;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-9-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system protects audit tools from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-9-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-9-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-9-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edeletion.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation, information system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing audit information protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.9.1.", + "title": "HARDWARE WRITE-ONCE MEDIA", + "props": [ + { + "class": "name", + "value": "AU-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system writes audit trails to hardware-enforced, write-once media.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to the initial generation of audit trails (i.e., the collection of audit records that represents the audit information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. The enhancement does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes, for example, Compact Disk-Recordable (CD-R) and Digital Video Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB) drives results in write-protected, but not write-once, media.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.4" + }, + { + "href": "#au.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system writes audit trails to hardware-enforced, write-once media.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware settings\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system storage media\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media storing audit trails\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.2.", + "title": "AUDIT BACKUP ON SEPARATE PHYSICAL SYSTEMS / COMPONENTS", + "props": [ + { + "class": "name", + "value": "AU-9 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system backs up audit records \u003cinsert param-id=\"au-9_a\"/\u003e onto a physically different system or system component than the system or component being audited.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.4" + }, + { + "href": "#au.5" + }, + { + "href": "#au.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-9.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the frequency to back up audit records onto a physically different system or system component than the system or component being audited; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-9.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system backs up audit records with the organization-defined frequency, onto a physically different system or system component than the system or component being audited.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation, system or media storing backups of information system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing the backing up of audit records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-9_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.3.", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "AU-9 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to protect the integrity of audit information and audit tools.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic mechanisms used for protecting the integrity of audit information include, for example, signed hash functions using asymmetric cryptography enabling distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.10" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-9.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003euses cryptographic mechanisms to protect the integrity of audit information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-9.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003euses cryptographic mechanisms to protect the integrity of audit tools.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware settings\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation, information system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms protecting integrity of audit information and tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.4.", + "title": "ACCESS BY SUBSET OF PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "AU-9 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization authorizes access to management of audit functionality to only \u003cinsert param-id=\"au-9_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndividuals with privileged access to an information system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit activities or modifying audit records. This control enhancement requires that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-9.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a subset of privileged users to be authorized access to management of audit functionality; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-9.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes access to management of audit functionality to only the organization-defined subset of privileged users.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation, system-generated list of privileged users with access to management of audit functionality\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control list\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms managing access to audit functionality\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-9_b", + "desc": "organization-defined subset of privileged users", + "value": "organization-defined subset of privileged users" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.5.", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "AU-9 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization enforces dual authorization for [Selection (one or more): movement; deletion] of \u003cinsert param-id=\"au-9_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose different selection options for different types of audit information. Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#mp.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-9.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines audit information for which dual authorization is to be enforced;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-9.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines one or more of the following types of operations on audit information for which dual authorization is to be enforced:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(5)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-9.5.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emovement; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(5)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-9.5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edeletion; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(5)[2][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-9.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces dual authorization for the movement and/or deletion of organization-defined audit information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation, access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing enforcement of dual authorization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-9_c", + "desc": "organization-defined audit information", + "value": "organization-defined audit information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.6.", + "title": "READ ONLY ACCESS", + "props": [ + { + "class": "name", + "value": "AU-9 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization authorizes read-only access to audit information to \u003cinsert param-id=\"au-9_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRestricting privileged user authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users (e.g., deleting audit records to cover up malicious activity).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-9.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the subset of privileged users to be authorized read-only access to audit information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-9.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes read-only access to audit information to the organization-defined subset of privileged users.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-9(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation, system-generated list of privileged users with read-only access to audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control list\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms managing access to audit information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-9_d", + "desc": "organization-defined subset of privileged users", + "value": "organization-defined subset of privileged users" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.10", + "title": "NON-REPUDIATION", + "params": [ + { + "id": "au-10_a", + "desc": "organization-defined actions to be covered by non-repudiation", + "value": "organization-defined actions to be covered by non-repudiation" + } + ], + "props": [ + { + "class": "name", + "value": "AU-10" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed \u003cinsert param-id=\"au-10_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTypes of individual actions covered by non-repudiation include, for example, creating information, sending and receiving messages, approving information (e.g., indicating concurrence or signing a contract). Non-repudiation protects individuals against later claims by: (i) authors of not having authored particular documents; (ii) senders of not having transmitted messages; (iii) receivers of not having received messages; or (iv) signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from a particular individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.16" + }, + { + "href": "#sc.17" + }, + { + "href": "#sc.23" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-10-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines actions to be covered by non-repudiation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-10-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed organization-defined actions to be covered by non-repudiation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.10.1.", + "title": "ASSOCIATION OF IDENTITIES", + "props": [ + { + "class": "name", + "value": "AU-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_au-10.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eBinds the identity of the information producer with the information to \u003cinsert param-id=\"au-10_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_au-10.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides the means for authorized individuals to determine the identity of the producer of the information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of the binding between the information producer and the information based on the security category of the information and relevant risk factors.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.1.a.", + "props": [ + { + "class": "name", + "value": "AU-10(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the strength of binding to be employed between the identity of the information producer and the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system binds the identity of the information producer with the information to the organization-defined strength of binding; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(1)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the means for authorized individuals to determine the identity of the producer of the information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-10_b", + "desc": "organization-defined strength of binding", + "value": "organization-defined strength of binding" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.10.2.", + "title": "VALIDATE BINDING OF INFORMATION PRODUCER IDENTITY", + "props": [ + { + "class": "name", + "value": "AU-10 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_au-10.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eValidates the binding of the information producer identity to the information at \u003cinsert param-id=\"au-10_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_au-10.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003ePerforms \u003cinsert param-id=\"au-10_d\"/\u003e in the event of a validation error.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement prevents the modification of information between production and review. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.2.a.", + "props": [ + { + "class": "name", + "value": "AU-10(2)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the frequency to validate the binding of the information producer identity to the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(2)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system validates the binding of the information producer identity to the information at the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(2)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.2.b.", + "props": [ + { + "class": "name", + "value": "AU-10(2)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines actions to be performed in the event of a validation error; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(2)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system performs organization-defined actions in the event of a validation error.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(2)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evalidation records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-10_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "au-10_d", + "desc": "organization-defined actions", + "value": "organization-defined actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.10.3.", + "title": "CHAIN OF CUSTODY", + "props": [ + { + "class": "name", + "value": "AU-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eChain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each person who handled the evidence, the date and time it was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release/transfer function, the information system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, this control enhancement provides organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, this control enhancement ensures that only approved review functions are employed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains reviewer/releaser identity within the established chain of custody for all information reviewed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains reviewer/releaser identity within the established chain of custody for all information released;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains reviewer/releaser credentials within the established chain of custody for all information reviewed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains reviewer/releaser credentials within the established chain of custody for all information released.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(3)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of information reviews and releases\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.10.4.", + "title": "VALIDATE BINDING OF INFORMATION REVIEWER IDENTITY", + "props": [ + { + "class": "name", + "value": "AU-10 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_au-10.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eValidates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between \u003cinsert param-id=\"au-10_e\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_au-10.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003ePerforms \u003cinsert param-id=\"au-10_f\"/\u003e in the event of a validation error.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (4)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement prevents the modification of information between review and transfer/release. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine validations are in response to user requests or generated automatically.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.4.a.", + "props": [ + { + "class": "name", + "value": "AU-10(4)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security domains for which the binding of the information reviewer identity to the information is to be validated at the transfer or release points prior to release/transfer between such domains;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(4)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system validates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between organization-defined security domains;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(4)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.4.b.", + "props": [ + { + "class": "name", + "value": "AU-10(4)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-10.4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines actions to be performed in the event of a validation error; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(4)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-10.4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system performs organization-defined actions in the event of a validation error.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10(4)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evalidation records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-10_e", + "desc": "organization-defined security domains", + "value": "organization-defined security domains" + }, + { + "id": "au-10_f", + "desc": "organization-defined actions", + "value": "organization-defined actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.10.5.", + "title": "DIGITAL SIGNATURES", + "props": [ + { + "class": "name", + "value": "AU-10 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.7" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.11", + "title": "AUDIT RECORD RETENTION", + "params": [ + { + "id": "au-11_a", + "desc": "organization-defined time period consistent with records retention policy", + "value": "organization-defined time period consistent with records retention policy" + } + ], + "props": [ + { + "class": "name", + "value": "AU-11" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization retains audit records for \u003cinsert param-id=\"au-11_a\"/\u003e to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations retain audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.4" + }, + { + "href": "#au.5" + }, + { + "href": "#au.9" + }, + { + "href": "#mp.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-11-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period to retain audit records that is consistent with records retention policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-11[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-11-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains audit records for the organization-defined time period consistent with records retention policy to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-11[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-11-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovide support for after-the-fact investigations of security incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-11[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-11-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emeet regulatory and organizational information retention requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-11[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record retention policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganization-defined retention period for audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record archives\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit record retention responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.11.1.", + "title": "LONG-TERM RETRIEVAL CAPABILITY", + "props": [ + { + "class": "name", + "value": "AU-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"au-11_b\"/\u003e to ensure that long-term audit records generated by the information system can be retrieved.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMeasures employed by organizations to help facilitate the retrieval of audit records include, for example, converting records to newer formats, retaining equipment capable of reading the records, and retaining necessary documentation to help organizational personnel understand how to interpret the records.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-11.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines measures to be employed to ensure that long-term audit records generated by the information system can be retrieved; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-11(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-11.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined measures to ensure that long-term audit records generated by the information system can be retrieved.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-11(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record retention policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit record archives\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit record retention responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing audit record retention capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-11_b", + "desc": "organization-defined measures", + "value": "organization-defined measures" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.12", + "title": "AUDIT GENERATION", + "params": [ + { + "id": "au-12_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "au-12_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "AU-12" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_au-12a.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides audit record generation capability for the auditable events defined in AU-2 a. at \u003cinsert param-id=\"au-12_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12a." + } + ] + }, + { + "class": "item", + "id": "smm_au-12b.", + "prose": [ + "\u003cp class=\"description\"\u003eAllows \u003cinsert param-id=\"au-12_b\"/\u003e to select which auditable events are to be audited by specific components of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12b." + } + ] + }, + { + "class": "item", + "id": "smm_au-12c.", + "prose": [ + "\u003cp class=\"description\"\u003eGenerates audit records for the events defined in AU-2 d. with the content defined in AU-3.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#au.2" + }, + { + "href": "#au.3" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-12.a.", + "props": [ + { + "class": "name", + "value": "AU-12(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-12.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the information system components which are to provide audit record generation capability for the auditable events defined in AU-2a;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-12.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides audit record generation capability, for the auditable events defined in AU-2a, at organization-defined information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-12.b.", + "props": [ + { + "class": "name", + "value": "AU-12(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-12.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the personnel or roles allowed to select which auditable events are to be audited by specific components of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-12.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system allows the organization-defined personnel or roles to select which auditable events are to be audited by specific components of the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_au-12.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system generates audit records for the events defined in AU-2d with the content in defined in AU-3.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit record generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of auditable events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit record generation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing audit record generation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.12.1.", + "title": "SYSTEM-WIDE / TIME-CORRELATED AUDIT TRAIL", + "props": [ + { + "class": "name", + "value": "AU-12 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system compiles audit records from \u003cinsert param-id=\"au-12_c\"/\u003e into a system-wide (logical or physical) audit trail that is time-correlated to within \u003cinsert param-id=\"au-12_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.8" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-12.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the information system components from which audit records are to be compiled into a system-wide (logical or physical) audit trail;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-12.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the level of tolerance for the relationship between time stamps of individual records in the audit trail; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-12.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system compiles audit records from organization-defined information system components into a system-wide (logical or physical) audit trail that is time-correlated to within the organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit record generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-wide audit trail (logical or physical)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit record generation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing audit record generation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-12_c", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "au-12_d", + "desc": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail", + "value": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.12.2.", + "title": "STANDARDIZED FORMATS", + "props": [ + { + "class": "name", + "value": "AU-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit information that is normalized to common standards promotes interoperability and exchange of such information between dissimilar devices and information systems. This facilitates production of event information that can be more readily analyzed and correlated. Standard formats for audit records include, for example, system log records and audit records compliant with Common Event Expressions (CEE). If logging mechanisms within information systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit record generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-wide audit trail (logical or physical)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit record generation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing audit record generation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.12.3.", + "title": "CHANGES BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AU-12 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability for \u003cinsert param-id=\"au-12_e\"/\u003e to change the auditing to be performed on \u003cinsert param-id=\"au-12_f\"/\u003e based on \u003cinsert param-id=\"au-12_g\"/\u003e within \u003cinsert param-id=\"au-12_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve information system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near real-time, within minutes, or within hours.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\t\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-12.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system components on which auditing is to be performed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-12.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines individuals or roles authorized to change the auditing to be performed on organization-defined information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-12.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines time thresholds within which organization-defined individuals or roles can change the auditing to be performed on organization-defined information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-12.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines selectable event criteria that support the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(3)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-12.3.5.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components based on organization-defined selectable event criteria within organization-defined time thresholds.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12(3)[5]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing audit record generation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of individuals or roles authorized to change auditing to be performed\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with audit record generation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing audit record generation capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-12_e", + "desc": "organization-defined individuals or roles", + "value": "organization-defined individuals or roles" + }, + { + "id": "au-12_f", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "au-12_g", + "desc": "organization-defined selectable event criteria", + "value": "organization-defined selectable event criteria" + }, + { + "id": "au-12_h", + "desc": "organization-defined time thresholds", + "value": "organization-defined time thresholds" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.13", + "title": "MONITORING FOR INFORMATION DISCLOSURE", + "params": [ + { + "id": "au-13_a", + "desc": "organization-defined open source information and/or information sites", + "value": "organization-defined open source information and/or information sites" + }, + { + "id": "au-13_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AU-13" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization monitors \u003cinsert param-id=\"au-13_a\"/\u003e \u003cinsert param-id=\"au-13_b\"/\u003e for evidence of unauthorized disclosure of organizational information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOpen source information includes, for example, social networking sites.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.3" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-13-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines open source information and/or information sites to be monitored for evidence of unauthorized disclosure of organizational information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-13[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-13-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to monitor organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-13[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-13-3.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-13[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information disclosure monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emonitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for monitoring open source information and/or information sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing monitoring for information disclosure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.13.1.", + "title": "USE OF AUTOMATED TOOLS", + "props": [ + { + "class": "name", + "value": "AU-13 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can include, for example, automated scripts to monitor new posts on selected websites, and commercial services providing notifications and alerts to organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information disclosure monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated monitoring tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for monitoring information disclosures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing monitoring for information disclosure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.13.2.", + "title": "REVIEW OF MONITORED SITES", + "props": [ + { + "class": "name", + "value": "AU-13 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reviews the open source information sites being monitored \u003cinsert param-id=\"au-13_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-13.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to review the open source information sites being monitored; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-13(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-13.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the open source information sites being monitored with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-13(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information disclosure monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereviews for open source information sites being monitored\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for monitoring open source information sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing monitoring for information disclosure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "au-13_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.14", + "title": "SESSION AUDIT", + "props": [ + { + "class": "name", + "value": "AU-14" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability for authorized users to select a user session to capture/record or view/hear.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSession audits include, for example, monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, or standards.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#au.4" + }, + { + "href": "#au.5" + }, + { + "href": "#au.9" + }, + { + "href": "#au.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides the capability for authorized users to select a user session to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-14-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ecapture/record; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-14[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-14-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eview/hear.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-14[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user session auditing\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing user session auditing capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.14.1.", + "title": "SYSTEM START-UP", + "props": [ + { + "class": "name", + "value": "AU-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system initiates session audits at system start-up.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system initiates session audits at system start-up. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user session auditing\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing user session auditing capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.14.2.", + "title": "CAPTURE/RECORD AND LOG CONTENT", + "props": [ + { + "class": "name", + "value": "AU-14 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability for authorized users to capture/record and log content related to a user session.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides the capability for authorized users to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-14.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ecapture/record content related to a user session; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-14(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-14.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003elog content related to a user session.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-14(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user session auditing\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing user session auditing capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.14.3.", + "title": "REMOTE VIEWING / LISTENING", + "props": [ + { + "class": "name", + "value": "AU-14 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user session auditing\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing user session auditing capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.15", + "title": "ALTERNATE AUDIT CAPABILITY", + "params": [ + { + "id": "au-15_a", + "desc": "organization-defined alternate audit functionality", + "value": "organization-defined alternate audit functionality" + } + ], + "props": [ + { + "class": "name", + "value": "AU-15" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides an alternate audit capability in the event of a failure in primary audit capability that provides \u003cinsert param-id=\"au-15_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSince an alternate audit capability may be a short-term protection employed until the failure in the primary auditing capability is corrected, organizations may determine that the alternate audit capability need only provide a subset of the primary audit functionality that is impacted by the failure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-15-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines alternative audit functionality to be provided in the event of a failure in primary audit capability; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-15[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-15-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides an alternative audit capability in the event of a failure in primary audit capability that provides organization-defined alternative audit functionality.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-15[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate audit capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest records for alternative audit capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel responsible for providing alternate audit capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing alternative audit capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.16", + "title": "CROSS-ORGANIZATIONAL AUDITING", + "params": [ + { + "id": "au-16_a", + "desc": "organization-defined methods", + "value": "organization-defined methods" + }, + { + "id": "au-16_b", + "desc": "organization-defined audit information", + "value": "organization-defined audit information" + } + ], + "props": [ + { + "class": "name", + "value": "AU-16" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"au-16_a\"/\u003e for coordinating \u003cinsert param-id=\"au-16_b\"/\u003e among external organizations when audit information is transmitted across organizational boundaries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen organizations use information systems and/or services of external organizations, the auditing capability necessitates a coordinated approach across organizations. For example, maintaining the identity of individuals that requested particular services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance ramifications. Therefore, it is often the case that cross-organizational auditing (e.g., the type of auditing capability provided by service-oriented architectures) simply captures the identity of individuals issuing requests at the initial information system, and subsequent systems record that the requests emanated from authorized individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_au-16-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines audit information to be coordinated among external organizations when audit information is transmitted across organizational boundaries;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-16[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-16-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-16[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_au-16-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-16[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing methods for coordinating audit information among external organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emethods for coordinating audit information among external organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for coordinating audit information among external organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing cross-organizational auditing (if applicable)\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.16.1.", + "title": "IDENTITY PRESERVATION", + "props": [ + { + "class": "name", + "value": "AU-16 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that the identity of individuals be preserved in cross-organizational audit trails.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires that the identity of individuals be preserved in cross- organizational audit trails.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cross-organizational audit trails\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with cross-organizational audit responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing cross-organizational auditing (if applicable)\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.16.2.", + "title": "SHARING OF AUDIT INFORMATION", + "props": [ + { + "class": "name", + "value": "AU-16 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides cross-organizational audit information to \u003cinsert param-id=\"au-16_c\"/\u003e based on \u003cinsert param-id=\"au-16_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBecause of the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only the home organizations of individuals have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_au-16.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines organizations with whom cross-organizational audit information is to be shared;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-16(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-16.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines cross-organizational sharing agreements to be used when providing cross-organizational audit information to organization-defined organizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-16(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_au-16.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides cross-organizational audit information to organization-defined organizations based on organization-defined cross-organizational sharing agreements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-16(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cross-organizational sharing of audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecross-organizational sharing agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003edata sharing agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for sharing cross-organizational audit information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "au-16_c", + "desc": "organization-defined organizations", + "value": "organization-defined organizations" + }, + { + "id": "au-16_d", + "desc": "organization-defined cross-organizational sharing agreements", + "value": "organization-defined cross-organizational sharing agreements" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "SECURITY ASSESSMENT AND AUTHORIZATION", + "controls": [ + { + "class": "SP800-53", + "id": "ca.1", + "title": "SECURITY ASSESSMENT AND AUTHORIZATION POLICY AND PROCEDURES", + "params": [ + { + "id": "ca-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ca-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ca-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ca-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ca-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ca-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA security assessment and authorization policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ca-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the security assessment and authorization policy and associated security assessment and authorization controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ca-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ca-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity assessment and authorization policy \u003cinsert param-id=\"ca-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ca-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity assessment and authorization procedures \u003cinsert param-id=\"ca-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-1.a.1.", + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a security assessment and authorization policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the security assessment and authorization policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the security assessment and authorization policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.2.", + "props": [ + { + "class": "name", + "value": "CA-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the security assessment and authorization policy and associated assessment and authorization controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.b.1.", + "props": [ + { + "class": "name", + "value": "CA-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current security assessment and authorization policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current security assessment and authorization policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.b.2.", + "props": [ + { + "class": "name", + "value": "CA-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current security assessment and authorization procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current security assessment and authorization procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment and authorization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.2", + "title": "SECURITY ASSESSMENTS", + "params": [ + { + "id": "ca-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ca-2_b", + "desc": "organization-defined individuals or roles", + "value": "organization-defined individuals or roles" + } + ], + "props": [ + { + "class": "name", + "value": "CA-2" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ca-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops a security assessment plan that describes the scope of the assessment including:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ca-2a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity controls and control enhancements under assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ca-2a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eAssessment procedures to be used to determine security control effectiveness; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2a.2." + } + ] + }, + { + "class": "item", + "id": "sms_ca-2a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eAssessment environment, assessment team, and assessment roles and responsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2a.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ca-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eAssesses the security controls in the information system and its environment of operation \u003cinsert param-id=\"ca-2_a\"/\u003e to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2b." + } + ] + }, + { + "class": "item", + "id": "smm_ca-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eProduces a security assessment report that documents the results of the assessment; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2c." + } + ] + }, + { + "class": "item", + "id": "smm_ca-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides the results of the security control assessment to \u003cinsert param-id=\"ca-2_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives. To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.5" + }, + { + "href": "#ca.6" + }, + { + "href": "#ca.7" + }, + { + "href": "#pm.9" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.11" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a security assessment plan that describes the scope of the assessment including:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity controls and control enhancements under assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(a)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eassessment procedures to be used to determine security control effectiveness;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(a)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.a.3.", + "props": [ + { + "class": "name", + "value": "CA-2(a)(3)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-2.a.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eassessment environment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(a)(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.a.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eassessment team;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(a)(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.a.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eassessment roles and responsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(a)(3)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.b.", + "props": [ + { + "class": "name", + "value": "CA-2(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to assess the security controls in the information system and its environment of operation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eassesses the security controls in the information system with the organization-defined frequency to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eproduces a security assessment report that documents the results of the assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.d.", + "props": [ + { + "class": "name", + "value": "CA-2(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-2.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines individuals or roles to whom the results of the security control assessment are to be provided; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-2.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the results of the security control assessment to organization-defined individuals or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security assessment planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security assessments\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting security assessment, security assessment plan development, and/or security assessment reporting\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.2.1.", + "title": "INDEPENDENT ASSESSORS", + "props": [ + { + "class": "name", + "value": "CA-2 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs assessors or assessment teams with \u003cinsert param-id=\"ca-2_c\"/\u003e to conduct security control assessments.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndependent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-2.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the level of independence to be employed to conduct security control assessments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys assessors or assessment teams with the organization-defined level of independence to conduct security control assessments.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security assessments\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity authorization package (including security plan, security assessment plan, security assessment report, plan of action and milestones, authorization statement)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ca-2_c", + "desc": "organization-defined level of independence", + "value": "organization-defined level of independence" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.2.2.", + "title": "SPECIALIZED ASSESSMENTS", + "props": [ + { + "class": "name", + "value": "CA-2 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes as part of security control assessments, \u003cinsert param-id=\"ca-2_d\"/\u003e, [Selection: announced; unannounced], [Selection (one or more): in-depth monitoring; vulnerability scanning; malicious user testing; insider threat assessment; performance/load testing; \u003cinsert param-id=\"ca-2_e\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can employ information system monitoring, insider threat assessments, malicious user testing, and other forms of testing (e.g., verification and validation) to improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security. Organizations conduct assessment activities in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability remediation processes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.3" + }, + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-2.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eselects one or more of the following forms of specialized security assessment to be included as part of security control assessments:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-2.2.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ein-depth monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003evulnerability scanning;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003emalicious user testing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003einsider threat assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eperformance/load testing; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003eother forms of organization-defined specialized security assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][f]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency for conducting the selected form(s) of specialized security assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines whether the specialized security assessment will be announced or unannounced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts announced or unannounced organization-defined forms of specialized security assessments with the organization-defined frequency as part of security control assessments.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security assessments\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting security control assessment\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ca-2_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ca-2_e", + "desc": "organization-defined other forms of security assessment", + "value": "organization-defined other forms of security assessment" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.2.3.", + "title": "EXTERNAL ORGANIZATIONS", + "props": [ + { + "class": "name", + "value": "CA-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization accepts the results of an assessment of \u003cinsert param-id=\"ca-2_f\"/\u003e performed by \u003cinsert param-id=\"ca-2_g\"/\u003e when the assessment meets \u003cinsert param-id=\"ca-2_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may often rely on assessments of specific information systems by other (external) organizations. Utilizing such existing assessments (i.e., reusing existing assessment evidence) can significantly decrease the time and resources required for organizational assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations may consider in determining whether to accept assessment results from external organizations can vary. Determinations for accepting assessment results can be based on, for example, past assessment experiences one organization has had with another organization, the reputation that organizations have with regard to assessments, the level of detail of supporting assessment documentation provided, or mandates imposed upon organizations by federal legislation, policies, or directives.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines an information system for which the results of a security assessment performed by an external organization are to be accepted;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines an external organization from which to accept a security assessment performed on an organization-defined information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the requirements to be met by a security assessment performed by organization-defined external organization on organization-defined information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-2.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccepts the results of an assessment of an organization-defined information system performed by an organization-defined external organization when the assessment meets organization-defined requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2(3)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security assessments\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel performing security assessments for the specified external organization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ca-2_f", + "desc": "organization-defined information system", + "value": "organization-defined information system" + }, + { + "id": "ca-2_g", + "desc": "organization-defined external organization", + "value": "organization-defined external organization" + }, + { + "id": "ca-2_h", + "desc": "organization-defined requirements", + "value": "organization-defined requirements" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net", + "value": "Executive Order 13587" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-115", + "value": "NIST Special Publication 800-115" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.3", + "title": "SYSTEM INTERCONNECTIONS", + "params": [ + { + "id": "ca-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ca-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3a." + } + ] + }, + { + "class": "item", + "id": "smm_ca-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments, for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3b." + } + ] + }, + { + "class": "item", + "id": "smm_ca-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates Interconnection Security Agreements \u003cinsert param-id=\"ca-3_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to dedicated connections between information systems (i.e., system interconnections) and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations carefully consider the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within organizations and external to organizations. Authorizing officials determine the risk associated with information system connections and the appropriate controls employed. If interconnecting systems have the same authorizing official, organizations do not need to develop Interconnection Security Agreements. Instead, organizations can describe the interface characteristics between those interconnecting systems in their respective security plans. If interconnecting systems have different authorizing officials within the same organization, organizations can either develop Interconnection Security Agreements or describe the interface characteristics between systems in the security plans for the respective systems. Organizations may also incorporate Interconnection Security Agreement information into formal contracts, especially for interconnections established between federal agencies and nonfederal (i.e., private sector) organizations. Risk considerations also include information systems sharing the same networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices), there may be specialized connections in place during preoperational testing. Such connections may require Interconnection Security Agreements and be subject to additional security controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.20" + }, + { + "href": "#au.2" + }, + { + "href": "#au.12" + }, + { + "href": "#au.16" + }, + { + "href": "#ca.7" + }, + { + "href": "#ia.3" + }, + { + "href": "#sa.9" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments, for each interconnection:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe interface characteristics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-3.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe nature of the information communicated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(b)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-3.c.", + "props": [ + { + "class": "name", + "value": "CA-3(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-3.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update Interconnection Security Agreements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-3.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates Interconnection Security Agreements with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system Interconnection Security Agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for developing, implementing, or approving information system interconnection agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel managing the system(s) to which the Interconnection Security Agreement applies\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.3.1.", + "title": "UNCLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS", + "props": [ + { + "class": "name", + "value": "CA-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the direct connection of an \u003cinsert param-id=\"ca-3_b\"/\u003e to an external network without the use of \u003cinsert param-id=\"ca-3_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-3.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines an unclassified, national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, national security system to an external network; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the direct connection of an organization-defined unclassified, national security system to an external network without the use of an organization-defined boundary protection device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system interconnection security agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for managing direct connections to external networks\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel managing directly connected external networks\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting the management of external network connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ca-3_b", + "desc": "organization-defined unclassified, national security system", + "value": "organization-defined unclassified, national security system" + }, + { + "id": "ca-3_c", + "desc": "organization-defined boundary protection device", + "value": "organization-defined boundary protection device" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.3.2.", + "title": "CLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS", + "props": [ + { + "class": "name", + "value": "CA-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the direct connection of a classified, national security system to an external network without the use of \u003cinsert param-id=\"ca-3_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface/cross-domain systems) provide information flow enforcement from information systems to external networks.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a boundary protection device to be used to establish the direct connection of a classified, national security system to an external network; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the direct connection of a classified, national security system to an external network without the use of an organization-defined boundary protection device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system interconnection security agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for managing direct connections to external networks\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel managing directly connected external networks\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting the management of external network connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ca-3_d", + "desc": "organization-defined boundary protection device", + "value": "organization-defined boundary protection device" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.3.3.", + "title": "UNCLASSIFIED NON-NATIONAL SECURITY SYSTEM CONNECTIONS", + "props": [ + { + "class": "name", + "value": "CA-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the direct connection of an \u003cinsert param-id=\"ca-3_e\"/\u003e to an external network without the use of \u003cinsert param-id=\"ca-3_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified non-national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-3.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines an unclassified, non-national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, non-national security system to an external network; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the direct connection of an organization-defined unclassified, non-national security system to an external network without the use of an organization-defined boundary protection device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system interconnection security agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for managing direct connections to external networks\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel managing directly connected external networks\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting the management of external network connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ca-3_e", + "desc": "organization-defined unclassified, non-national security system", + "value": "organization-defined unclassified, non-national security system" + }, + { + "id": "ca-3_f", + "desc": "Assignment; organization-defined boundary protection device", + "value": "Assignment; organization-defined boundary protection device" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.3.4.", + "title": "CONNECTIONS TO PUBLIC NETWORKS", + "props": [ + { + "class": "name", + "value": "CA-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the direct connection of an \u003cinsert param-id=\"ca-3_g\"/\u003e to a public network.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA public network is any network accessible to the general public including, for example, the Internet and organizational extranets with public access.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines an information system whose direct connection to a public network is to be prohibited; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the direct connection of an organization-defined information system to a public network.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system interconnection security agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003e\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eNetwork administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting the management of public network connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ca-3_g", + "desc": "organization-defined information system", + "value": "organization-defined information system" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.3.5.", + "title": "RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS", + "props": [ + { + "class": "name", + "value": "CA-3 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs [Selection: allow-all, deny-by-exception; deny-all, permit-by-exception] policy for allowing \u003cinsert param-id=\"ca-3_h\"/\u003e to connect to external information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can constrain information system connectivity to external domains (e.g., websites) by employing one of two policies with regard to such connectivity: (i) allow-all, deny by exception, also known as blacklisting (the weaker of the two policies); or (ii) deny-all, allow by exception, also known as whitelisting (the stronger of the two policies). For either policy, organizations determine what exceptions, if any, are acceptable.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-3.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems to be allowed to connect to external information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys one of the following policies for allowing organization-defined information systems to connect to external information systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(5)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-3.5.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eallow-all policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(5)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edeny-by-exception policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(5)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.5.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edeny-all policy; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(5)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-3.5.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003epermit-by-exception policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3(5)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system interconnection agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for managing connections to external information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing restrictions on external system connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ca-3_h", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-47", + "value": "NIST Special Publication 800-47" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.4", + "title": "SECURITY CERTIFICATION", + "props": [ + { + "class": "name", + "value": "CA-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CA-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ca.2" + } + ] + }, + { + "class": "SP800-53", + "id": "ca.5", + "title": "PLAN OF ACTION AND MILESTONES", + "params": [ + { + "id": "ca-5_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-5" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ca-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops a plan of action and milestones for the information system to document the organization�s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5a." + } + ] + }, + { + "class": "item", + "id": "smm_ca-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates existing plan of action and milestones \u003cinsert param-id=\"ca-5_a\"/\u003e based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlans of action and milestones are key documents in security authorization packages and are subject to federal reporting requirements established by OMB.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.4" + }, + { + "href": "#pm.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a plan of action and milestones for the information system to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edocument the organization’s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereduce or eliminate known vulnerabilities in the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-5.b.", + "props": [ + { + "class": "name", + "value": "CA-5(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-5.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to update the existing plan of action and milestones;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-5.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the existing plan of action and milestones with the organization-defined frequency based on the findings from:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-5.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity controls assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-5.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity impact analyses; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(b)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-5.b.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003econtinuous monitoring activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(b)[2][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing plan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with plan of action and milestones development and implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms for developing, implementing, and maintaining plan of action and milestones\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.5.1.", + "title": "AUTOMATION SUPPORT FOR ACCURACY / CURRENCY", + "props": [ + { + "class": "name", + "value": "CA-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-5.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccurate;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-5.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eup to date; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-5.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereadily available.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing plan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation, information system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with plan of action and milestones development and implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms for developing, implementing and maintaining plan of action and milestones\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/omb/memoranda_m02-01", + "value": "OMB Memorandum 02-01" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.6", + "title": "SECURITY AUTHORIZATION", + "params": [ + { + "id": "ca-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-6" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ca-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eAssigns a senior-level executive or manager as the authorizing official for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6a." + } + ] + }, + { + "class": "item", + "id": "smm_ca-6b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the authorizing official authorizes the information system for processing before commencing operations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6b." + } + ] + }, + { + "class": "item", + "id": "smm_ca-6c.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the security authorization \u003cinsert param-id=\"ca-6_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity authorizations are official management decisions, conveyed through authorization decision documents, by senior organizational officials or executives (i.e., authorizing officials) to authorize operation of information systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security controls. Authorizing officials provide budgetary oversight for organizational information systems or assume responsibility for the mission/business operations supported by those systems. The security authorization process is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials assume responsibility and are accountable for security risks associated with the operation and use of organizational information systems. Accordingly, authorizing officials are in positions with levels of authority commensurate with understanding and accepting such information security-related risks. OMB policy requires that organizations conduct ongoing authorizations of information systems by implementing continuous monitoring programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so separate reauthorization processes are not necessary. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages (i.e., security plans, security assessment reports, and plans of action and milestones) is updated on an ongoing basis, providing authorizing officials and information system owners with an up-to-date status of the security state of organizational information systems and environments of operation. To reduce the administrative cost of security reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#pm.9" + }, + { + "href": "#pm.10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-6.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eassigns a senior-level executive or manager as the authorizing official for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-6.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the authorizing official authorizes the information system for processing before commencing operations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-6.c.", + "props": [ + { + "class": "name", + "value": "CA-6(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-6.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to update the security authorization; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-6.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the security authorization with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security authorization\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity authorization package (including security plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorization statement)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security authorization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms that facilitate security authorizations and updates\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/omb/circulars_a130_a130trans4", + "value": "OMB Circular A-130" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/m11-33.pdf", + "value": "OMB Memorandum 11-33" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.7", + "title": "CONTINUOUS MONITORING", + "params": [ + { + "id": "ca-7_a", + "desc": "organization-defined metrics", + "value": "organization-defined metrics" + }, + { + "id": "ca-7_b", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "id": "ca-7_c", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "id": "ca-7_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ca-7_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-7" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ca-7a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishment of \u003cinsert param-id=\"ca-7_a\"/\u003e to be monitored;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7a." + } + ] + }, + { + "class": "item", + "id": "smm_ca-7b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishment of \u003cinsert param-id=\"ca-7_b\"/\u003e for monitoring and \u003cinsert param-id=\"ca-7_c\"/\u003e for assessments supporting such monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7b." + } + ] + }, + { + "class": "item", + "id": "smm_ca-7c.", + "prose": [ + "\u003cp class=\"description\"\u003eOngoing security control assessments in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7c." + } + ] + }, + { + "class": "item", + "id": "smm_ca-7d.", + "prose": [ + "\u003cp class=\"description\"\u003eOngoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7d." + } + ] + }, + { + "class": "item", + "id": "smm_ca-7e.", + "prose": [ + "\u003cp class=\"description\"\u003eCorrelation and analysis of security-related information generated by assessments and monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7e." + } + ] + }, + { + "class": "item", + "id": "smm_ca-7f.", + "prose": [ + "\u003cp class=\"description\"\u003eResponse actions to address results of the analysis of security-related information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7f." + } + ] + }, + { + "class": "item", + "id": "smm_ca-7g.", + "prose": [ + "\u003cp class=\"description\"\u003eReporting the security status of organization and the information system to \u003cinsert param-id=\"ca-7_d\"/\u003e \u003cinsert param-id=\"ca-7_e\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContinuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess/analyze security controls and information security-related risks at a frequency sufficient to support organizational risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Continuous monitoring programs also allow organizations to maintain the security authorizations of information systems and common controls over time in highly dynamic environments of operation with changing mission/business needs, threats, vulnerabilities, and technologies. Having access to security-related information on a continuing basis through reports/dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing security authorization decisions. Automation supports more frequent updates to security authorization packages, hardware/software/firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.5" + }, + { + "href": "#ca.6" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + }, + { + "href": "#pm.6" + }, + { + "href": "#pm.9" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.11" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.2" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.a.", + "props": [ + { + "class": "name", + "value": "CA-7(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that defines metrics to be monitored;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that includes monitoring of organization-defined metrics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a continuous monitoring program that includes monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.b.", + "props": [ + { + "class": "name", + "value": "CA-7(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that defines frequencies for monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines frequencies for assessments supporting monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that includes establishment of the organization-defined frequencies for monitoring and for assessments supporting monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(b)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.b.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a continuous monitoring program that includes establishment of organization-defined frequencies for monitoring and for assessments supporting such monitoring in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(b)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.c.", + "props": [ + { + "class": "name", + "value": "CA-7(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that includes ongoing security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a continuous monitoring program that includes ongoing security control assessments in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.d.", + "props": [ + { + "class": "name", + "value": "CA-7(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that includes ongoing security status monitoring of organization-defined metrics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a continuous monitoring program that includes ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(d)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.e.", + "props": [ + { + "class": "name", + "value": "CA-7(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that includes correlation and analysis of security-related information generated by assessments and monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a continuous monitoring program that includes correlation and analysis of security-related information generated by assessments and monitoring in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(e)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.f.", + "props": [ + { + "class": "name", + "value": "CA-7(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that includes response actions to address results of the analysis of security-related information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a continuous monitoring program that includes response actions to address results of the analysis of security-related information in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(f)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.g.", + "props": [ + { + "class": "name", + "value": "CA-7(g)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-7.g.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that defines the personnel or roles to whom the security status of the organization and information system are to be reported;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(g)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.g.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that defines the frequency to report the security status of the organization and information system to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(g)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.g.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a continuous monitoring strategy that includes reporting the security status of the organization or information system to organizational-defined personnel or roles with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(g)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-7.g.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a continuous monitoring program that includes reporting the security status of the organization and information system to organization-defined personnel or roles with the organization-defined frequency in accordance with the organizational continuous monitoring strategy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(g)[4]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing continuous monitoring of information system security controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records, security impact analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003estatus reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with continuous monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eMechanisms implementing continuous monitoring\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.7.1.", + "title": "INDEPENDENT ASSESSMENT", + "props": [ + { + "class": "name", + "value": "CA-7 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs assessors or assessment teams with \u003cinsert param-id=\"ca-7_f\"/\u003e to monitor the security controls in the information system on an ongoing basis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can maximize the value of assessments of security controls during the continuous monitoring process by requiring that such assessments be conducted by assessors or assessment teams with appropriate levels of independence based on continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in advocacy positions for the organizations acquiring their services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-7.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a level of independence to be employed to monitor the security controls in the information system on an ongoing basis; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-7.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys assessors or assessment teams with the organization-defined level of independence to monitor the security controls in the information system on an ongoing basis.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing continuous monitoring of information system security controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity impact analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003estatus reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with continuous monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ca-7_f", + "desc": "organization-defined level of independence", + "value": "organization-defined level of independence" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.7.2.", + "title": "TYPES OF ASSESSMENTS", + "props": [ + { + "class": "name", + "value": "CA-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CA-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ca.2" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.7.3.", + "title": "TREND ANALYSES", + "props": [ + { + "class": "name", + "value": "CA-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/or the types of activities used in the continuous monitoring process need to be modified based on empirical data.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTrend analyses can include, for example, examining recent threat information regarding the types of threat events that have occurred within the organization or across the federal government, success rates of certain types of cyber attacks, emerging vulnerabilities in information technologies, evolving social engineering techniques, results from multiple security control assessments, the effectiveness of configuration settings, and findings from Inspectors General or auditors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs trend analyses to determine if the following items need to be modified based on empirical data:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-7.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity control implementations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-7.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe frequency of continuous monitoring activities; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-7.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe types of activities used in the continuous monitoring process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContinuous monitoring strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing continuous monitoring of information system security controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity impact analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003estatus reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with continuous monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/m11-33.pdf", + "value": "OMB Memorandum 11-33" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-115", + "value": "NIST Special Publication 800-115" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + }, + { + "citations": [ + { + "href": "http://www.us-cert.gov/ncas/alerts", + "value": "US-CERT Technical Cyber Security Alerts" + } + ] + }, + { + "citations": [ + { + "value": "DoD Information Assurance Vulnerability Alerts" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.8", + "title": "PENETRATION TESTING", + "params": [ + { + "id": "ca-8_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ca-8_b", + "desc": "organization-defined information systems or system components", + "value": "organization-defined information systems or system components" + } + ], + "props": [ + { + "class": "name", + "value": "CA-8" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization conducts penetration testing \u003cinsert param-id=\"ca-8_a\"/\u003e on \u003cinsert param-id=\"ca-8_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePenetration testing is a specialized type of assessment conducted on information systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Such testing can be used to either validate vulnerabilities or determine the degree of resistance organizational information systems have to adversaries within a set of specified constraints (e.g., time, resources, and/or skills). Penetration testing attempts to duplicate the actions of adversaries in carrying out hostile cyber attacks against organizations and provides a more in-depth analysis of security-related weaknesses/deficiencies. Organizations can also use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of an information system and can exercise both physical and technical security controls. A standard method for penetration testing includes, for example: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before the commencement of penetration testing scenarios. Organizations correlate the penetration testing rules of engagement with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Organizational risk assessments guide decisions on the level of independence required for personnel conducting penetration testing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-8-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems or system components on which penetration testing is to be conducted;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-8[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-8-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to conduct penetration testing on organization-defined information systems or system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-8[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-8-3.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts penetration testing on organization-defined information systems or system components with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-8[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing penetration testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003epenetration test report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities, system/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting penetration testing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.8.1.", + "title": "INDEPENDENT PENETRATION AGENT OR TEAM", + "props": [ + { + "class": "name", + "value": "CA-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndependent penetration agents or teams are individuals or groups who conduct impartial penetration testing of organizational information systems. Impartiality implies that penetration agents or teams are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the information systems that are the targets of the penetration testing. Supplemental guidance for CA-2 (1) provides additional information regarding independent assessments that can be applied to penetration testing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing penetration testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003epenetration test report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.8.2.", + "title": "RED TEAM EXERCISES", + "props": [ + { + "class": "name", + "value": "CA-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"ca-8_c\"/\u003e to simulate attempts by adversaries to compromise organizational information systems in accordance with \u003cinsert param-id=\"ca-8_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRed team exercises extend the objectives of penetration testing by examining the security posture of organizations and their ability to implement effective cyber defenses. As such, red team exercises reflect simulated adversarial attempts to compromise organizational mission/business functions and provide a comprehensive assessment of the security state of information systems and organizations. Simulated adversarial attempts to compromise organizational missions/business functions and the information systems that support those missions/functions may include technology-focused attacks (e.g., interactions with hardware, software, or firmware components and/or mission/business processes) and social engineering-based attacks (e.g., interactions via email, telephone, shoulder surfing, or personal conversations). While penetration testing may be largely laboratory-based testing, organizations use red team exercises to provide more comprehensive assessments that reflect real-world conditions. Red team exercises can be used to improve security awareness and training and to assess levels of security control effectiveness.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ca-8.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines red team exercises to be employed to simulate attempts by adversaries to compromise organizational information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-8(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-8.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines rules of engagement for employing organization-defined red team exercises; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-8(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ca-8.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined red team exercises to simulate attempts by adversaries to compromise organizational information systems in accordance with organization-defined rules of engagement.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-8(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing penetration testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing red team exercises\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eresults of red team exercise\u003c/p\u003e", + "\u003cp class=\"object\"\u003epenetration test report\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules of engagement\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting employment of red team exercises\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ca-8_c", + "desc": "organization-defined red team exercises", + "value": "organization-defined red team exercises" + }, + { + "id": "ca-8_d", + "desc": "organization-defined rules of engagement", + "value": "organization-defined rules of engagement" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ca.9", + "title": "INTERNAL SYSTEM CONNECTIONS", + "params": [ + { + "id": "ca-9_a", + "desc": "organization-defined information system components or classes of components", + "value": "organization-defined information system components or classes of components" + } + ], + "props": [ + { + "class": "name", + "value": "CA-9" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ca-9a.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes internal connections of \u003cinsert param-id=\"ca-9_a\"/\u003e to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9a." + } + ] + }, + { + "class": "item", + "id": "smm_ca-9b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments, for each internal connection, the interface characteristics, security requirements, and the nature of the information communicated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to connections between organizational information systems and (separate) constituent system components (i.e., intra-system connections) including, for example, system connections with mobile devices, notebook/desktop computers, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal connection, organizations can authorize internal connections for a class of components with common characteristics and/or configurations, for example, all digital printers, scanners, and copiers with a specified processing, storage, and transmission capability or all smart phones with a specific baseline configuration.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#au.2" + }, + { + "href": "#au.12" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-9.a.", + "props": [ + { + "class": "name", + "value": "CA-9(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-9.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components or classes of components to be authorized as internal connections to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-9.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes internal connections of organization-defined information system components or classes of components to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ca-9.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments, for each internal connection:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ca-9.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe interface characteristics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-9.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe security requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ca-9.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe nature of the information communicated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9(b)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of components or classes of components authorized as internal system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for developing, implementing, or authorizing internal system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.9.1.", + "title": "SECURITY COMPLIANCE CHECKS", + "props": [ + { + "class": "name", + "value": "CA-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system performs security compliance checks on constituent system components prior to the establishment of the internal connection.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity compliance checks may include, for example, verification of the relevant baseline configuration.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system performs security compliance checks on constituent system components prior to the establishment of the internal connection. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of components or classes of components authorized as internal system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for developing, implementing, or authorizing internal system connections\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting compliance checks\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "CONFIGURATION MANAGEMENT", + "controls": [ + { + "class": "SP800-53", + "id": "cm.1", + "title": "CONFIGURATION MANAGEMENT POLICY AND PROCEDURES", + "params": [ + { + "id": "cm-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "cm-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"cm-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_cm-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_cm-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the configuration management policy and associated configuration management controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_cm-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_cm-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eConfiguration management policy \u003cinsert param-id=\"cm-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_cm-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eConfiguration management procedures \u003cinsert param-id=\"cm-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-1.a.1.", + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a configuration management policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the configuration management policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the configuration management policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.2.", + "props": [ + { + "class": "name", + "value": "CM-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the configuration management policy and associated configuration management controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.b.1.", + "props": [ + { + "class": "name", + "value": "CM-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current configuration management policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current configuration management policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.b.2.", + "props": [ + { + "class": "name", + "value": "CM-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current configuration management procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current configuration management procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.2", + "title": "BASELINE CONFIGURATION", + "props": [ + { + "class": "name", + "value": "CM-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control establishes baseline configurations for information systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + }, + { + "href": "#cm.9" + }, + { + "href": "#sa.10" + }, + { + "href": "#pm.5" + }, + { + "href": "#pm.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-2-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a current baseline configuration of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-2-2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains, under configuration control, a current baseline configuration of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting configuration control of the baseline configuration\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.2.1.", + "title": "REVIEWS AND UPDATES", + "props": [ + { + "class": "name", + "value": "CM-2 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reviews and updates the baseline configuration of the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-2.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"cm-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-2.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required due to \u003cinsert param-id=\"cm-2_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2 (1)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-2.1.c.", + "prose": [ + "\u003cp class=\"description\"\u003eAs an integral part of information system component installations and upgrades.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2 (1)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cm.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.1.a.", + "props": [ + { + "class": "name", + "value": "CM-2(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the baseline configuration of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the baseline configuration of the information system with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(1)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.1.b.", + "props": [ + { + "class": "name", + "value": "CM-2(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines circumstances that require the baseline configuration of the information system to be reviewed and updated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(1)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the baseline configuration of the information system when required due to organization-defined circumstances; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(1)(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the baseline configuration of the information system as an integral part of information system component installations and upgrades.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(1)(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component installations and upgrades\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of information system baseline configuration reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system component installations/upgrades and associated records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting review and update of the baseline configuration\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-2_b", + "desc": "Assignment organization-defined circumstances", + "value": "Assignment organization-defined circumstances" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.2.", + "title": "AUTOMATION SUPPORT FOR ACCURACY / CURRENCY", + "props": [ + { + "class": "name", + "value": "CM-2 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms that help organizations maintain consistent baseline configurations for information systems include, for example, hardware and software inventory tools, configuration management tools, and network management tools. Such tools can be deployed and/or allocated as common controls, at the information system level, or at the operating system or component level (e.g., on workstations, servers, notebook computers, network components, or mobile devices). Tools can be used, for example, to track version numbers on operating system applications, types of software installed, and current patch levels. This control enhancement can be satisfied by the implementation of CM-8 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + }, + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to maintain: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ean up-to-date baseline configuration of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ea complete baseline configuration of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ean accurate baseline configuration of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ea readily available baseline configuration of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration change control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing baseline configuration maintenance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.3.", + "title": "RETENTION OF PREVIOUS CONFIGURATIONS", + "props": [ + { + "class": "name", + "value": "CM-2 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization retains \u003cinsert param-id=\"cm-2_c\"/\u003e to support rollback.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRetaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines previous versions of baseline configurations of the information system to be retained to support rollback; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains organization-defined previous versions of baseline configurations of the information system to support rollback.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecopies of previous baseline configuration versions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-2_c", + "desc": "organization-defined previous versions of baseline configurations of the information system", + "value": "organization-defined previous versions of baseline configurations of the information system" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.4.", + "title": "UNAUTHORIZED SOFTWARE", + "props": [ + { + "class": "name", + "value": "CM-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.5.", + "title": "AUTHORIZED SOFTWARE", + "props": [ + { + "class": "name", + "value": "CM-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.6.", + "title": "DEVELOPMENT AND TEST ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "CM-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEstablishing separate baseline configurations for development, testing, and operational environments helps protect information systems from unplanned/unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, management of operational configurations typically emphasizes the need for stability, while management of development/test configurations requires greater flexibility. Configurations in the test environment mirror the configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. This control enhancement requires separate configurations but not necessarily separate physical environments.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.4" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing separate baseline configurations for development, test, and operational environments\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.7.", + "title": "CONFIGURE SYSTEMS, COMPONENTS, OR DEVICES FOR HIGH-RISK AREAS", + "props": [ + { + "class": "name", + "value": "CM-2 (7)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-2.7.a.", + "prose": [ + "\u003cp class=\"description\"\u003eIssues \u003cinsert param-id=\"cm-2_d\"/\u003e with \u003cinsert param-id=\"cm-2_e\"/\u003e to individuals traveling to locations that the organization deems to be of significant risk; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-2.7.b.", + "prose": [ + "\u003cp class=\"description\"\u003eApplies \u003cinsert param-id=\"cm-2_f\"/\u003e to the devices when the individuals return.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2 (7)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen it is known that information systems, system components, or devices (e.g., notebook computers, mobile devices) will be located in high-risk areas, additional security controls may be implemented to counter the greater threat in such areas coupled with the lack of physical security relative to organizational-controlled areas. For example, organizational policies and procedures for notebook computers used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific safeguards to the device after travel is completed. Specially configured notebook computers include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified safeguards applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.7.a.", + "props": [ + { + "class": "name", + "value": "CM-2(7)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems, system components, or devices to be issued to individuals traveling to locations that the organization deems to be of significant risk;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(7)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines configurations to be employed on organization-defined information systems, system components, or devices issued to individuals traveling to such locations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(7)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.7.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eissues organization-defined information systems, system components, or devices with organization-defined configurations to individuals traveling to locations that the organization deems to be of significant risk;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(7)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.7.b.", + "props": [ + { + "class": "name", + "value": "CM-2(7)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-2.7.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be applied to the devices when the individuals return; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(7)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-2.7.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eapplies organization-defined safeguards to the devices when the individuals return.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2(7)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component installations and upgrades\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of information system baseline configuration reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system component installations/upgrades and associated records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-2_d", + "desc": "organization-defined information systems, system components, or devices", + "value": "organization-defined information systems, system components, or devices" + }, + { + "id": "cm-2_e", + "desc": "organization-defined configurations", + "value": "organization-defined configurations" + }, + { + "id": "cm-2_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.3", + "title": "CONFIGURATION CHANGE CONTROL", + "params": [ + { + "id": "cm-3_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "cm-3_b", + "desc": "organization-defined configuration change control element (e.g., committee, board)", + "value": "organization-defined configuration change control element (e.g., committee, board)" + }, + { + "id": "cm-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-3_d", + "desc": "organization-defined configuration change conditions", + "value": "organization-defined configuration change conditions" + } + ], + "props": [ + { + "class": "name", + "value": "CM-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines the types of changes to the information system that are configuration-controlled;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3a." + } + ] + }, + { + "class": "item", + "id": "smm_cm-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3b." + } + ] + }, + { + "class": "item", + "id": "smm_cm-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments configuration change decisions associated with the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3c." + } + ] + }, + { + "class": "item", + "id": "smm_cm-3d.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements approved configuration-controlled changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3d." + } + ] + }, + { + "class": "item", + "id": "smm_cm-3e.", + "prose": [ + "\u003cp class=\"description\"\u003eRetains records of configuration-controlled changes to the information system for \u003cinsert param-id=\"cm-3_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3e." + } + ] + }, + { + "class": "item", + "id": "smm_cm-3f.", + "prose": [ + "\u003cp class=\"description\"\u003eAudits and reviews activities associated with configuration-controlled changes to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3f." + } + ] + }, + { + "class": "item", + "id": "smm_cm-3g.", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinates and provides oversight for configuration change control activities through \u003cinsert param-id=\"cm-3_b\"/\u003e that convenes [Selection (one or more): \u003cinsert param-id=\"cm-3_c\"/\u003e; \u003cinsert param-id=\"cm-3_d\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConfiguration change controls for organizational information systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of information systems, changes to configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical processes for managing configuration changes to information systems include, for example, Configuration Control Boards that approve proposed changes to systems. For new development information systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards. Auditing of changes includes activities before and after changes are made to organizational information systems and the auditing activities required to implement such changes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.9" + }, + { + "href": "#sa.10" + }, + { + "href": "#si.2" + }, + { + "href": "#si.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines the type of changes to the information system that must be configuration-controlled;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments configuration change decisions associated with the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements approved configuration-controlled changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.e.", + "props": [ + { + "class": "name", + "value": "CM-3(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-3.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period to retain records of configuration-controlled changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains records of configuration-controlled changes to the information system for the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(e)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.f.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudits and reviews activities associated with configuration-controlled changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(f)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.g.", + "props": [ + { + "class": "name", + "value": "CM-3(g)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-3.g.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a configuration change control element (e.g., committee, board) responsible for coordinating and providing oversight for configuration change control activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(g)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.g.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency with which the configuration change control element must convene; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(g)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.g.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines configuration change conditions that prompt the configuration change control element to convene; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(g)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-3.g.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates and provides oversight for configuration change control activities through organization-defined configuration change control element that convenes at organization-defined frequency and/or for any organization-defined configuration change conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(g)[4]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control audit and review reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eagenda /minutes from configuration change control oversight meetings\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003emembers of change control board or similar\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms that implement configuration change control\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.3.1.", + "title": "AUTOMATED DOCUMENT / NOTIFICATION / PROHIBITION OF CHANGES", + "props": [ + { + "class": "name", + "value": "CM-3 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-3.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eDocument proposed changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-3.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eNotify \u003cinsert param-id=\"cm-3_e\"/\u003e of proposed changes to the information system and request change approval;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-3.1.c.", + "prose": [ + "\u003cp class=\"description\"\u003eHighlight proposed changes to the information system that have not been approved or disapproved by \u003cinsert param-id=\"cm-3_f\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-3.1.d.", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit changes to the information system until designated approvals are received;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(d)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-3.1.e.", + "prose": [ + "\u003cp class=\"description\"\u003eDocument all changes to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(e)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-3.1.f.", + "prose": [ + "\u003cp class=\"description\"\u003eNotify \u003cinsert param-id=\"cm-3_g\"/\u003e when approved changes to the information system are completed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(f)" + } + ] + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to document proposed changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.b.", + "props": [ + { + "class": "name", + "value": "CM-3(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines approval authorities to be notified of proposed changes to the information system and request change approval;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to notify organization-defined approval authorities of proposed changes to the information system and request change approval;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.c.", + "props": [ + { + "class": "name", + "value": "CM-3(1)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.1.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which proposed changes to the information system that have not been approved or disapproved must be highlighted;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to highlight proposed changes to the information system that have not been approved or disapproved by organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to prohibit changes to the information system until designated approvals are received;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(d)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to document all changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(e)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.f.", + "props": [ + { + "class": "name", + "value": "CM-3(1)(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.1.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel to be notified when approved changes to the information system are completed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.1.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to notify organization-defined personnel when approved changes to the information system are completed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(1)(f)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated configuration control mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange approval requests\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange approvals\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing configuration change control activities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-3_e", + "desc": "organized-defined approval authorities", + "value": "organized-defined approval authorities" + }, + { + "id": "cm-3_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "cm-3_g", + "desc": "organization-defined personnel", + "value": "organization-defined personnel" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.2.", + "title": "TEST / VALIDATE / DOCUMENT CHANGES", + "props": [ + { + "class": "name", + "value": "CM-3 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests, validates, and documents changes to the information system before implementing the changes on the operational system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eChanges to information systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with information system operations. Individuals/groups conducting tests understand organizational security policies and procedures, information system security policies and procedures, and the specific health, safety, and environmental risks associated with particular facilities/processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If information systems must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. If testing cannot be conducted on operational systems, organizations employ compensating controls (e.g., testing on replicated systems).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, before implementing changes on the operational system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003etests changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003evalidates changes to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments changes to the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest records\u003c/p\u003e", + "\u003cp class=\"object\"\u003evalidation records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing testing, validating, and documenting information system changes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.3.", + "title": "AUTOMATED CHANGE IMPLEMENTATION", + "props": [ + { + "class": "name", + "value": "CM-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to implement changes to the current information system baseline; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edeploys the updated baseline across the installed base.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated configuration control mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing changes to current information system baseline\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.4.", + "title": "SECURITY REPRESENTATIVE", + "props": [ + { + "class": "name", + "value": "CM-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires an information security representative to be a member of the \u003cinsert param-id=\"cm-3_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation security representatives can include, for example, senior agency information security officers, information system security officers, or information system security managers. Representation by personnel with information security expertise is important because changes to information system configurations can have unintended side effects, some of which may be security-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security state of organizational information systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003especifies the configuration change control elements (as defined in CM-3g) of which an information security representative is to be a member; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires an information security representative to be a member of the specified configuration control element.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration change control\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-3_h", + "desc": "organization-defined configuration change control element", + "value": "organization-defined configuration change control element" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.5.", + "title": "AUTOMATED SECURITY RESPONSE", + "props": [ + { + "class": "name", + "value": "CM-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"cm-3_i\"/\u003e automatically if baseline configurations are changed in an unauthorized manner.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity responses include, for example, halting information system processing, halting selected system functions, or issuing alerts/notifications to organizational personnel when there is an unauthorized modification of a configuration item.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security responses to be implemented automatically if baseline configurations are changed in an unauthorized manner; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined security responses automatically if baseline configurations are changed in an unauthorized manner.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications of unauthorized baseline configuration changes\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing security responses to changes to the baseline configurations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-3_i", + "desc": "organization-defined security responses", + "value": "organization-defined security responses" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.6.", + "title": "CRYPTOGRAPHY MANAGEMENT", + "props": [ + { + "class": "name", + "value": "CM-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that cryptographic mechanisms used to provide \u003cinsert param-id=\"cm-3_j\"/\u003e are under configuration management.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRegardless of the cryptographic means employed (e.g., public key, private key, shared secrets), organizations ensure that there are processes and procedures in place to effectively manage those means. For example, if devices use certificates as a basis for identification and authentication, there needs to be a process in place to address the expiration of those certificates.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-3.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards provided by cryptographic mechanisms that are to be under configuration management; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-3.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that cryptographic mechanisms used to provide organization-defined security safeguards are under configuration management.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms implementing organizational security safeguards\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-3_j", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.4", + "title": "SECURITY IMPACT ANALYSIS", + "props": [ + { + "class": "name", + "value": "CM-4" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization analyzes changes to the information system to determine potential security impacts prior to change implementation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities (e.g., Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers) conduct security impact analyses. Individuals conducting security impact analyses possess the necessary skills/technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing security plans to understand security control requirements and reviewing system design documentation to understand control implementation and how specific changes might affect the controls. Security impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security controls are required. Security impact analyses are scaled in accordance with the security categories of the information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.9" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.10" + }, + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization analyzes changes to the information system to determine potential security impacts prior to change implementation.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security impact analysis for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity impact analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanalysis tools and associated outputs\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for conducting security impact analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security impact analysis\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.4.1.", + "title": "SEPARATE TEST ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "CM-4 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization analyzes changes to the information system in a separate test environment before implementation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSeparate test environment in this context means an environment that is physically or logically isolated and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not used, organizations determine the strength of mechanism required when implementing logical separation (e.g., separation achieved through virtual machines).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.11" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-4.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalyzes changes to the information system in a separate test environment before implementation in an operational environment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-4.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen analyzing changes to the information system in a separate test environment, looks for security impacts due to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-4.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eflaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-4.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eweaknesses;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(1)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-4.1.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eincompatibility; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(1)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-4.1.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eintentional malice.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(1)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security impact analysis for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity impact analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanalysis tools and associated outputs information system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation evidence of separate test and operational environments\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for conducting security impact analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security impact analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security impact analysis of changes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.4.2.", + "title": "VERIFICATION OF SECURITY FUNCTIONS", + "props": [ + { + "class": "name", + "value": "CM-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eImplementation is this context refers to installing changed code in the operational information system.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, after the information system is changed, checks the security functions to verify that the functions are:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplemented correctly;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eoperating as intended; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-4.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eproducing the desired outcome with regard to meeting the security requirements for the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-4(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security impact analysis for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity impact analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanalysis tools and associated outputs\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for conducting security impact analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security impact analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing verification of security functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.5", + "title": "ACCESS RESTRICTIONS FOR CHANGE", + "props": [ + { + "class": "name", + "value": "CM-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAny changes to the hardware, software, and/or firmware components of information systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access information systems for purposes of initiating changes, including upgrades and modifications. Organizations maintain records of access to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#pe.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-5-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines physical access restrictions associated with changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-5-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments physical access restrictions associated with changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-5-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves physical access restrictions associated with changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-5-4.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces physical access restrictions associated with changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-5-5.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines logical access restrictions associated with changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[5]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-5-6.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments logical access restrictions associated with changes to the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[6]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-5-7.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves logical access restrictions associated with changes to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[7]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-5-8.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces logical access restrictions associated with changes to the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5[8]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elogical access approvals\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access approvals\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with logical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting/implementing/enforcing access restrictions associated with changes to the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.5.1.", + "title": "AUTOMATED ACCESS ENFORCEMENT / AUDITING", + "props": [ + { + "class": "name", + "value": "CM-5 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces access restrictions and supports auditing of the enforcement actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + }, + { + "href": "#au.6" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-5.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces access restrictions for change; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esupports auditing of the enforcement actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing enforcement of access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting auditing of enforcement actions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.2.", + "title": "REVIEW SYSTEM CHANGES", + "props": [ + { + "class": "name", + "value": "CM-5 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reviews information system changes \u003cinsert param-id=\"cm-5_a\"/\u003e and \u003cinsert param-id=\"cm-5_b\"/\u003e to determine whether unauthorized changes have occurred.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndications that warrant review of information system changes and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#pe.6" + }, + { + "href": "#pe.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, in an effort to ascertain whether unauthorized changes have occurred:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-5.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review information system changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines circumstances that warrant review of information system changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews information system changes with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews information system changes with the organization-defined circumstances.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereviews of information system changes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit and review reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting/implementing information system reviews to determine whether unauthorized changes have occurred\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-5_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-5_b", + "desc": "organization-defined circumstances", + "value": "organization-defined circumstances" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.3.", + "title": "SIGNED COMPONENTS", + "props": [ + { + "class": "name", + "value": "CM-5 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents the installation of \u003cinsert param-id=\"cm-5_c\"/\u003e without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSoftware and firmware components prevented from installation unless signed with recognized and approved certificates include, for example, software and firmware version updates, patches, service packs, device drivers, and basic input output system (BIOS) updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures, is a method of code authentication.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + }, + { + "href": "#sc.13" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-5.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines software and firmware components that the information system will prevent from being installed without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents the installation of organization-defined software and firmware components without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of software and firmware components to be prohibited from installation without a recognized and approved certificate\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms preventing installation of software and firmware components not signed with an organization-recognized and approved certificate\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-5_c", + "desc": "organization-defined software and firmware components", + "value": "organization-defined software and firmware components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.4.", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "CM-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization enforces dual authorization for implementing changes to \u003cinsert param-id=\"cm-5_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ dual authorization to ensure that any changes to selected information system components and information cannot occur unless two qualified individuals implement such changes. The two individuals possess sufficient skills/expertise to determine if the proposed changes are correct implementations of approved changes. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.5" + }, + { + "href": "#cm.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-5.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components and system-level information requiring dual authorization to be enforced when implementing changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces dual authorization for implementing changes to organization-defined information system components and system-level information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with dual authorization enforcement responsibilities for implementing information system changes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing dual authorization enforcement\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-5_d", + "desc": "organization-defined information system components and system-level information", + "value": "organization-defined information system components and system-level information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.5.", + "title": "LIMIT PRODUCTION / OPERATIONAL PRIVILEGES", + "props": [ + { + "class": "name", + "value": "CM-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-5.5.a.", + "prose": [ + "\u003cp class=\"description\"\u003eLimits privileges to change information system components and system-related information within a production or operational environment; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-5.5.b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and reevaluates privileges \u003cinsert param-id=\"cm-5_e\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5 (5)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn many organizations, information systems support multiple core missions/business functions. Limiting privileges to change information system components with respect to operational systems is necessary because changes to a particular information system component may have far-reaching effects on mission/business processes supported by the system where the component resides. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-5.5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003elimits privileges to change information system components and system-related information within a production or operational environment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(5)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.5.b.", + "props": [ + { + "class": "name", + "value": "CM-5(5)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-5.5.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and reevaluate privileges; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(5)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-5.5.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and reevaluates privileges with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5(5)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003euser privilege reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003euser privilege recertifications\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing access restrictions for change\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-5_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.6.", + "title": "LIMIT LIBRARY PRIVILEGES", + "props": [ + { + "class": "name", + "value": "CM-5 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization limits privileges to change software resident within software libraries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSoftware libraries include privileged programs.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization limits privileges to change software resident within software libraries.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing access restrictions for change\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.7.", + "title": "AUTOMATIC IMPLEMENTATION OF SECURITY SAFEGUARDS", + "props": [ + { + "class": "name", + "value": "CM-5 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.7" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "cm.6", + "title": "CONFIGURATION SETTINGS", + "params": [ + { + "id": "cm-6_a", + "desc": "organization-defined security configuration checklists", + "value": "organization-defined security configuration checklists" + }, + { + "id": "cm-6_b", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "cm-6_c", + "desc": "organization-defined operational requirements", + "value": "organization-defined operational requirements" + } + ], + "props": [ + { + "class": "name", + "value": "CM-6" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes and documents configuration settings for information technology products employed within the information system using \u003cinsert param-id=\"cm-6_a\"/\u003e that reflect the most restrictive mode consistent with operational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6a." + } + ] + }, + { + "class": "item", + "id": "smm_cm-6b.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements the configuration settings;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6b." + } + ] + }, + { + "class": "item", + "id": "smm_cm-6c.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies, documents, and approves any deviations from established configuration settings for \u003cinsert param-id=\"cm-6_b\"/\u003e based on \u003cinsert param-id=\"cm-6_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6c." + } + ] + }, + { + "class": "item", + "id": "smm_cm-6d.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors and controls changes to the configuration settings in accordance with organizational policies and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConfiguration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of the systems configuration baseline. Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the United States Government Configuration Baseline (USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.7" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-6.a.", + "props": [ + { + "class": "name", + "value": "CM-6(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-6.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security configuration checklists to be used to establish and document configuration settings for the information technology products employed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures the defined security configuration checklists reflect the most restrictive mode consistent with operational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes and documents configuration settings for information technology products employed within the information system using organization-defined security configuration checklists;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements the configuration settings established/documented in CM-6(a);;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.", + "props": [ + { + "class": "name", + "value": "CM-6(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-6.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components for which any deviations from established configuration settings must be:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-6.c.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentified;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocumented;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproved;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines operational requirements to support:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-6.c.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe identification of any deviations from established configuration settings;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe documentation of any deviations from established configuration settings;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe approval of any deviations from established configuration settings;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[2][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.c.5.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(c)[5]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.d.", + "props": [ + { + "class": "name", + "value": "CM-6(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-6.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors changes to the configuration settings in accordance with organizational policies and procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-6.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols changes to the configuration settings in accordance with organizational policies and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration settings for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence supporting approved deviations from established configuration settings\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + 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"class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.6.1.", + "title": "AUTOMATED CENTRAL MANAGEMENT / APPLICATION / VERIFICATION", + "props": [ + { + "class": "name", + "value": "CM-6 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to centrally manage, apply, and verify configuration settings for \u003cinsert param-id=\"cm-6_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#cm.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-6.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components for which automated mechanisms are to be employed to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-6.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecentrally manage configuration settings of such components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-6.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eapply configuration settings of such components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-6.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003everify configuration settings of such components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-6.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-6.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecentrally manage configuration settings for organization-defined information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-6.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eapply configuration settings for organization-defined information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-6.1.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003everify configuration settings for organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(1)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration settings for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing configuration settings\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implemented to centrally manage, apply, and verify information system configuration settings\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-6_d", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.6.2.", + "title": "RESPOND TO UNAUTHORIZED CHANGES", + "props": [ + { + "class": "name", + "value": "CM-6 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"cm-6_e\"/\u003e to respond to unauthorized changes to \u003cinsert param-id=\"cm-6_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eResponses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected information system processing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.4" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-6.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines configuration settings that, if modified by unauthorized changes, result in organizational security safeguards being employed to respond to such changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-6.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to respond to unauthorized changes to organization-defined configuration settings; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-6.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards to respond to unauthorized changes to organization-defined configuration settings.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration settings for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications of unauthorized changes to information system configuration settings\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumented responses to unauthorized changes to information system configuration settings\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for responding to unauthorized changes to information system configuration settings\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security safeguards for response to unauthorized changes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-6_e", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "cm-6_f", + "desc": "organization-defined configuration settings", + "value": "organization-defined configuration settings" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.6.3.", + "title": "UNAUTHORIZED CHANGE DETECTION", + "props": [ + { + "class": "name", + "value": "CM-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.6.4.", + "title": "CONFORMANCE DEMONSTRATION", + "props": [ + { + "class": "name", + "value": "CM-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.4" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2007/m07-11.pdf", + "value": "OMB Memorandum 07-11" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2007/m07-18.pdf", + "value": "OMB Memorandum 07-18" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2008/m08-22.pdf", + "value": "OMB Memorandum 08-22" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-70", + "value": "NIST Special Publication 800-70" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + }, + { + "citations": [ + { + "href": "http://nvd.nist.gov", + "value": "http://nvd.nist.gov" + } + ] + }, + { + "citations": [ + { + "href": "http://checklists.nist.gov", + "value": "http://checklists.nist.gov" + } + ] + }, + { + "citations": [ + { + "href": "http://www.nsa.gov", + "value": "http://www.nsa.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.7", + "title": "LEAST FUNCTIONALITY", + "params": [ + { + "id": "cm-7_a", + "desc": "organization-defined prohibited or restricted functions, ports, protocols, and/or services", + "value": "organization-defined prohibited or restricted functions, ports, protocols, and/or services" + } + ], + "props": [ + { + "class": "name", + "value": "CM-7" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-7a.", + "prose": [ + "\u003cp class=\"description\"\u003eConfigures the information system to provide only essential capabilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7a." + } + ] + }, + { + "class": "item", + "id": "smm_cm-7b.", + "prose": [ + "\u003cp class=\"description\"\u003eProhibits or restricts the use of the following functions, ports, protocols, and/or services: \u003cinsert param-id=\"cm-7_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems can provide a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from single information system components, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email servers or web servers, but not both). Organizations review functions and services provided by information systems or individual components of information systems, to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing). Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#cm.2" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.5" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-7.a.", + "prose": [ + "\u003cp class=\"decision\"\u003econfigures the information system to provide only essential capabilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.", + "props": [ + { + "class": "name", + "value": "CM-7(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-7.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines prohibited or restricted:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-7.b.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[1][d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits or restricts the use of organization-defined:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-7.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-7.b.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(b)[2][d]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes prohibiting or restricting functions, ports, protocols, and/or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing restrictions or prohibition of functions, ports, protocols, and/or services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.7.1.", + "title": "PERIODIC REVIEW", + "props": [ + { + "class": "name", + "value": "CM-7 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-7.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the information system \u003cinsert param-id=\"cm-7_b\"/\u003e to identify unnecessary and/or nonsecure functions, ports, protocols, and services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-7.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eDisables \u003cinsert param-id=\"cm-7_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe organization can either make a determination of the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are examples of less than secure protocols.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#cm.7" + }, + { + "href": "#ia.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.1.a.", + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the information system to identify unnecessary and/or nonsecure:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.1.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.a.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.a.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1][d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the information system with the organization-defined frequency to identify unnecessary and/or nonsecure:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.1.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.a.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.a.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.", + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines, within the information system, unnecessary and/or nonsecure:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.1.b.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1][d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edisables organization-defined unnecessary and/or nonsecure:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.1.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.1.b.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2][d]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumented reviews of functions, ports, protocols, and/or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for reviewing/disabling nonsecure functions, ports, protocols, and/or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing review and disabling of nonsecure functions, ports, protocols, and/or services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-7_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-7_c", + "desc": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure", + "value": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.7.2.", + "title": "PREVENT PROGRAM EXECUTION", + "props": [ + { + "class": "name", + "value": "CM-7 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents program execution in accordance with [Selection (one or more): \u003cinsert param-id=\"cm-7_d\"/\u003e; rules authorizing the terms and conditions of software program usage].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cm.8" + }, + { + "href": "#pm.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines policies regarding software program usage and restrictions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents program execution in accordance with one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(2)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined policies regarding program usage and restrictions; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(2)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erules authorizing the terms and conditions of software program usage.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(2)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003especifications for preventing software program execution\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes preventing program execution on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for software program usage and restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms preventing program execution on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing software program usage and restrictions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-7_d", + "desc": "organization-defined policies regarding software program usage and restrictions", + "value": "organization-defined policies regarding software program usage and restrictions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.7.3.", + "title": "REGISTRATION COMPLIANCE", + "props": [ + { + "class": "name", + "value": "CM-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures compliance with \u003cinsert param-id=\"cm-7_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations use the registration process to manage, track, and provide oversight for information systems and implemented functions, ports, protocols, and services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines registration requirements for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.3.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.3.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.3.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.3.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[1][d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures compliance with organization-defined registration requirements for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.3.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.3.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.3.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotocols; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.3.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eservices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(3)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit and compliance reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes ensuring compliance with registration requirements for functions, ports, protocols, and/or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing compliance with registration requirements for functions, ports, protocols, and/or services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-7_e", + "desc": "organization-defined registration requirements for functions, ports, protocols, and services", + "value": "organization-defined registration requirements for functions, ports, protocols, and services" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.7.4.", + "title": "UNAUTHORIZED SOFTWARE / BLACKLISTING", + "props": [ + { + "class": "name", + "value": "CM-7 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-7.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies \u003cinsert param-id=\"cm-7_f\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-7.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-7.4.c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the list of unauthorized software programs \u003cinsert param-id=\"cm-7_g\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (4)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe process used to identify software programs that are not authorized to execute on organizational information systems is commonly referred to as blacklisting. Organizations can implement CM-7 (5) instead of this control enhancement if whitelisting (the stronger of the two policies) is the preferred approach for restricting software program execution.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + }, + { + "href": "#pm.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eIdentifies/defines software programs not authorized to execute on the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(4)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(4)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.4.c.", + "props": [ + { + "class": "name", + "value": "CM-7(4)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the list of unauthorized software programs on the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(4)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the list of unauthorized software programs with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(4)(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of software programs not authorized to execute on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereview and update records associated with list of unauthorized software programs\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for identifying software not authorized to execute on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for identifying, reviewing, and updating programs not authorized to execute on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for implementing blacklisting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing blacklisting\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-7_f", + "desc": "organization-defined software programs not authorized to execute on the information system", + "value": "organization-defined software programs not authorized to execute on the information system" + }, + { + "id": "cm-7_g", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.7.5.", + "title": "AUTHORIZED SOFTWARE / WHITELISTING", + "props": [ + { + "class": "name", + "value": "CM-7 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-7.5.a.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies \u003cinsert param-id=\"cm-7_h\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-7.5.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (5)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-7.5.c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the list of authorized software programs \u003cinsert param-id=\"cm-7_i\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (5)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe process used to identify software programs that are authorized to execute on organizational information systems is commonly referred to as whitelisting. In addition to whitelisting, organizations consider verifying the integrity of white-listed software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + }, + { + "href": "#pm.5" + }, + { + "href": "#sa.10" + }, + { + "href": "#sc.34" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eIdentifies/defines software programs authorized to execute on the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(5)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(5)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.5.c.", + "props": [ + { + "class": "name", + "value": "CM-7(5)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-7.5.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the list of authorized software programs on the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(5)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-7.5.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the list of authorized software programs with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7(5)(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of software programs authorized to execute on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereview and update records associated with list of authorized software programs\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for identifying software authorized to execute on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for identifying, reviewing, and updating programs authorized to execute on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for implementing whitelisting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing whitelisting\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-7_h", + "desc": "organization-defined software programs authorized to execute on the information system", + "value": "organization-defined software programs authorized to execute on the information system" + }, + { + "id": "cm-7_i", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.dtic.mil/whs/directives/corres/ins1.html", + "value": "DoD Instruction 8551.01" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.8", + "title": "INFORMATION SYSTEM COMPONENT INVENTORY", + "params": [ + { + "id": "cm-8_a", + "desc": "organization-defined information deemed necessary to achieve effective information system component accountability", + "value": "organization-defined information deemed necessary to achieve effective information system component accountability" + }, + { + "id": "cm-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops and documents an inventory of information system components that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_cm-8a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAccurately reflects the current information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a.1." + } + ] + }, + { + "class": "item", + "id": "sms_cm-8a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes all components within the authorization boundary of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a.2." + } + ] + }, + { + "class": "item", + "id": "sms_cm-8a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eIs at the level of granularity deemed necessary for tracking and reporting; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a.3." + } + ] + }, + { + "class": "item", + "id": "sms_cm-8a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes \u003cinsert param-id=\"cm-8_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_cm-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the information system component inventory \u003cinsert param-id=\"cm-8_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include, for example, manufacturer, device type, model, serial number, and physical location.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + }, + { + "href": "#pm.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-8.a.", + "props": [ + { + "class": "name", + "value": "CM-8(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-8.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an inventory of information system components that accurately reflects the current information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(a)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-8.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an inventory of information system components that includes all components within the authorization boundary of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(a)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-8.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an inventory of information system components that is at the level of granularity deemed necessary for tracking and reporting;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(a)(3)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-8.a.4.", + "props": [ + { + "class": "name", + "value": "CM-8(a)(4)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-8.a.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the information deemed necessary to achieve effective information system component accountability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(a)(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-8.a.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an inventory of information system components that includes organization-defined information deemed necessary to achieve effective information system component accountability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(a)(4)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-8.b.", + "props": [ + { + "class": "name", + "value": "CM-8(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-8.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the information system component inventory; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-8.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the information system component inventory with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einventory reviews and update records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for developing and documenting an inventory of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the information system component inventory\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.8.1.", + "title": "UPDATES DURING INSTALLATIONS / REMOVALS", + "props": [ + { + "class": "name", + "value": "CM-8 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization updates the inventory of information system components as an integral part of:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ecomponent installations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecomponent removals; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation system updates.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einventory reviews and update records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecomponent installation records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecomponent removal records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for updating the information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for updating inventory of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing updating of the information system component inventory\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.2.", + "title": "AUTOMATED MAINTENANCE", + "props": [ + { + "class": "name", + "value": "CM-8 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations maintain information system inventories to the extent feasible. Virtual machines, for example, can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. This control enhancement can be satisfied by the implementation of CM-2 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to maintain an inventory of information system components that is:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eup-to-date;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecomplete;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccurate; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ereadily available.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for managing the automated mechanisms implementing the information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maintaining the inventory of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing the information system component inventory\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.3.", + "title": "AUTOMATED UNAUTHORIZED COMPONENT DETECTION", + "props": [ + { + "class": "name", + "value": "CM-8 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-8.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys automated mechanisms \u003cinsert param-id=\"cm-8_c\"/\u003e to detect the presence of unauthorized hardware, software, and firmware components within the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-8.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eTakes the following actions when unauthorized components are detected: [Selection (one or more): disables network access by such components; isolates the components; notifies \u003cinsert param-id=\"cm-8_d\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented within information systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized information system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ca.7" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + }, + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.3.a.", + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to employ automated mechanisms to detect the presence of unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.3.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ehardware components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.a.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms with the organization-defined frequency to detect the presence of unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.3.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ehardware components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.a.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.b.", + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified when unauthorized components are detected;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etakes one or more of the following actions when unauthorized components are detected:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.3.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edisables network access by such components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eisolates the components; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.3.b.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[2][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications of unauthorized components within the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized information system component detection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for detection of unauthorized information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing the detection of unauthorized information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-8_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.4.", + "title": "ACCOUNTABILITY INFORMATION", + "props": [ + { + "class": "name", + "value": "CM-8 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes in the information system component inventory information, a means for identifying by [Selection (one or more): name; position; role], individuals responsible/accountable for administering those components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIdentifying individuals who are both responsible and accountable for administering information system components helps to ensure that the assigned components are properly administered and organizations can contact those individuals if some action is required (e.g., component is determined to be the source of a breach/compromise, component needs to be recalled/replaced, or component needs to be relocated).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes in the information system component inventory for information system components, a means for identifying the individuals responsible and accountable for administering those components by one or more of the following: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ename;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eposition; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erole.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(4)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for managing the information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maintaining the inventory of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing the information system component inventory\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.5.", + "title": "NO DUPLICATE ACCOUNTING OF COMPONENTS", + "props": [ + { + "class": "name", + "value": "CM-8 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system component inventories.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses the potential problem of duplicate accounting of information system components in large or complex interconnected systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system inventories. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system inventory responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for defining information system components within the authorization boundary of the system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maintaining the inventory of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing the information system component inventory\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.6.", + "title": "ASSESSED CONFIGURATIONS / APPROVED DEVIATIONS", + "props": [ + { + "class": "name", + "value": "CM-8 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on configuration settings established by organizations for information system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes in the information system component inventory: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eassessed component configurations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eany approved deviations to current deployed configurations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with inventory management and assessment responsibilities for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maintaining the inventory of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing the information system component inventory\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.7.", + "title": "CENTRALIZED REPOSITORY", + "props": [ + { + "class": "name", + "value": "CM-8 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides a centralized repository for the inventory of information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to implement centralized information system component inventories that include components from all organizational information systems. Centralized repositories of information system component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides a centralized repository for the inventory of information system components. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory repository\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with inventory management responsibilities for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing the information system component inventory in a centralized repository\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.8.", + "title": "AUTOMATED LOCATION TRACKING", + "props": [ + { + "class": "name", + "value": "CM-8 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to support tracking of information system components by geographic location.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of automated mechanisms to track the location of information system components can increase the accuracy of component inventories. Such capability may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to support tracking of information system components by geographic location. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with inventory management responsibilities for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing the information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting tracking of information system components by geographic location\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.9.", + "title": "ASSIGNMENT OF COMPONENTS TO SYSTEMS", + "props": [ + { + "class": "name", + "value": "CM-8 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cm-8.9.a.", + "prose": [ + "\u003cp class=\"description\"\u003eAssigns \u003cinsert param-id=\"cm-8_e\"/\u003e to an information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8 (9)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cm-8.9.b.", + "prose": [ + "\u003cp class=\"description\"\u003eReceives an acknowledgement from the information system owner of this assignment.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8 (9)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the criteria for or types of information system components (e.g., microprocessors, motherboards, software, programmable logic controllers, and network devices) that are subject to this control enhancement.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.9.a.", + "props": [ + { + "class": "name", + "value": "CM-8(9)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-8.9.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines acquired information system components to be assigned to an information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(9)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.9.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eassigns organization-defined acquired information system components to an information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(9)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-8.9.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereceives an acknowledgement from the information system owner of the assignment.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8(9)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacknowledgements of information system component assignments\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with inventory management responsibilities for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system owner\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for assigning components to systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for acknowledging assignment of components to systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing assignment of acquired components to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing acknowledgment of assignment of acquired components to the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-8_e", + "desc": "organization-defined acquired information system components", + "value": "organization-defined acquired information system components" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.9", + "title": "CONFIGURATION MANAGEMENT PLAN", + "props": [ + { + "class": "name", + "value": "CM-9" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization develops, documents, and implements a configuration management plan for the information system that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-9a.", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses roles, responsibilities, and configuration management processes and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9a." + } + ] + }, + { + "class": "item", + "id": "smm_cm-9b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9b." + } + ] + }, + { + "class": "item", + "id": "smm_cm-9c.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines the configuration items for the information system and places the configuration items under configuration management; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9c." + } + ] + }, + { + "class": "item", + "id": "smm_cm-9d.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the configuration management plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConfiguration management plans satisfy the requirements in configuration management policies while being tailored to individual information systems. Such plans define detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. Configuration management plans are typically developed during the development/acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baselines, how to maintain information system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization at large with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to information systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration-managed. As information systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.8" + }, + { + "href": "#sa.10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization develops, documents, and implements a configuration management plan for the information system that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-9.a.", + "props": [ + { + "class": "name", + "value": "CM-9(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-9.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses responsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses configuration management processes and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes a process for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-9.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifying configuration items throughout the SDLC;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emanaging the configuration of the configuration items;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.c.", + "props": [ + { + "class": "name", + "value": "CM-9(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-9.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the configuration items for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eplaces the configuration items under configuration management;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the configuration management plan from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-9.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edisclosure; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-9.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration management planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for developing the configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for protecting the configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for developing and documenting the configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for identifying and managing configuration items\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for protecting the configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing the configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for managing configuration items\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for protecting the configuration management plan\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.9.1.", + "title": "ASSIGNMENT OF RESPONSIBILITY", + "props": [ + { + "class": "name", + "value": "CM-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked to develop configuration management processes using personnel who are not directly involved in system development or integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the information system development and integration processes and configuration management processes to facilitate quality control and more effective oversight.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing responsibilities for configuration management process development\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for configuration management process development\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.10", + "title": "SOFTWARE USAGE RESTRICTIONS", + "props": [ + { + "class": "name", + "value": "CM-10" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-10a.", + "prose": [ + "\u003cp class=\"description\"\u003eUses software and associated documentation in accordance with contract agreements and copyright laws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10a." + } + ] + }, + { + "class": "item", + "id": "smm_cm-10b.", + "prose": [ + "\u003cp class=\"description\"\u003eTracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10b." + } + ] + }, + { + "class": "item", + "id": "smm_cm-10c.", + "prose": [ + "\u003cp class=\"description\"\u003eControls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSoftware license tracking can be accomplished by manual methods (e.g., simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on organizational needs.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#cm.8" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-10.a.", + "prose": [ + "\u003cp class=\"decision\"\u003euses software and associated documentation in accordance with contract agreements and copyright laws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-10.b.", + "prose": [ + "\u003cp class=\"decision\"\u003etracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-10.c.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esoftware contract agreements and copyright laws\u003c/p\u003e", + "\u003cp class=\"object\"\u003esite license documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of software usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003esoftware license tracking reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with software license management responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for tracking the use of software protected by quantity licenses\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganization process for controlling/documenting the use of peer-to-peer file sharing technology\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing software license tracking\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing and controlling the use of peer-to-peer files sharing technology\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.10.1.", + "title": "OPEN SOURCE SOFTWARE", + "props": [ + { + "class": "name", + "value": "CM-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes the following restrictions on the use of open source software: \u003cinsert param-id=\"cm-10_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOpen source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, there are also various licensing issues associated with open source software including, for example, the constraints on derivative use of such software.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-10.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines restrictions on the use of open source software; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-10.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes organization-defined restrictions on the use of open source software.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing restrictions on use of open source software\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for establishing and enforcing restrictions on use of open source software\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for restricting the use of open source software\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing restrictions on the use of open source software\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-10_a", + "desc": "organization-defined restrictions", + "value": "organization-defined restrictions" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "cm.11", + "title": "USER-INSTALLED SOFTWARE", + "params": [ + { + "id": "cm-11_a", + "desc": "organization-defined policies", + "value": "organization-defined policies" + }, + { + "id": "cm-11_b", + "desc": "organization-defined methods", + "value": "organization-defined methods" + }, + { + "id": "cm-11_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-11" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cm-11a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes \u003cinsert param-id=\"cm-11_a\"/\u003e governing the installation of software by users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11a." + } + ] + }, + { + "class": "item", + "id": "smm_cm-11b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces software installation policies through \u003cinsert param-id=\"cm-11_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11b." + } + ] + }, + { + "class": "item", + "id": "smm_cm-11c.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors policy compliance at \u003cinsert param-id=\"cm-11_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIf provided the necessary privileges, users have the ability to install software in organizational information systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved �app stores.� Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user accounts), automated methods (e.g., configuration settings implemented on organizational information systems), or both.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.7" + }, + { + "href": "#pl.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-11.a.", + "props": [ + { + "class": "name", + "value": "CM-11(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-11.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines policies to govern the installation of software by users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-11.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes organization-defined policies governing the installation of software by users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-11.b.", + "props": [ + { + "class": "name", + "value": "CM-11(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-11.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines methods to enforce software installation policies;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-11.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces software installation policies through organization-defined methods;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cm-11.c.", + "props": [ + { + "class": "name", + "value": "CM-11(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cm-11.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines frequency to monitor policy compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cm-11.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors policy compliance at organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user installed software\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of rules governing user installed software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtinuous monitoring strategy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for governing user-installed software\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel monitoring compliance with user-installed software policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes governing user-installed software on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms enforcing rules/methods for governing the installation of software by users\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms monitoring policy compliance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.11.1.", + "title": "ALERTS FOR UNAUTHORIZED INSTALLATIONS", + "props": [ + { + "class": "name", + "value": "CM-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system alerts \u003cinsert param-id=\"cm-11_d\"/\u003e when the unauthorized installation of software is detected.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cm-11.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be alerted when the unauthorized installation of software is detected; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cm-11.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system alerts organization-defined personnel or roles when the unauthorized installation of software is detected.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user installed software\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for governing user-installed software\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes governing user-installed software on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for alerting personnel/roles when unauthorized installation of software is detected\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cm-11_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.11.2.", + "title": "PROHIBIT INSTALLATION WITHOUT PRIVILEGED STATUS", + "props": [ + { + "class": "name", + "value": "CM-11 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prohibits user installation of software without explicit privileged status.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged status can be obtained, for example, by serving in the role of system administrator.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system prohibits user installation of software without explicit privileged status.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user installed software\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications of unauthorized software installations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for governing user-installed software\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes governing user-installed software on the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for prohibiting installation of software without privileged status (e.g., access controls)\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "CONTINGENCY PLANNING", + "controls": [ + { + "class": "SP800-53", + "id": "cp.1", + "title": "CONTINGENCY PLANNING POLICY AND PROCEDURES", + "params": [ + { + "id": "cp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "cp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CP-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cp-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"cp-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_cp-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_cp-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_cp-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_cp-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eContingency planning policy \u003cinsert param-id=\"cp-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_cp-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eContingency planning procedures \u003cinsert param-id=\"cp-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-1.a.1.", + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization develops and documents a contingency planning policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to whom the contingency planning policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization disseminates the contingency planning policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.2.", + "props": [ + { + "class": "name", + "value": "CP-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization develops and documents procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization disseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.b.1.", + "props": [ + { + "class": "name", + "value": "CP-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the frequency to review and update the current contingency planning policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization reviews and updates the current contingency planning with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.b.2.", + "props": [ + { + "class": "name", + "value": "CP-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the frequency to review and update the current contingency planning procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization reviews and updates the current contingency planning procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.fema.gov/pdf/about/offices/fcd1.pdf", + "value": "Federal Continuity Directive 1" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.2", + "title": "CONTINGENCY PLAN", + "params": [ + { + "id": "cp-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "cp-2_b", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "id": "cp-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cp-2_d", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + } + ], + "props": [ + { + "class": "name", + "value": "CP-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cp-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops a contingency plan for the information system that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_cp-2a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies essential missions and business functions and associated contingency requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.1." + } + ] + }, + { + "class": "item", + "id": "sms_cp-2a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides recovery objectives, restoration priorities, and metrics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.2." + } + ] + }, + { + "class": "item", + "id": "sms_cp-2a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses contingency roles, responsibilities, assigned individuals with contact information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.3." + } + ] + }, + { + "class": "item", + "id": "sms_cp-2a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.4." + } + ] + }, + { + "class": "item", + "id": "sms_cp-2a.5.", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.5." + } + ] + }, + { + "class": "item", + "id": "sms_cp-2a.6.", + "prose": [ + "\u003cp class=\"description\"\u003eIs reviewed and approved by \u003cinsert param-id=\"cp-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.6." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_cp-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eDistributes copies of the contingency plan to \u003cinsert param-id=\"cp-2_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2b." + } + ] + }, + { + "class": "item", + "id": "smm_cp-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinates contingency planning activities with incident handling activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2c." + } + ] + }, + { + "class": "item", + "id": "smm_cp-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the contingency plan for the information system \u003cinsert param-id=\"cp-2_c\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2d." + } + ] + }, + { + "class": "item", + "id": "smm_cp-2e.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2e." + } + ] + }, + { + "class": "item", + "id": "smm_cp-2f.", + "prose": [ + "\u003cp class=\"description\"\u003eCommunicates contingency plan changes to \u003cinsert param-id=\"cp-2_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2f." + } + ] + }, + { + "class": "item", + "id": "smm_cp-2g.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the contingency plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. The effectiveness of contingency planning is maximized by considering such planning throughout the phases of the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving information system resiliency. Contingency plans reflect the degree of restoration required for organizational information systems since not all systems may need to fully recover to achieve the level of continuity of operations desired. Information system recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission and/or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of information systems. Actions addressed in contingency plans include, for example, orderly/graceful degradation, information system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By closely coordinating contingency planning with incident handling activities, organizations can ensure that the necessary contingency planning activities are in place and activated in the event of a security incident.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.14" + }, + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + }, + { + "href": "#cp.8" + }, + { + "href": "#cp.9" + }, + { + "href": "#cp.10" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.8" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#pm.8" + }, + { + "href": "#pm.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a contingency plan for the information system that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies essential missions and business functions and associated contingency requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.2.", + "props": [ + { + "class": "name", + "value": "CP-2(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides recovery objectives;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides restoration priorities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides metrics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.3.", + "props": [ + { + "class": "name", + "value": "CP-2(a)(3)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.a.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses contingency roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses contingency responsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses assigned individuals with contact information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(3)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(4)" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.5.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(5)" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.6.", + "props": [ + { + "class": "name", + "value": "CP-2(a)(6)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.a.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to review and approve the contingency plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.a.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eis reviewed and approved by organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(a)(6)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.b.", + "props": [ + { + "class": "name", + "value": "CP-2(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines key contingency personnel (identified by name and/or by role) and organizational elements to whom copies of the contingency plan are to be distributed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edistributes copies of the contingency plan to organization-defined key contingency personnel and organizational elements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates contingency planning activities with incident handling activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.d.", + "props": [ + { + "class": "name", + "value": "CP-2(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to review the contingency plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the contingency plan with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(d)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the contingency plan to address:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges to the organization, information system, or environment of operation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eproblems encountered during plan implementation, execution, and testing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(e)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.f.", + "props": [ + { + "class": "name", + "value": "CP-2(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-2.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines key contingency personnel (identified by name and/or by role) and organizational elements to whom contingency plan changes are to be communicated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecommunicates contingency plan changes to organization-defined key contingency personnel and organizational elements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(f)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-2.g.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the contingency plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(g)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of contingency plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency plan development, review, update, and protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for developing, reviewing, updating and/or protecting the contingency plan\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.2.1.", + "title": "COORDINATE WITH RELATED PLANS", + "props": [ + { + "class": "name", + "value": "CP-2 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates contingency plan development with organizational elements responsible for related plans.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant Emergency Plans.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization coordinates contingency plan development with organizational elements responsible for related plans.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness contingency plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003edisaster recovery plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtinuity of operations plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecrisis communications plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecritical infrastructure plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecyber incident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einsider threat implementation plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eoccupant emergency plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel with responsibility for related plans\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.2.", + "title": "CAPACITY PLANNING", + "props": [ + { + "class": "name", + "value": "CP-2 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCapacity planning is needed because different types of threats (e.g., natural disasters, targeted cyber attacks) can result in a reduction of the available processing, telecommunications, and support services originally intended to support the organizational missions/business functions. Organizations may need to anticipate degraded operations during contingency operations and factor such degradation into capacity planning.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization conducts capacity planning so that necessary capacity exists during contingency operations for: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-2.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation processing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-2.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etelecommunications; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-2.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eenvironmental support.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecapacity planning documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.3.", + "title": "RESUME ESSENTIAL MISSIONS / BUSINESS FUNCTIONS", + "props": [ + { + "class": "name", + "value": "CP-2 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization plans for the resumption of essential missions and business functions within \u003cinsert param-id=\"cp-2_e\"/\u003e of contingency plan activation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of essential missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period to plan for the resumption of essential missions and business functions as a result of contingency plan activation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eplans for the resumption of essential missions and business functions within organization-defined time period of contingency plan activation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother related plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for resumption of missions and business functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cp-2_e", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.4.", + "title": "RESUME ALL MISSIONS / BUSINESS FUNCTIONS", + "props": [ + { + "class": "name", + "value": "CP-2 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization plans for the resumption of all missions and business functions within \u003cinsert param-id=\"cp-2_f\"/\u003e of contingency plan activation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of all missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-2.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period to plan for the resumption of all missions and business functions as a result of contingency plan activation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-2.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eplans for the resumption of all missions and business functions within organization-defined time period of contingency plan activation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother related plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for resumption of missions and business functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cp-2_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.5.", + "title": "CONTINUE ESSENTIAL MISSIONS / BUSINESS FUNCTIONS", + "props": [ + { + "class": "name", + "value": "CP-2 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-2.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eplans for the continuance of essential missions and business functions with little or no loss of operational continuity; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-2.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esustains that operational continuity until full information system restoration at primary processing and/or storage sites.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary storage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for continuing missions and business functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.6.", + "title": "ALTERNATE PROCESSING / STORAGE SITE", + "props": [ + { + "class": "name", + "value": "CP-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through information system restoration to primary processing and/or storage sites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-2.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eplans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-2.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esustains that operational continuity through information system restoration to primary processing and/or storage sites.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan testing documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for transfer of essential missions and business functions to alternate processing/storage sites\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.7.", + "title": "COORDINATE WITH EXTERNAL SERVICE PROVIDERS", + "props": [ + { + "class": "name", + "value": "CP-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates its contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen the capability of an organization to successfully carry out its core missions/business functions is dependent on external service providers, developing a timely and comprehensive contingency plan may become more challenging. In this situation, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization coordinates its contingency plan with the contingency plans of external service provides to ensure contingency requirements can be satisfied. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plans of external\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.8.", + "title": "IDENTIFY CRITICAL ASSETS", + "props": [ + { + "class": "name", + "value": "CP-2 (8)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies critical information system assets supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Organizations identify critical information system assets so that additional safeguards and countermeasures can be employed (above and beyond those safeguards and countermeasures routinely implemented) to help ensure that organizational missions/business functions can continue to be conducted during contingency operations. In addition, the identification of critical information assets facilitates the prioritization of organizational resources. Critical information system assets include technical and operational aspects. Technical aspects include, for example, information technology services, information system components, information technology products, and mechanisms. Operational aspects include, for example, procedures (manually executed operations) and personnel (individuals operating technical safeguards and/or executing manual procedures). Organizational program protection plans can provide assistance in identifying critical assets.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.14" + }, + { + "href": "#sa.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization identifies critical information system assets supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.fema.gov/pdf/about/offices/fcd1.pdf", + "value": "Federal Continuity Directive 1" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.3", + "title": "CONTINGENCY TRAINING", + "params": [ + { + "id": "cp-3_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "cp-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CP-3" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides contingency training to information system users consistent with assigned roles and responsibilities:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cp-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eWithin \u003cinsert param-id=\"cp-3_a\"/\u003e of assuming a contingency role or responsibility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3a." + } + ] + }, + { + "class": "item", + "id": "smm_cp-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3b." + } + ] + }, + { + "class": "item", + "id": "smm_cp-3c.", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"cp-3_b\"/\u003e thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, regular users may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to set up information systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#cp.2" + }, + { + "href": "#ir.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-3.a.", + "props": [ + { + "class": "name", + "value": "CP-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period within which contingency training is to be provided to information system users assuming a contingency role or responsibility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides contingency training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming a contingency role or responsibility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides contingency training to information system users consistent with assigned roles and responsibilities when required by information system changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-3.c.", + "props": [ + { + "class": "name", + "value": "CP-3(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-3.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency for contingency training thereafter; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-3.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides contingency training to information system users consistent with assigned roles and responsibilities with the organization-defined frequency thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency training\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency training material\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency training records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning, plan implementation, and training responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.3.1.", + "title": "SIMULATED EVENTS", + "props": [ + { + "class": "name", + "value": "CP-3 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency training\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency training material\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning, plan implementation, and training responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for simulating contingency events\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.3.2.", + "title": "AUTOMATED TRAINING ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "CP-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency training\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency training material\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning, plan implementation, and training responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for providing contingency training environments\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.fema.gov/pdf/about/offices/fcd1.pdf", + "value": "Federal Continuity Directive 1" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-16", + "value": "NIST Special Publication 800-16" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.4", + "title": "CONTINGENCY PLAN TESTING", + "params": [ + { + "id": "cp-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cp-4_b", + "desc": "organization-defined tests", + "value": "organization-defined tests" + } + ], + "props": [ + { + "class": "name", + "value": "CP-4" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cp-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eTests the contingency plan for the information system \u003cinsert param-id=\"cp-4_a\"/\u003e using \u003cinsert param-id=\"cp-4_b\"/\u003e to determine the effectiveness of the plan and the organizational readiness to execute the plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4a." + } + ] + }, + { + "class": "item", + "id": "smm_cp-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the contingency plan test results; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4b." + } + ] + }, + { + "class": "item", + "id": "smm_cp-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eInitiates corrective actions, if needed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMethods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include, for example, walk-through and tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive exercises. Organizations conduct testing based on the continuity requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals arising due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.3" + }, + { + "href": "#ir.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-4.a.", + "props": [ + { + "class": "name", + "value": "CP-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines tests to determine the effectiveness of the contingency plan and the organizational readiness to execute the plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to test the contingency plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-4.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003etests the contingency plan for the information system with the organization-defined frequency, using organization-defined tests to determine the effectiveness of the plan and the organizational readiness to execute the plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the contingency plan test results; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003einitiates corrective actions, if needed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for contingency plan testing, reviewing or responding to contingency plan tests\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the contingency plan and/or contingency plan testing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.4.1.", + "title": "COORDINATE WITH RELATED PLANS", + "props": [ + { + "class": "name", + "value": "CP-4 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates contingency plan testing with organizational elements responsible for related plans.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. This control enhancement does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations should coordinate with those elements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.8" + }, + { + "href": "#pm.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization coordinates contingency plan testing with organizational elements responsible for related plans. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan testing documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness continuity plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003edisaster recovery plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtinuity of operations plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecrisis communications plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecritical infrastructure plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecyber incident response plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eoccupant emergency plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel with responsibilities for related plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.4.2.", + "title": "ALTERNATE PROCESSING SITE", + "props": [ + { + "class": "name", + "value": "CP-4 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests the contingency plan at the alternate processing site:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cp-4.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eTo familiarize contingency personnel with the facility and available resources; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cp-4.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eTo evaluate the capabilities of the alternate processing site to support contingency operations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization tests the contingency plan at the alternate processing site to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-4.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efamiliarize contingency personnel with the facility and available resources; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4(2)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-4.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eevaluate the capabilities of the alternate processing site to support contingency operations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4(2)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the contingency plan and/or contingency plan testing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.4.3.", + "title": "AUTOMATED TESTING", + "props": [ + { + "class": "name", + "value": "CP-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to more thoroughly and effectively test the contingency plan.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms provide more thorough and effective testing of contingency plans, for example: (i) by providing more complete coverage of contingency issues; (ii) by selecting more realistic test scenarios and environments; and (iii) by effectively stressing the information system and supported missions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to more thoroughly and effectively test the contingency plan. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting contingency plan testing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.4.4.", + "title": "FULL RECOVERY / RECONSTITUTION", + "props": [ + { + "class": "name", + "value": "CP-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cp.10" + }, + { + "href": "#sc.24" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-4.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eincludes a full recovery of the information system to a known state as part of contingency plan testing; 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Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate storage sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary storage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan alternate storage site responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.6.2.", + "title": "RECOVERY TIME / POINT OBJECTIVES", + "props": [ + { + "class": "name", + "value": "CP-6 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time objectives and recovery point objectives (as specified in the information system contingency plan).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate storage sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for testing related plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for contingency plan testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting recovery time/point objectives\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.6.3.", + "title": "ACCESSIBILITY", + "props": [ + { + "class": "name", + "value": "CP-6 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eArea-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk. 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and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7b." + } + ] + }, + { + "class": "item", + "id": "smm_cp-7c.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the alternate processing site provides information security safeguards equivalent to those of the primary site.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability in the event that the primary processing site is not available. Items covered by alternate processing site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination for the transfer/assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.6" + }, + { + "href": "#cp.8" + }, + { + "href": "#cp.9" + }, + { + "href": "#cp.10" + }, + { + "href": "#ma.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-7.a.", + "props": [ + { + "class": "name", + "value": "CP-7(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system operations requiring an alternate processing site to be established to permit the transfer and resumption of such operations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period consistent with recovery time objectives and recovery point objectives (as specified in the information system contingency plan) for transfer/resumption of organization-defined information system operations for essential missions/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-7.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes an alternate processing site including necessary agreements to permit the transfer and resumption of organization-defined information system operations for essential missions/business functions, within the organization-defined time period, when the primary processing capabilities are unavailable;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-7.b.", + "props": [ + { + "class": "name", + "value": "CP-7(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-7.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-7.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-7.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003espare equipment and supplies inventory at alternate processing site\u003c/p\u003e", + "\u003cp class=\"object\"\u003eequipment and supply contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for contingency planning and/or alternate site arrangements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for recovery at the alternate site\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing recovery at the alternate processing site\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.7.1.", + "title": "SEPARATION FROM PRIMARY SITE", + "props": [ + { + "class": "name", + "value": "CP-7 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThreats that affect alternate processing sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization identifies an alternate processing site that is separated from the primary storage site to reduce susceptibility to the same threats. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan alternate processing site responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.2.", + "title": "ACCESSIBILITY", + "props": [ + { + "class": "name", + "value": "CP-7 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eArea-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-7.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-7.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eoutlines explicit mitigation actions for such potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan alternate processing site responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.3.", + "title": "PRIORITY OF SERVICE", + "props": [ + { + "class": "name", + "value": "CP-7 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePriority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources at the alternate processing site.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan alternate processing site responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for acquisitions/contractual agreements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.4.", + "title": "PREPARATION FOR USE", + "props": [ + { + "class": "name", + "value": "CP-7 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSite preparation includes, for example, establishing configuration settings for information system components at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and other logistical considerations are in place.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan alternate processing site responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing recovery at the alternate processing site\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.5.", + "title": "EQUIVALENT INFORMATION SECURITY SAFEGUARDS", + "props": [ + { + "class": "name", + "value": "CP-7 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.6.", + "title": "INABILITY TO RETURN TO PRIMARY SITE", + "props": [ + { + "class": "name", + "value": "CP-7 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization plans and prepares for circumstances that preclude returning to the primary processing site.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization plans and prepares for circumstances that preclude returning to the primary processing site.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate processing site configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system reconstitution responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.8", + "title": "TELECOMMUNICATIONS SERVICES", + "params": [ + { + "id": "cp-8_a", + "desc": "organization-defined information system operations", + "value": "organization-defined information system operations" + }, + { + "id": "cp-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "CP-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes alternate telecommunications services including necessary agreements to permit the resumption of \u003cinsert param-id=\"cp-8_a\"/\u003e for essential missions and business functions within \u003cinsert param-id=\"cp-8_b\"/\u003e when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to telecommunications services (data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions/business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary/alternate sites. Alternate telecommunications services include, for example, additional organizational or commercial ground-based circuits/lines or satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-8-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system operations requiring alternate telecommunications services to be established to permit the resumption of such operations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-8-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period to permit resumption of organization-defined information system operations for essential missions and business functions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-8-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes alternate telecommunications services including necessary agreements to permit the resumption of organization-defined information system operations for essential missions and business functions, within the organization-defined time period, when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate telecommunications services\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan telecommunications responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for acquisitions/contractual agreements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting telecommunications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.8.1.", + "title": "PRIORITY OF SERVICE PROVISIONS", + "props": [ + { + "class": "name", + "value": "CP-8 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cp-8.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cp-8.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eRequests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider the potential mission/business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-8.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-8.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing primary and alternate telecommunications services\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eTelecommunications Service Priority documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan telecommunications responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for acquisitions/contractual agreements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting telecommunications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.8.2.", + "title": "SINGLE POINTS OF FAILURE", + "props": [ + { + "class": "name", + "value": "CP-8 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing primary and alternate telecommunications services\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan telecommunications responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.8.3.", + "title": "SEPARATION OF PRIMARY / ALTERNATE PROVIDERS", + "props": [ + { + "class": "name", + "value": "CP-8 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThreats that affect telecommunications services are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber/physical attacks, and errors of omission/commission. Organizations seek to reduce common susceptibilities by, for example, minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services meeting the separation needs addressed in the risk assessment.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing primary and alternate telecommunications services\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate telecommunications service provider site\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary telecommunications service provider site\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency plan telecommunications responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.8.4.", + "title": "PROVIDER CONTINGENCY PLAN", + "props": [ + { + "class": "name", + "value": "CP-8 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_cp-8.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires primary and alternate telecommunications service providers to have contingency plans;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cp-8.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews provider contingency plans to ensure that the plans meet organizational contingency requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_cp-8.4.c.", + "prose": [ + "\u003cp class=\"description\"\u003eObtains evidence of contingency testing/training by providers \u003cinsert param-id=\"cp-8_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (4)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eReviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security, state, and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-8.4.a.", + "props": [ + { + "class": "name", + "value": "CP-8(4)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-8.4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires primary telecommunications service provider to have contingency plans;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(4)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-8.4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires alternate telecommunications service provider(s) to have contingency plans;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(4)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-8.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews provider contingency plans to ensure that the plans meet organizational contingency requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(4)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-8.4.c.", + "props": [ + { + "class": "name", + "value": "CP-8(4)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-8.4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to obtain evidence of contingency testing/training by providers; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(4)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-8.4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtains evidence of contingency testing/training by providers with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(4)(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing primary and alternate telecommunications services\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprovider contingency plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of contingency testing/training by providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning, plan implementation, and testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprimary and alternate telecommunications service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for acquisitions/contractual agreements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "cp-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.8.5.", + "title": "ALTERNATE TELECOMMUNICATION SERVICE TESTING", + "props": [ + { + "class": "name", + "value": "CP-8 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests alternate telecommunication services \u003cinsert param-id=\"cp-8_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-8.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to test alternate telecommunication services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-8.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests alternate telecommunication services with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate telecommunications services\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of testing alternate telecommunications services\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate telecommunications service agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning, plan implementation, and testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate telecommunications service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting testing alternate telecommunications services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cp-8_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + }, + { + "citations": [ + { + "value": "National Communications Systems Directive 3-10" + } + ] + }, + { + "citations": [ + { + "href": "http://www.dhs.gov/telecommunications-service-priority-tsp", + "value": "http://www.dhs.gov/telecommunications-service-priority-tsp" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.9", + "title": "INFORMATION SYSTEM BACKUP", + "params": [ + { + "id": "cp-9_a", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "id": "cp-9_b", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "id": "cp-9_c", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + } + ], + "props": [ + { + "class": "name", + "value": "CP-9" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_cp-9a.", + "prose": [ + "\u003cp class=\"description\"\u003eConducts backups of user-level information contained in the information system \u003cinsert param-id=\"cp-9_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9a." + } + ] + }, + { + "class": "item", + "id": "smm_cp-9b.", + "prose": [ + "\u003cp class=\"description\"\u003eConducts backups of system-level information contained in the information system \u003cinsert param-id=\"cp-9_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9b." + } + ] + }, + { + "class": "item", + "id": "smm_cp-9c.", + "prose": [ + "\u003cp class=\"description\"\u003eConducts backups of information system documentation including security-related documentation \u003cinsert param-id=\"cp-9_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9c." + } + ] + }, + { + "class": "item", + "id": "smm_cp-9d.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the confidentiality, integrity, and availability of backup information at storage locations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.6" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-9.a.", + "props": [ + { + "class": "name", + "value": "CP-9(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-9.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of user-level information contained in the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-9.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts backups of user-level information contained in the information system with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-9.b.", + "props": [ + { + "class": "name", + "value": "CP-9(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-9.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of system-level information contained in the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-9.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts backups of system-level information contained in the information system with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-9.c.", + "props": [ + { + "class": "name", + "value": "CP-9(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-9.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of information system documentation including security-related documentation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-9.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts backups of information system documentation, including security-related documentation, with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-9.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the confidentiality, integrity, and availability of backup information at storage locations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebackup storage location(s)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for conducting information system backups\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.9.1.", + "title": "TESTING FOR RELIABILITY / INTEGRITY", + "props": [ + { + "class": "name", + "value": "CP-9 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests backup information \u003cinsert param-id=\"cp-9_d\"/\u003e to verify media reliability and information integrity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cp.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-9.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to test backup information to verify media reliability and information integrity; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-9.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests backup information with the organization-defined frequency to verify media reliability and information integrity.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for conducting information system backups\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cp-9_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.2.", + "title": "TEST RESTORATION USING SAMPLING", + "props": [ + { + "class": "name", + "value": "CP-9 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cp.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning/contingency plan testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for conducting information system backups\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.3.", + "title": "SEPARATE STORAGE FOR CRITICAL INFORMATION", + "props": [ + { + "class": "name", + "value": "CP-9 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization stores backup copies of \u003cinsert param-id=\"cp-9_e\"/\u003e in a separate facility or in a fire-rated container that is not collocated with the operational system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCritical information system software includes, for example, operating systems, cryptographic key management systems, and intrusion detection/prevention systems. Security-related information includes, for example, organizational inventories of hardware, software, and firmware components. Alternate storage sites typically serve as separate storage facilities for organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-9.3.1.", + "props": [ + { + "class": "name", + "value": "CP-9(3)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-9.3.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines critical information system software and other security-related information requiring backup copies to be stored in a separate facility; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(3)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-9.3.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines critical information system software and other security-related information requiring backup copies to be stored in a fire-rated container that is not collocated with the operational system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(3)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-9.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003estores backup copies of organization-defined critical information system software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the operational system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebackup storage location(s)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup configurations and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "cp-9_e", + "desc": "organization-defined critical information system software and other security-related information", + "value": "organization-defined critical information system software and other security-related information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.4.", + "title": "PROTECTION FROM UNAUTHORIZED MODIFICATION", + "props": [ + { + "class": "name", + "value": "CP-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CP-9\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cp.9" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.5.", + "title": "TRANSFER TO ALTERNATE STORAGE SITE", + "props": [ + { + "class": "name", + "value": "CP-9 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization transfers information system backup information to the alternate storage site \u003cinsert param-id=\"cp-9_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-9.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-9.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a transfer rate, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-9.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003etransfers information system backup information to the alternate storage site with the organization-defined time period and transfer rate.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of system backup information transferred to alternate storage site\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for transferring information system backups to the alternate storage site\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information transfer to the alternate storage site\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cp-9_f", + "desc": "organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives", + "value": "organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.6.", + "title": "REDUNDANT SECONDARY SYSTEM", + "props": [ + { + "class": "name", + "value": "CP-9 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization accomplishes information system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cp.7" + }, + { + "href": "#cp.10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization accomplishes information system backup by maintaining a redundant secondary system that: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-9.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eis not collocated with the primary system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-9.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecan be activated without loss of information or disruption to operations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eredundant secondary system for information system backups\u003c/p\u003e", + "\u003cp class=\"object\"\u003elocation(s) of redundant secondary backup system(s)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the redundant secondary system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maintaining redundant secondary systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information transfer to a redundant secondary system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.7.", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "CP-9 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization enforces dual authorization for the deletion or destruction of \u003cinsert param-id=\"cp-9_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDual authorization ensures that the deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting/destroying backup information possess sufficient skills/expertise to determine if the proposed deletion/destruction of backup information reflects organizational policies and procedures. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#mp.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-9.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines backup information that requires dual authorization to be enforced for the deletion or destruction of such information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-9.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces dual authorization for the deletion or destruction of organization-defined backup information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9(7)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem generated list of dual authorization credentials or rules\u003c/p\u003e", + "\u003cp class=\"object\"\u003elogs or records of deletion or destruction of backup information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing dual authorization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing deletion/destruction of backup information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cp-9_g", + "desc": "organization-defined backup information", + "value": "organization-defined backup information" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.10", + "title": "INFORMATION SYSTEM RECOVERY AND RECONSTITUTION", + "props": [ + { + "class": "name", + "value": "CP-10" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRecovery is executing information system contingency plan activities to restore organizational missions/business functions. Reconstitution takes place following recovery and includes activities for returning organizational information systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point/time and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim information system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored information system capabilities, reestablishment of continuous monitoring activities, potential information system reauthorizations, and activities to prepare the systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.6" + }, + { + "href": "#ca.7" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + }, + { + "href": "#cp.9" + }, + { + "href": "#sc.24" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides for: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-10-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe recovery of the information system to a known state after:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-10-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ea disruption;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-10-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea compromise; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-10-1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_cp-10-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe reconstitution of the information system to a known state after:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-10-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ea disruption;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-10-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea compromise; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-10-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea failure.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system backup test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eredundant secondary system for information system backups\u003c/p\u003e", + "\u003cp class=\"object\"\u003elocation(s) of redundant secondary backup system(s)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning, recovery, and/or reconstitution responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes implementing information system recovery and reconstitution operations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system recovery and reconstitution operations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.10.1.", + "title": "CONTINGENCY PLAN TESTING", + "props": [ + { + "class": "name", + "value": "CP-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CP-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cp.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.2.", + "title": "TRANSACTION RECOVERY", + "props": [ + { + "class": "name", + "value": "CP-10 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements transaction recovery for systems that are transaction-based.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTransaction-based information systems include, for example, database management systems and transaction processing systems. Mechanisms supporting transaction recovery include, for example, transaction rollback and transaction journaling.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements transaction recovery for systems that are transaction-based. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system recovery and reconstitution\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system transaction recovery records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for transaction recovery\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing transaction recovery capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.3.", + "title": "COMPENSATING SECURITY CONTROLS", + "props": [ + { + "class": "name", + "value": "CP-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eAddressed through tailoring procedures\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "Chapter 3" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.4.", + "title": "RESTORE WITHIN TIME PERIOD", + "props": [ + { + "class": "name", + "value": "CP-10 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides the capability to restore information system components within \u003cinsert param-id=\"cp-10_a\"/\u003e from configuration-controlled and integrity-protected information representing a known, operational state for the components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRestoration of information system components includes, for example, reimaging which restores components to known, operational states.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-10.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period to restore information system components from configuration-controlled and integrity-protected information representing a known, operational state for the components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-10.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the capability to restore information system components within the organization-defined time period from configuration-controlled and integrity-protected information representing a known, operational state for the components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system recovery and reconstitution\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of information system recovery and reconstitution operations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system recovery and reconstitution responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing recovery/reconstitution of information system information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "cp-10_a", + "desc": "organization-defined restoration time-periods", + "value": "organization-defined restoration time-periods" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.5.", + "title": "FAILOVER CAPABILITY", + "props": [ + { + "class": "name", + "value": "CP-10 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.13" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.6.", + "title": "COMPONENT PROTECTION", + "props": [ + { + "class": "name", + "value": "CP-10 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects backup and restoration hardware, firmware, and software.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProtection of backup and restoration hardware, firmware, and software components includes both physical and technical safeguards. Backup and restoration software includes, for example, router tables, compilers, and other security-relevant system software.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#pe.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization protects backup and restoration: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_cp-10.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ehardware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-10.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10(6)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_cp-10.6.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-10(6)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system recovery and reconstitution\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elogical access credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003elogical access authorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access authorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system recovery and reconstitution responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for protecting backup and restoration hardware, firmware, and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing protection of backup and restoration hardware, firmware, and software\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.fema.gov/pdf/about/offices/fcd1.pdf", + "value": "Federal Continuity Directive 1" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.11", + "title": "ALTERNATE COMMUNICATIONS PROTOCOLS", + "params": [ + { + "id": "cp-11_a", + "desc": "organization-defined alternative communications protocols", + "value": "organization-defined alternative communications protocols" + } + ], + "props": [ + { + "class": "name", + "value": "CP-11" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability to employ \u003cinsert param-id=\"cp-11_a\"/\u003e in support of maintaining continuity of operations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContingency plans and the associated training and testing for those plans, incorporate an alternate communications protocol capability as part of increasing the resilience of organizational information systems. Alternate communications protocols include, for example, switching from Transmission Control Protocol/Internet Protocol (TCP/IP) Version 4 to TCP/IP Version 6. Switching communications protocols may affect software applications and therefore, the potential side effects of introducing alternate communications protocols are analyzed prior to implementation.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-11-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines alternative communications protocols to be employed in support of maintaining continuity of operations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-11[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-11-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the capability to employ organization-defined alternative communications protocols in support of maintaining continuity of operations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-11[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternative communications protocols\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtinuity of operations plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of alternative communications protocols supporting continuity of operations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with continuity of operations planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms employing alternative communications protocols\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "cp.12", + "title": "SAFE MODE", + "params": [ + { + "id": "cp-12_a", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + }, + { + "id": "cp-12_b", + "desc": "organization-defined restrictions of safe mode of operation", + "value": "organization-defined restrictions of safe mode of operation" + } + ], + "props": [ + { + "class": "name", + "value": "CP-12" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, when \u003cinsert param-id=\"cp-12_a\"/\u003e are detected, enters a safe mode of operation with \u003cinsert param-id=\"cp-12_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor information systems supporting critical missions/business functions including, for example, military operations and weapons systems, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments), organizations may choose to identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated automatically or manually, restricts the types of activities or operations information systems could execute when those conditions are encountered. Restriction includes, for example, allowing only certain functions that could be carried out under limited power or with reduced communications bandwidth.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-12-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines conditions that, when detected, requires the information system to enter a safe mode of operation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-12[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-12-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines restrictions of safe mode of operation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-12[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-12-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, when organization-defined conditions are detected, enters a safe mode of operation with organization-defined restrictions of safe mode of operation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-12[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing safe mode of operation for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system administration manuals\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system operation manuals\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system installation manuals\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident handling records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing safe mode of operation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "cp.13", + "title": "ALTERNATIVE SECURITY MECHANISMS", + "params": [ + { + "id": "cp-13_a", + "desc": "organization-defined alternative or supplemental security mechanisms", + "value": "organization-defined alternative or supplemental security mechanisms" + }, + { + "id": "cp-13_b", + "desc": "organization-defined security functions", + "value": "organization-defined security functions" + } + ], + "props": [ + { + "class": "name", + "value": "CP-13" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"cp-13_a\"/\u003e for satisfying \u003cinsert param-id=\"cp-13_b\"/\u003e when the primary means of implementing the security function is unavailable or compromised.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control supports information system resiliency and contingency planning/continuity of operations. To ensure mission/business continuity, organizations can implement alternative or supplemental security mechanisms. These mechanisms may be less effective than the primary mechanisms (e.g., not as easy to use, not as scalable, or not as secure). However, having the capability to readily employ these alternative/supplemental mechanisms enhances overall mission/business continuity that might otherwise be adversely impacted if organizational operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, this control would typically be applied only to critical security capabilities provided by information systems, system components, or information system services. For example, an organization may issue to senior executives and system administrators one-time pads in case multifactor tokens, the organization�s standard means for secure remote authentication, is compromised.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_cp-13-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines alternative or supplemental security mechanisms to be employed when the primary means of implementing the security function is unavailable or compromised;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-13[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-13-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security functions to be satisfied using organization-defined alternative or supplemental security mechanisms when the primary means of implementing the security function is unavailable or compromised; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-13[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_cp-13-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined alternative or supplemental security mechanisms satisfying organization-defined security functions when the primary means of implementing the security function is unavailable or compromised.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-13[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate security mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtinuity of operations plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system capability implementing alternative security mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "IDENTIFICATION AND AUTHENTICATION", + "controls": [ + { + "class": "SP800-53", + "id": "ia.1", + "title": "IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES", + "params": [ + { + "id": "ia-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ia-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ia-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IA-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ia-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ia-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ia-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAn identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ia-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ia-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ia-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentification and authentication policy \u003cinsert param-id=\"ia-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ia-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentification and authentication procedures \u003cinsert param-id=\"ia-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-1.a.1.", + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an identification and authentication policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the identification and authentication policy is to be disseminated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the identification and authentication policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.2.", + "props": [ + { + "class": "name", + "value": "IA-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.b.1.", + "props": [ + { + "class": "name", + "value": "IA-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current identification and authentication policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current identification and authentication policy with the organization-defined frequency; 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This control applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC-14; and (ii) accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations employ passwords, tokens, or biometrics to authenticate user identities, or in the case multifactor authentication, or some combination thereof. Access to organizational information systems is defined as either local access or network access. Local access is any access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained by direct connections without the use of networks. Network access is access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks (e.g., the Internet). Internal networks include local area networks and wide area networks. In addition, the use of encrypted virtual private networks (VPNs) for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks from the perspective of protecting the confidentiality and integrity of information traversing the network. Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12 consistent with the specific organizational implementation plans. Multifactor authentication requires the use of two or more different factors to achieve authentication. The factors are defined as: (i) something you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g., cryptographic identification device, token); or (iii) something you are (e.g., biometric). Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card. In addition to identifying and authenticating users at the information system level (i.e., at logon), organizations also employ identification and authentication mechanisms at the application level, when necessary, to provide increased information security. Identification and authentication requirements for other than organizational users are described in IA-8.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.14" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system 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"INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for uniquely identifying and authenticating users\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.2.1.", + "title": "NETWORK ACCESS TO PRIVILEGED ACCOUNTS", + "props": [ + { + "class": "name", + "value": "IA-2 (1)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements multifactor authentication for network access to privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements multifactor authentication for network access to privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + 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class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing multifactor authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.3.", + "title": "LOCAL ACCESS TO PRIVILEGED ACCOUNTS", + "props": [ + { + "class": "name", + "value": "IA-2 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements multifactor authentication for local access to privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": 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+ "class": "name", + "value": "IA-2 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements multifactor authentication for local access to non-privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements multifactor authentication for local access to non-privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing multifactor authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.5.", + "title": "GROUP AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRequiring individuals to use individual authenticators as a second level of authentication helps organizations to mitigate the risk of using group authenticators.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing authentication capability for group accounts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.6.", + "title": "NETWORK ACCESS TO PRIVILEGED ACCOUNTS - SEPARATE DEVICE", + "props": [ + { + "class": "name", + "value": "IA-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets \u003cinsert param-id=\"ia-2_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-2.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining network access to privileged accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(6)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.6.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for network access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(6)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing multifactor authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-2_a", + "desc": "organization-defined strength of mechanism requirements", + "value": "organization-defined strength of mechanism requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.7.", + "title": "NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - SEPARATE DEVICE", + "props": [ + { + "class": "name", + "value": "IA-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets \u003cinsert param-id=\"ia-2_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-2.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining network access to non-privileged accounts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(7)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.7.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for network access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(7)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing multifactor authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-2_b", + "desc": "organization-defined strength of mechanism requirements", + "value": "organization-defined strength of mechanism requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.8.", + "title": "NETWORK ACCESS TO PRIVILEGED ACCOUNTS - REPLAY RESISTANT", + "props": [ + { + "class": "name", + "value": "IA-2 (8)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements replay-resistant authentication mechanisms for network access to privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements replay-resistant authentication mechanisms for network access to privileged accounts. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of privileged information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing replay resistant authentication mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.9.", + "title": "NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - REPLAY RESISTANT", + "props": [ + { + "class": "name", + "value": "IA-2 (9)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthentication processes resist replay attacks if it is impractical to achieve successful authentications by recording/replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of non-privileged information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing replay resistant authentication mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.10.", + "title": "SINGLE SIGN-ON", + "props": [ + { + "class": "name", + "value": "IA-2 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides a single sign-on capability for \u003cinsert param-id=\"ia-2_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSingle sign-on enables users to log in once and gain access to multiple information system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the increased risk from disclosures of single authenticators providing access to multiple system resources.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-2.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a list of information system accounts and services for which a single sign-on capability must be provided; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides a single sign-on capability for organization-defined information system accounts and services.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(10)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing single sign-on capability for information system accounts and services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts and services requiring single sign-on capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing single sign-on capability for information system accounts and services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-2_c", + "desc": "organization-defined information system accounts and services", + "value": "organization-defined information system accounts and services" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.11.", + "title": "REMOTE ACCESS - SEPARATE DEVICE", + "props": [ + { + "class": "name", + "value": "IA-2 (11)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements multifactor authentication for remote access to privileged and non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets \u003cinsert param-id=\"ia-2_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor remote access to privileged/non-privileged accounts, the purpose of requiring a device that is separate from the information system gaining access for one of the factors during multifactor authentication is to reduce the likelihood of compromising authentication credentials stored on the system. For example, adversaries deploying malicious code on organizational information systems can potentially compromise such credentials resident on the system and subsequently impersonate authorized users.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-2.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for remote access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for remote access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(11)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.11.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to privileged accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(11)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.11.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to non-privileged accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(11)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.11.5.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for remote access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(11)[5]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.11.6.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements multifactor authentication for remote access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(11)[6]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of privileged and non-privileged information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-2_d", + "desc": "organization-defined strength of mechanism requirements", + "value": "organization-defined strength of mechanism requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.12.", + "title": "ACCEPTANCE OF PIV CREDENTIALS", + "props": [ + { + "class": "name", + "value": "IA-2 (12)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system accepts and electronically verifies Personal Identity Verification (PIV) credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to organizations implementing logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#sa.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-2.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccepts Personal Identity Verification (PIV) credentials; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eelectronically verifies Personal Identity Verification (PIV) credentials.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(12)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ePIV verification records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of PIV credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003ePIV credential authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing acceptance and verification of PIV credentials\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.13.", + "title": "OUT-OF-BAND AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-2 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"ia-2_e\"/\u003e under \u003cinsert param-id=\"ia-2_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOut-of-band authentication (OOBA) refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path), is used to identify and authenticate users or devices, and generally is the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access, and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user�s cell phone to verify that the requested action originated from the user. The user may either confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. This type of authentication can be employed by organizations to mitigate actual or suspected man-in the-middle attacks. The conditions for activation can include, for example, suspicious activities, new threat indicators or elevated threat levels, or the impact level or classification level of information in requested transactions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.10" + }, + { + "href": "#ia.11" + }, + { + "href": "#sc.37" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-2.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines out-of-band authentication to be implemented by the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines conditions under which the information system implements organization-defined out-of-band authentication; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(13)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-2.13.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined out-of-band authentication under organization-defined conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-2(13)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem-generated list of out-of-band authentication paths\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing out-of-band authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-2_e", + "desc": "organization-defined out-of-band authentication", + "value": "organization-defined out-of-band authentication" + }, + { + "id": "ia-2_f", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.dhs.gov/homeland-security-presidential-directive-12", + "value": "HSPD-12" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy04/m04-04.pdf", + "value": "OMB Memorandum 04-04" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2006/m06-16.pdf", + "value": "OMB Memorandum 06-16" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/m11-11.pdf", + "value": "OMB Memorandum 11-11" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-73", + "value": "NIST Special Publication 800-73" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-76", + "value": "NIST Special Publication 800-76" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + }, + { + "citations": [ + { + "href": "http://www.idmanagement.gov/documents/ficam-roadmap-and-implementation-guidance", + "value": "FICAM Roadmap and Implementation Guidance" + } + ] + }, + { + "citations": [ + { + "href": "http://idmanagement.gov", + "value": "http://idmanagement.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.3", + "title": "DEVICE IDENTIFICATION AND AUTHENTICATION", + "params": [ + { + "id": "ia-3_a", + "desc": "organization-defined specific and/or types of devices", + "value": "organization-defined specific and/or types of devices" + } + ], + "props": [ + { + "class": "name", + "value": "IA-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system uniquely identifies and authenticates \u003cinsert param-id=\"ia-3_a\"/\u003e before establishing a [Selection (one or more): local; remote; network] connection.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational devices requiring unique device-to-device identification and authentication may be defined by type, by device, or by a combination of type/device. Information systems typically use either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on local and/or wide area networks. Organizations determine the required strength of authentication mechanisms by the security categories of information systems. Because of the challenges of applying this control on large scale, organizations are encouraged to only apply the control to those limited number (and type) of devices that truly need to support this capability.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ca.3" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-3-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines specific and/or types of devices that the information system uniquely identifies and authenticates before establishing one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-3-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ea local connection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-3-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea remote connection; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-3-1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea network connection; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-3-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system uniquely identifies and authenticates organization-defined devices before establishing one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-3-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ea local connection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-3-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea remote connection; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-3-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea network connection.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of devices requiring unique identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003edevice connection reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with operational responsibilities for device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing device identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.3.1.", + "title": "CRYPTOGRAPHIC BIDIRECTIONAL AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system authenticates \u003cinsert param-id=\"ia-3_b\"/\u003e before establishing [Selection (one or more): local; remote; network] connection using bidirectional authentication that is cryptographically based.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network (e.g., local area or wide area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk (e.g., remote connections).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-3.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines specific and/or types of devices requiring use of cryptographically based, bidirectional authentication to authenticate before establishing one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-3.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ea local connection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea remote connection; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea network connection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system uses cryptographically based bidirectional authentication to authenticate organization-defined devices before establishing one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-3.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ea local connection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea remote connection; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.1.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea network connection.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(1)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of devices requiring unique identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003edevice connection reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with operational responsibilities for device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing device authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographically based bidirectional authentication mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-3_b", + "desc": "organization-defined specific devices and/or types of devices", + "value": "organization-defined specific devices and/or types of devices" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.3.2.", + "title": "CRYPTOGRAPHIC BIDIRECTIONAL NETWORK AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-3 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ia.3.1." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.3.3.", + "title": "DYNAMIC ADDRESS ALLOCATION", + "props": [ + { + "class": "name", + "value": "IA-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ia-3.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eStandardizes dynamic address allocation lease information and the lease duration assigned to devices in accordance with \u003cinsert param-id=\"ia-3_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-3.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eAudits lease information when assigned to a device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDHCP-enabled clients obtaining leases for IP addresses from DHCP servers, is a typical example of dynamic address allocation for devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.3" + }, + { + "href": "#au.6" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-3.3.a.", + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-3.3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines lease information to be employed to standardize dynamic address allocation for devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines lease duration to be employed to standardize dynamic address allocation for devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.3.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003estandardizes dynamic address allocation of lease information assigned to devices in accordance with organization-defined lease information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.3.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003estandardizes dynamic address allocation of the lease duration assigned to devices in accordance with organization-defined lease duration; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudits lease information when assigned to a device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(3)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of lease information and lease duration assigned to devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003edevice connection reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with operational responsibilities for device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing device identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing dynamic address allocation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implanting auditing of lease information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-3_c", + "desc": "organization-defined lease information and lease duration", + "value": "organization-defined lease information and lease duration" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.3.4.", + "title": "DEVICE ATTESTATION", + "props": [ + { + "class": "name", + "value": "IA-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that device identification and authentication based on attestation is handled by \u003cinsert param-id=\"ia-3_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevice attestation refers to the identification and authentication of a device based on its configuration and known operating state. This might be determined via some cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the those patches/updates are done securely and at the same time do not disrupt the identification and authentication to other devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines configuration management process to be employed to handle device identification and authentication based on attestation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that device identification and authentication based on attestation is handled by organization-defined configuration management process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing device configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with operational responsibilities for device identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing device identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms supporting device attestation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-3_d", + "desc": "organization-defined configuration management process", + "value": "organization-defined configuration management process" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ia.4", + "title": "IDENTIFIER MANAGEMENT", + "params": [ + { + "id": "ia-4_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ia-4_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "ia-4_c", + "desc": "organization-defined time period of inactivity", + "value": "organization-defined time period of inactivity" + } + ], + "props": [ + { + "class": "name", + "value": "IA-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization manages information system identifiers by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ia-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eReceiving authorization from \u003cinsert param-id=\"ia-4_a\"/\u003e to assign an individual, group, role, or device identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4a." + } + ] + }, + { + "class": "item", + "id": "smm_ia-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eSelecting an identifier that identifies an individual, group, role, or device;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4b." + } + ] + }, + { + "class": "item", + "id": "smm_ia-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eAssigning the identifier to the intended individual, group, role, or device;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4c." + } + ] + }, + { + "class": "item", + "id": "smm_ia-4d.", + "prose": [ + "\u003cp class=\"description\"\u003ePreventing reuse of identifiers for \u003cinsert param-id=\"ia-4_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4d." + } + ] + }, + { + "class": "item", + "id": "smm_ia-4e.", + "prose": [ + "\u003cp class=\"description\"\u003eDisabling the identifier after \u003cinsert param-id=\"ia-4_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCommon device identifiers include, for example, media access control (MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). Typically, individual identifiers are the user names of the information system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. This control also addresses individual identifiers not necessarily associated with information system accounts (e.g., identifiers used in physical security control databases accessed by badge reader systems for access to information systems). Preventing reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + }, + { + "href": "#sc.37" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization manages information system identifiers by: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.a.", + "props": [ + { + "class": "name", + "value": "IA-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefining personnel or roles from whom authorization must be received to assign:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ean individual identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea group identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.a.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea role identifier; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.a.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003ea device identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[1][d]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereceiving authorization from organization-defined personnel or roles to assign:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ean individual identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ea group identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.a.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ea role identifier; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.a.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003ea device identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(a)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eselecting an identifier that identifies:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ean individual;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ea group;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ea role; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(b)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.b.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ea device;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(b)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eassigning the identifier to the intended:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eindividual;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003egroup;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erole; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(c)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.c.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edevice;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(c)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.d.", + "props": [ + { + "class": "name", + "value": "IA-4(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefining a time period for preventing reuse of identifiers;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003epreventing reuse of identifiers for the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(d)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.e.", + "props": [ + { + "class": "name", + "value": "IA-4(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-4.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefining a time period of inactivity to disable the identifier; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-4.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edisabling the identifier after the organization-defined time period of inactivity.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(e)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of identifiers generated from physical access control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.4.1.", + "title": "PROHIBIT ACCOUNT IDENTIFIERS AS PUBLIC IDENTIFIERS", + "props": [ + { + "class": "name", + "value": "IA-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProhibiting the use of information systems account identifiers that are the same as some public identifier such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers on organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.2.", + "title": "SUPERVISOR AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "IA-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that the registration process to receive an individual identifier includes supervisor authorization.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires that the registration process to receive an individual identifier includes supervisor authorization. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esupervisors responsible for authorizing identifier registration\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.3.", + "title": "MULTIPLE FORMS OF CERTIFICATION", + "props": [ + { + "class": "name", + "value": "IA-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires multiple forms of certification of individual identification be presented to the registration authority.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRequiring multiple forms of identification, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity, or at least increases the work factor of potential adversaries.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.4.", + "title": "IDENTIFY USER STATUS", + "props": [ + { + "class": "name", + "value": "IA-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization manages individual identifiers by uniquely identifying each individual as \u003cinsert param-id=\"ia-4_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCharacteristics identifying the status of individuals include, for example, contractors and foreign nationals. Identifying the status of individuals by specific characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-4.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a characteristic to be used to identify individual status; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-4.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emanages individual identifiers by uniquely identifying each individual as the organization-defined characteristic identifying individual status.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of characteristics identifying individual status\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-4_d", + "desc": "organization-defined characteristic identifying individual status", + "value": "organization-defined characteristic identifying individual status" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.5.", + "title": "DYNAMIC MANAGEMENT", + "props": [ + { + "class": "name", + "value": "IA-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system dynamically manages identifiers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn contrast to conventional approaches to identification which presume static accounts for preregistered users, many distributed information systems including, for example, service-oriented architectures, rely on establishing identifiers at run time for entities that were previously unknown. In these situations, organizations anticipate and provision for the dynamic establishment of identifiers. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system dynamically manages identifiers. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing dynamic identifier management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.6.", + "title": "CROSS-ORGANIZATION MANAGEMENT", + "props": [ + { + "class": "name", + "value": "IA-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates with \u003cinsert param-id=\"ia-4_e\"/\u003e for cross-organization management of identifiers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCross-organization identifier management provides the capability for organizations to appropriately identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-4.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external organizations with whom to coordinate cross-organization management of identifiers; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-4.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates with organization-defined external organizations for cross-organization management of identifiers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4(6)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-4_e", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.7.", + "title": "IN-PERSON REGISTRATION", + "props": [ + { + "class": "name", + "value": "IA-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn-person registration reduces the likelihood of fraudulent identifiers being issued because it requires the physical presence of individuals and actual face-to-face interactions with designated registration authorities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-73", + "value": "NIST Special Publication 800-73" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-76", + "value": "NIST Special Publication 800-76" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.5", + "title": "AUTHENTICATOR MANAGEMENT", + "params": [ + { + "id": "ia-5_a", + "desc": "organization-defined time period by authenticator type", + "value": "organization-defined time period by authenticator type" + } + ], + "props": [ + { + "class": "name", + "value": "IA-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization manages information system authenticators by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ia-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eVerifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5a." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishing initial authenticator content for authenticators defined by the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5b." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsuring that authenticators have sufficient strength of mechanism for their intended use;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5c." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5d.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5d." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5e.", + "prose": [ + "\u003cp class=\"description\"\u003eChanging default content of authenticators prior to information system installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5e." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5f.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5f." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5g.", + "prose": [ + "\u003cp class=\"description\"\u003eChanging/refreshing authenticators \u003cinsert param-id=\"ia-5_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5g." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5h.", + "prose": [ + "\u003cp class=\"description\"\u003eProtecting authenticator content from unauthorized disclosure and modification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5h." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5i.", + "prose": [ + "\u003cp class=\"description\"\u003eRequiring individuals to take, and having devices implement, specific security safeguards to protect authenticators; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5i." + } + ] + }, + { + "class": "item", + "id": "smm_ia-5j.", + "prose": [ + "\u003cp class=\"description\"\u003eChanging authenticators for group/role accounts when membership to those accounts changes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5j." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndividual authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). In many cases, developers ship information system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored within organizational information systems (e.g., passwords stored in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with administrator privileges). Information systems support individual authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Specific actions that can be taken to safeguard authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing individual authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#cm.6" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.8" + }, + { + "href": "#pl.4" + }, + { + "href": "#ps.5" + }, + { + "href": "#ps.6" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.17" + }, + { + "href": "#sc.28" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization manages information system authenticators by: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003everifying, as part of the initial authenticator distribution, the identity of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe individual receiving the authenticator;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe group receiving the authenticator;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe role receiving the authenticator; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe device receiving the authenticator;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishing initial authenticator content for authenticators defined by the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eensuring that authenticators have sufficient strength of mechanism for their intended use;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.d.", + "props": [ + { + "class": "name", + "value": "IA-5(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-5.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishing and implementing administrative procedures for initial authenticator distribution;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishing and implementing administrative procedures for lost/compromised or damaged authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishing and implementing administrative procedures for revoking authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(d)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.e.", + "prose": [ + "\u003cp class=\"decision\"\u003echanging default content of authenticators prior to information system installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(e)" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.f.", + "props": [ + { + "class": "name", + "value": "IA-5(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-5.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishing minimum lifetime restrictions for authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishing maximum lifetime restrictions for authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(f)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.f.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishing reuse conditions for authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(f)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.g.", + "props": [ + { + "class": "name", + "value": "IA-5(g)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-5.g.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefining a time period (by authenticator type) for changing/refreshing authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(g)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.g.2.", + "prose": [ + "\u003cp class=\"decision\"\u003echanging/refreshing authenticators with the organization-defined time period by authenticator type;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(g)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.h.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotecting authenticator content from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(h)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-5.h.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edisclosure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(h)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.h.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(h)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.i.", + "props": [ + { + "class": "name", + "value": "IA-5(i)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-5.i.1.", + "prose": [ + "\u003cp class=\"decision\"\u003erequiring individuals to take specific security safeguards to protect authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(i)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.i.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ehaving devices implement specific security safeguards to protect authenticators; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(i)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ia-5.j.", + "prose": [ + "\u003cp class=\"decision\"\u003echanging authenticators for group/role accounts when membership to those accounts changes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(j)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system authenticator types\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records associated with managing information system authenticators\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.5.1.", + "title": "PASSWORD-BASED AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-5 (1)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, for password-based authentication:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ia-5.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces minimum password complexity of \u003cinsert param-id=\"ia-5_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces at least the following number of changed characters when new passwords are created: \u003cinsert param-id=\"ia-5_c\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.1.c.", + "prose": [ + "\u003cp class=\"description\"\u003eStores and transmits only cryptographically-protected passwords;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.1.d.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces password minimum and maximum lifetime restrictions of \u003cinsert param-id=\"ia-5_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(d)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.1.e.", + "prose": [ + "\u003cp class=\"description\"\u003eProhibits password reuse for \u003cinsert param-id=\"ia-5_e\"/\u003e generations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(e)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.1.f.", + "prose": [ + "\u003cp class=\"description\"\u003eAllows the use of a temporary password for system logons with an immediate change to a permanent password.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(f)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to single-factor authentication of individuals using passwords as individual or group authenticators, and in a similar manner, when passwords are part of multifactor authenticators. This control enhancement does not apply when passwords are used to unlock hardware authenticators (e.g., Personal Identity Verification cards). The implementation of such password mechanisms may not meet all of the requirements in the enhancement. Cryptographically-protected passwords include, for example, encrypted versions of passwords and one-way cryptographic hashes of passwords. The number of changed characters refers to the number of changes required with respect to the total number of positions in the current password. Password lifetime restrictions do not apply to temporary passwords. To mitigate certain brute force attacks against passwords, organizations may also consider salting passwords.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if, for password-based authentication: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.1.a.", + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines requirements for case sensitivity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines requirements for number of characters;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines requirements for the mix of upper-case letters, lower-case letters, numbers and special characters;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines minimum requirements for each type of character;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.a.5.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces minimum password complexity of organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[5]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.b.", + "props": [ + { + "class": "name", + "value": "IA-5(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a minimum number of changed characters to be enforced when new passwords are created;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces at least the organization-defined minimum number of characters that must be changed when new passwords are created;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system stores and transmits only encrypted representations of passwords;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(c)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.d.", + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.1.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines numbers for password minimum lifetime restrictions to be enforced for passwords;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines numbers for password maximum lifetime restrictions to be enforced for passwords;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces password minimum lifetime restrictions of organization-defined numbers for lifetime minimum;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.d.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces password maximum lifetime restrictions of organization-defined numbers for lifetime maximum;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.e.", + "props": [ + { + "class": "name", + "value": "IA-5(1)(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.1.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the number of password generations to be prohibited from password reuse;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prohibits password reuse for the organization-defined number of generations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(e)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system allows the use of a temporary password for system logons with an immediate change to a permanent password.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(1)(f)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003epassword policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003epassword configurations and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing password-based authenticator management capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-5_b", + "desc": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type", + "value": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type" + }, + { + "id": "ia-5_c", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "id": "ia-5_d", + "desc": "organization-defined numbers for lifetime minimum, lifetime maximum", + "value": "organization-defined numbers for lifetime minimum, lifetime maximum" + }, + { + "id": "ia-5_e", + "desc": "organization-defined number", + "value": "organization-defined number" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.2.", + "title": "PKI-BASED AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-5 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, for PKI-based authentication:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ia-5.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eValidates certifications by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces authorized access to the corresponding private key;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (2)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.2.c.", + "prose": [ + "\u003cp class=\"description\"\u003eMaps the authenticated identity to the account of the individual or group; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (2)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ia-5.2.d.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (2)(d)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eStatus information for certification paths includes, for example, certificate revocation lists or certificate status protocol responses. For PIV cards, validation of certifications involves the construction and verification of a certification path to the Common Policy Root trust anchor including certificate policy processing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system, for PKI-based authentication: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.2.a.", + "props": [ + { + "class": "name", + "value": "IA-5(2)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003evalidates certifications by constructing a certification path to an accepted trust anchor;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(2)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003evalidates certifications by verifying a certification path to an accepted trust anchor;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(2)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eincludes checking certificate status information when constructing and verifying the certification path;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(2)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces authorized access to the corresponding private key;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(2)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003emaps the authenticated identity to the account of the individual or group; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(2)(c)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(2)(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ePKI certification validation records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ePKI certification revocation lists\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with PKI-based, authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing PKI-based, authenticator management capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.3.", + "title": "IN-PERSON OR TRUSTED THIRD-PARTY REGISTRATION", + "props": [ + { + "class": "name", + "value": "IA-5 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that the registration process to receive \u003cinsert param-id=\"ia-5_f\"/\u003e be conducted [Selection: in person; by a trusted third party] before \u003cinsert param-id=\"ia-5_g\"/\u003e with authorization by \u003cinsert param-id=\"ia-5_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of and/or specific authenticators to be received in person or by a trusted third party;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the registration authority with oversight of the registration process for receipt of organization-defined types of and/or specific authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles responsible for authorizing organization-defined registration authority;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines if the registration process is to be conducted:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(3)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.3.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ein person; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(3)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.3.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eby a trusted third party; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(3)[4][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.3.5.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that the registration process to receive organization-defined types of and/or specific authenticators be conducted in person or by a trusted third party before organization-defined registration authority with authorization by organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(3)[5]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eregistration process for receiving information system authenticators\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of authenticators requiring in-person registration\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of authenticators requiring trusted third party registration\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthenticator registration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eregistration authority\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ia-5_f", + "desc": "organization-defined types of and/or specific authenticators", + "value": "organization-defined types of and/or specific authenticators" + }, + { + "id": "ia-5_g", + "desc": "organization-defined registration authority", + "value": "organization-defined registration authority" + }, + { + "id": "ia-5_h", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.4.", + "title": "AUTOMATED SUPPORT FOR PASSWORD STRENGTH DETERMINATION", + "props": [ + { + "class": "name", + "value": "IA-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated tools to determine if password authenticators are sufficiently strong to satisfy \u003cinsert param-id=\"ia-5_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on the creation of strong passwords and the characteristics of such passwords (e.g., complexity) prior to use, the enforcement of which is carried out by organizational information systems in IA-5 (1).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines requirements to be satisfied by password authenticators; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated tools to determine if password authenticators are sufficiently strong to satisfy organization-defined requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated tools for evaluating password authenticators\u003c/p\u003e", + "\u003cp class=\"object\"\u003epassword strength assessment results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing password-based authenticator management capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated tools for determining password strength\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-5_i", + "desc": "organization-defined requirements", + "value": "organization-defined requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.5.", + "title": "CHANGE AUTHENTICATORS PRIOR TO DELIVERY", + "props": [ + { + "class": "name", + "value": "IA-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires developers/installers of information system components to provide unique authenticators or change default authenticators prior to delivery/installation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement extends the requirement for organizations to change default authenticators upon information system installation, by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to the developers of commercial off-the-shelve information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring information systems or system components.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires developers/installers of information system components to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovide unique authenticators prior to delivery/installation; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003echange default authenticators prior to delivery/installation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for information system procurements or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system security, acquisition, and contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.6.", + "title": "PROTECTION OF AUTHENTICATORS", + "props": [ + { + "class": "name", + "value": "IA-5 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor information systems containing multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity categorization documentation for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessments of authenticator protections\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment results\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel implementing and/or maintaining authenticator protections\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms protecting authenticators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.7.", + "title": "NO EMBEDDED UNENCRYPTED STATIC AUTHENTICATORS", + "props": [ + { + "class": "name", + "value": "IA-5 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that unencrypted static authenticators are not: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eembedded in applications;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eembedded in access scripts; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(7)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.7.3.", + "prose": [ + "\u003cp class=\"decision\"\u003estored on function keys.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(7)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elogical access scripts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapplication code reviews for detecting unencrypted static authenticators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing authentication in applications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.8.", + "title": "MULTIPLE INFORMATION SYSTEM ACCOUNTS", + "props": [ + { + "class": "name", + "value": "IA-5 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"ia-5_j\"/\u003e to manage the risk of compromise due to individuals having accounts on multiple information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen individuals have accounts on multiple information systems, there is the risk that the compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Possible alternatives include, for example: (i) having different authenticators on all systems; (ii) employing some form of single sign-on mechanism; or (iii) including some form of one-time passwords on all systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(8)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of individuals having accounts on multiple information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards intended to manage risk of compromise due to individuals having accounts on multiple information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing safeguards for authenticator management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-5_j", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.9.", + "title": "CROSS-ORGANIZATION CREDENTIAL MANAGEMENT", + "props": [ + { + "class": "name", + "value": "IA-5 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates with \u003cinsert param-id=\"ia-5_k\"/\u003e for cross-organization management of credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCross-organization management of credentials provides the capability for organizations to appropriately authenticate individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external organizations with whom to coordinate cross-organizational management of credentials; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates with organization-defined external organizations for cross-organizational management of credentials.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation security agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing safeguards for authenticator management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-5_k", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.10.", + "title": "DYNAMIC CREDENTIAL ASSOCIATION", + "props": [ + { + "class": "name", + "value": "IA-5 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system dynamically provisions identities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthentication requires some form of binding between an identity and the authenticator used to confirm the identity. In conventional approaches, this binding is established by pre-provisioning both the identity and the authenticator to the information system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the information system. New authentication techniques allow the binding between the identity and the authenticator to be implemented outside an information system. For example, with smartcard credentials, the identity and the authenticator are bound together on the card. Using these credentials, information systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system dynamically provisions identifiers.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms providing dynamic binding of identifiers and authenticators\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing identifier management capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing dynamic provisioning of identifiers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.11.", + "title": "HARDWARE TOKEN-BASED AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-5 (11)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, for hardware token-based authentication, employs mechanisms that satisfy \u003cinsert param-id=\"ia-5_l\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHardware token-based authentication typically refers to the use of PKI-based tokens, such as the U.S. Government Personal Identity Verification (PIV) card. Organizations define specific requirements for tokens, such as working with a particular PKI.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if, for hardware token-based authentication: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines token quality requirements to be satisfied; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system employs mechanisms that satisfy organization-defined token quality requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(11)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms employing hardware token-based authentication for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of token quality requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing hardware token-based authenticator management capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-5_l", + "desc": "organization-defined token quality requirements", + "value": "organization-defined token quality requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.12.", + "title": "BIOMETRIC-BASED AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-5 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, for biometric-based authentication, employs mechanisms that satisfy \u003cinsert param-id=\"ia-5_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnlike password-based authentication which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide such exact matches. Depending upon the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and stored biometric which serves as the basis of comparison. There will likely be both false positives and false negatives when making such comparisons. The rate at which the false accept and false reject rates are equal is known as the crossover rate. Biometric quality requirements include, for example, acceptable crossover rates, as that essentially reflects the accuracy of the biometric.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if, for biometric-based authentication: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines biometric quality requirements to be satisfied; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system employs mechanisms that satisfy organization-defined biometric quality requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(12)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms employing biometric-based authentication for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of biometric quality requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing biometric-based authenticator management capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-5_m", + "desc": "organization-defined biometric quality requirements", + "value": "organization-defined biometric quality requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.13.", + "title": "EXPIRATION OF CACHED AUTHENTICATORS", + "props": [ + { + "class": "name", + "value": "IA-5 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prohibits the use of cached authenticators after \u003cinsert param-id=\"ia-5_n\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the time period after which the information system is to prohibit the use of cached authenticators; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prohibits the use of cached authenticators after the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(13)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-5_n", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.14.", + "title": "MANAGING CONTENT OF PKI TRUST STORES", + "props": [ + { + "class": "name", + "value": "IA-5 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including networks, operating systems, browsers, and applications.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-5.14.1.", + "prose": [ + "\u003cp class=\"decision\"\u003enetworks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(14)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-5.14.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eoperating systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5(14)[2]" + } + ] + }, + { 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system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing PKI-based authenticator management capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the PKI trust store capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.15.", + "title": "FICAM-APPROVED PRODUCTS AND SERVICES", + "props": [ + { + "class": "name", + "value": "IA-5 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization uses only FICAM-approved path discovery and validation products and services.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFederal Identity, Credential, and Access Management (FICAM)-approved path discovery and validation products and services are those products and services that have been approved through the FICAM conformance program, where applicable.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization uses only FICAM-approved path discovery and validation products and services.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms providing dynamic binding of identifiers and authenticators\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identification and authentication management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing account management capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing identification and authentication management capability for the information system\u003c/p\u003e" + ], + "props": [ + { + "class": 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}, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + }, + { + "citations": [ + { + "href": "http://www.idmanagement.gov/documents/ficam-roadmap-and-implementation-guidance", + "value": "FICAM Roadmap and Implementation Guidance" + } + ] + }, + { + "citations": [ + { + "href": "http://idmanagement.gov", + "value": "http://idmanagement.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.6", + "title": "AUTHENTICATOR FEEDBACK", + "props": [ + { + "class": "name", + "value": "IA-6" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe feedback from information systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of information systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (often referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be less significant, and may need to be balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is selected accordingly. Obscuring the feedback of authentication information includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.18" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing authenticator feedback\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ia.7", + "title": "CRYPTOGRAPHIC MODULE AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-7" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cryptographic module authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for cryptographic module authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing cryptographic module authentication\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html", + "value": "FIPS Publication 140" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/groups/STM/cmvp/index.html", + "value": "http://csrc.nist.gov/groups/STM/cmvp/index.html" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.8", + "title": "IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)", + "props": [ + { + "class": "name", + "value": "IA-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNon-organizational users include information system users other than organizational users explicitly covered by IA-2. These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations use risk assessments to determine authentication needs and consider scalability, practicality, and security in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk. IA-2 addresses identification and authentication requirements for access to information systems by organizational users.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.14" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ma.4" + }, + { + "href": "#ra.3" + }, + { + "href": "#sa.12" + }, + { + "href": "#sc.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.8.1.", + "title": "ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES", + "props": [ + { + "class": "name", + "value": "IA-8 (1)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system accepts and electronically verifies Personal Identity Verification (PIV) credentials from other federal agencies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#sa.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-8.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccepts Personal Identity Verification (PIV) credentials from other agencies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-8(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-8.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eelectronically verifies Personal Identity Verification (PIV) credentials from other agencies.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-8(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ePIV verification records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of PIV credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003ePIV credential authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms that accept and verify PIV credentials\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.8.2.", + "title": "ACCEPTANCE OF THIRD-PARTY CREDENTIALS", + "props": [ + { + "class": "name", + "value": "IA-8 (2)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system accepts only FICAM-approved third-party credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement typically applies to organizational information systems that are accessible to the general public, for example, public-facing websites. Third-party credentials are those credentials issued by nonfederal government entities approved by the Federal Identity, Credential, and Access Management (FICAM) Trust Framework Solutions initiative. Approved third-party credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. This allows federal government relying parties to trust such credentials at their approved assurance levels.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system accepts only FICAM-approved third-party credentials. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of FICAM-approved, third-party credentialing products, components, or services procured and implemented by organization\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethird-party credential verification records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of FICAM-approved third-party credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethird-party credential authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms that accept FICAM-approved credentials\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.8.3.", + "title": "USE OF FICAM-APPROVED PRODUCTS", + "props": [ + { + "class": "name", + "value": "IA-8 (3)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs only FICAM-approved information system components in \u003cinsert param-id=\"ia-8_a\"/\u003e to accept third-party credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement typically applies to information systems that are accessible to the general public, for example, public-facing websites. FICAM-approved information system components include, for example, information technology products and software libraries that have been approved by the Federal Identity, Credential, and Access Management conformance program.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-8.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems in which only FICAM-approved information system components are to be employed to accept third-party credentials; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-8(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-8.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys only FICAM-approved information system components in organization-defined information systems to accept third-party credentials.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-8(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethird-party credential validations\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethird-party credential authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethird-party credential records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of FICAM-approved information system components procured and implemented by organization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for information system procurements or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system security, acquisition, and contracting responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ia-8_a", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.8.4.", + "title": "USE OF FICAM-ISSUED PROFILES", + "props": [ + { + "class": "name", + "value": "IA-8 (4)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system conforms to FICAM-issued profiles.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses open identity management standards. To ensure that these standards are viable, robust, reliable, sustainable (e.g., available in commercial information technology products), and interoperable as documented, the United States Government assesses and scopes identity management standards and technology implementations against applicable federal legislation, directives, policies, and requirements. The result is FICAM-issued implementation profiles of approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute Exchange).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system conforms to FICAM-issued profiles. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of FICAM-issued profiles and associated, approved protocols\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for information system procurements or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing conformance with FICAM-issued profiles\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.8.5.", + "title": "ACCEPTANCE OF PIV-I CREDENTIALS", + "props": [ + { + "class": "name", + "value": "IA-8 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system accepts and electronically verifies Personal Identity Verification-I (PIV-I) credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement: (i) applies to logical and physical access control systems; and (ii) addresses Non-Federal Issuers (NFIs) of identity cards that desire to interoperate with United States Government Personal Identity Verification (PIV) information systems and that can be trusted by federal government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is suitable for Assurance Level 4 as defined in OMB Memorandum 04-04 and NIST Special Publication 800-63, and multifactor authentication as defined in NIST Special Publication 800-116. PIV-I credentials are those credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified (directly or through another PKI bridge) with the FBCA with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-8.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccepts Personal Identity Verification-I (PIV-I) credentials; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-8(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-8.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eelectronically verifies Personal Identity Verification-I (PIV-I) credentials.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-8(5)[2]" + } + ] + } + ] + }, + { + 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class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms that accept and verify PIV-I credentials\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy04/m04-04.pdf", + "value": "OMB Memorandum 04-04" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/m11-11.pdf", + "value": "OMB Memorandum 11-11" + } + ] + }, + { + "citations": [ + { + "value": "OMB Memorandum 10-06-2011" + } + ] + }, + { + "citations": [ + { + "href": "http://www.idmanagement.gov/documents/ficam-roadmap-and-implementation-guidance", + "value": "FICAM Roadmap and Implementation Guidance" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-116", + "value": "NIST Special Publication 800-116" + } + ] + }, + { + "citations": [ + { + "href": "http://www.nist.gov/nstic", + "value": "National Strategy for Trusted Identities in Cyberspace" + } + ] + }, + { + "citations": [ + { + "href": "http://idmanagement.gov", + "value": "http://idmanagement.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.9", + "title": "SERVICE IDENTIFICATION AND AUTHENTICATION", + "params": [ + { + "id": "ia-9_a", + "desc": "organization-defined information system services", + "value": "organization-defined information system services" + }, + { + "id": "ia-9_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "IA-9" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies and authenticates \u003cinsert param-id=\"ia-9_a\"/\u003e using \u003cinsert param-id=\"ia-9_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control supports service-oriented architectures and other distributed architectural approaches requiring the identification and authentication of information system services. In such architectures, external services often appear dynamically. Therefore, information systems should be able to determine in a dynamic manner, if external providers and associated services are authentic. Safeguards implemented by organizational information systems to validate provider and service authenticity include, for example, information or code signing, provenance graphs, and/or electronic signatures indicating or including the sources of services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-9-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system services to be identified and authenticated using security safeguards;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-9[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-9-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be used to identify and authenticate organization-defined information system services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-9[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-9-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies and authenticates organization-defined information system services using organization-defined security safeguards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-9[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing service identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity safeguards used to identify and authenticate information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with identification and authentication responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity safeguards implementing service identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.9.1.", + "title": "INFORMATION EXCHANGE", + "props": [ + { + "class": "name", + "value": "IA-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that service providers receive, validate, and transmit identification and authentication information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that service providers: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ia-9.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ereceive identification and authentication information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-9(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-9.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003evalidate identification and authentication information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-9(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ia-9.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003etransmit identification and authentication information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-9(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing service identification and authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with identification and authentication responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice providers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing service identification and authentication capabilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.9.2.", + "title": "TRANSMISSION OF DECISIONS", + "props": [ + { + "class": "name", + "value": "IA-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that identification and authentication decisions are transmitted between \u003cinsert param-id=\"ia-9_c\"/\u003e consistent with organizational policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor distributed architectures (e.g., service-oriented architectures), the decisions regarding the validation of identification and authentication claims may be made by services separate from the services acting on those decisions. 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This situation can potentially occur with any authentication mechanisms employed by organizations. To address this threat, organizations may employ specific techniques/mechanisms and establish protocols to assess suspicious behavior (e.g., individuals accessing information that they do not typically access as part of their normal duties, roles, or responsibilities, accessing greater quantities of information than the individuals would routinely access, or attempting to access information from suspicious network addresses). In these situations when certain preestablished conditions or triggers occur, organizations can require selected individuals to provide additional authentication information. Another potential use for adaptive identification and authentication is to increase the strength of mechanism based on the number and/or types of records being accessed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-10-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines specific circumstances or situations that require individuals accessing the information system to employ supplemental authentication techniques or mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-10[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-10-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines supplemental authentication techniques or mechanisms to be employed when accessing the information system under specific organization-defined circumstances or situations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-10[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-10-3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that individuals accessing the information system employ organization-defined supplemental authentication techniques or mechanisms under specific organization-defined circumstances or situations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-10[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing adaptive/ supplemental identification and authentication techniques or mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esupplemental identification and authentication techniques or mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with identification and authentication responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ia.11", + "title": "RE-AUTHENTICATION", + "params": [ + { + "id": "ia-11_a", + "desc": "organization-defined circumstances or situations requiring re-authentication", + "value": "organization-defined circumstances or situations requiring re-authentication" + } + ], + "props": [ + { + "class": "name", + "value": "IA-11" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires users and devices to re-authenticate when \u003cinsert param-id=\"ia-11_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn addition to the re-authentication requirements associated with session locks, organizations may require re-authentication of individuals and/or devices in other situations including, for example: (i) when authenticators change; (ii), when roles change; (iii) when security categories of information systems change; (iv), when the execution of privileged functions occurs; (v) after a fixed period of time; or (vi) periodically.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ia-11-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines circumstances or situations requiring re-authentication;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-11[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-11-2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires users to re-authenticate when organization-defined circumstances or situations require re-authentication; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-11[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ia-11-3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires devices to re-authenticate when organization-defined circumstances or situations require re-authentication.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-11[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing user and device re-authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of circumstances or situations requiring re-authentication\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with identification and authentication responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "INCIDENT RESPONSE", + "controls": [ + { + "class": "SP800-53", + "id": "ir.1", + "title": "INCIDENT RESPONSE POLICY AND PROCEDURES", + "params": [ + { + "id": "ir-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ir-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ir-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IR-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ir-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ir-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ir-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAn incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ir-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the incident response policy and associated incident response controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ir-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ir-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eIncident response policy \u003cinsert param-id=\"ir-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ir-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIncident response procedures \u003cinsert param-id=\"ir-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-1.a.1.", + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an incident response policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the incident response policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the incident response policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.2.", + "props": [ + { + "class": "name", + "value": "IR-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the incident response policy and associated incident response controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.b.1.", + "props": [ + { + "class": "name", + "value": "IR-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current incident response policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current incident response policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.b.2.", + "props": [ + { + "class": "name", + "value": "IR-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current incident response procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current incident response procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-83", + "value": "NIST Special Publication 800-83" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.2", + "title": "INCIDENT RESPONSE TRAINING", + "params": [ + { + "id": "ir-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "ir-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IR-2" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides incident response training to information system users consistent with assigned roles and responsibilities:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ir-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eWithin \u003cinsert param-id=\"ir-2_a\"/\u003e of assuming an incident response role or responsibility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2a." + } + ] + }, + { + "class": "item", + "id": "smm_ir-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2b." + } + ] + }, + { + "class": "item", + "id": "smm_ir-2c.", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"ir-2_b\"/\u003e thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncident response training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, regular users may only need to know who to call or how to recognize an incident on the information system; system administrators may require additional training on how to handle/remediate incidents; and incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#cp.3" + }, + { + "href": "#ir.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-2.a.", + "props": [ + { + "class": "name", + "value": "IR-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period within which incident response training is to be provided to information system users assuming an incident response role or responsibility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides incident response training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming an incident response role or responsibility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides incident response training to information system users consistent with assigned roles and responsibilities when required by information system changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-2.c.", + "props": [ + { + "class": "name", + "value": "IR-2(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide refresher incident response training to information system users consistent with assigned roles or responsibilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eafter the initial incident response training, provides refresher incident response training to information system users consistent with assigned roles and responsibilities in accordance with the organization-defined frequency to provide refresher training.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response training records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response training and operational responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.2.1.", + "title": "SIMULATED EVENTS", + "props": [ + { + "class": 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class=\"object\"\u003eOrganizational personnel with incident response testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for testing organizational plans related to incident response testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-84", + "value": "NIST Special Publication 800-84" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-115", + "value": "NIST Special Publication 800-115" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.4", + "title": "INCIDENT HANDLING", + "props": [ + { + "class": "name", + "value": "IR-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ir-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4a." + } + ] + }, + { + "class": "item", + "id": "smm_ir-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinates incident handling activities with contingency planning activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4b." + } + ] + }, + { + "class": "item", + "id": "smm_ir-4c.", + "prose": [ + 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Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#cm.6" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.4" + }, + { + "href": "#ir.2" + }, + { + "href": "#ir.3" + }, + { + "href": "#ir.8" + }, + { + "href": "#pe.6" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements an incident handling capability for security incidents that includes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003epreparation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetection and analysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003econtainment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eeradication;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(a)[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.a.5.", + "prose": [ + "\u003cp class=\"decision\"\u003erecovery;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(a)[5]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates incident handling activities with contingency planning activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.c.", + "props": [ + { + "class": "name", + "value": "IR-4(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eincorporates lessons learned from ongoing incident handling activities into:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-4.c.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eincident response procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.c.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003etraining;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.c.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003etesting/exercises;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements the resulting changes accordingly to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-4.c.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eincident response procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.c.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003etraining; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-4.c.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003etesting/exercises.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(c)[2][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident handling capability for the organization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.4.1.", + "title": "AUTOMATED INCIDENT HANDLING PROCESSES", + "props": [ + { + "class": "name", + "value": "IR-4 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to support the incident handling process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting incident handling processes include, for example, online incident management systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to support the incident handling process. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms that support and/or implement the incident handling process\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.2.", + "title": "DYNAMIC RECONFIGURATION", + "props": [ + { + "class": "name", + "value": "IR-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes dynamic reconfiguration of \u003cinsert param-id=\"ir-4_a\"/\u003e as part of the incident response capability.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic reconfiguration includes, for example, changes to router rules, access control lists, intrusion detection/prevention system parameters, and filter rules for firewalls and gateways. Organizations perform dynamic reconfiguration of information systems, for example, to stop attacks, to misdirect attackers, and to isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include time frames for achieving the reconfiguration of information systems in the definition of the reconfiguration capability, considering the potential need for rapid response in order to effectively address sophisticated cyber threats.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components to be dynamically reconfigured as part of the incident response capability; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eincludes dynamic reconfiguration of organization-defined information system components as part of the incident response capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system components to be dynamically reconfigured as part of incident response capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms that support and/or implement dynamic reconfiguration of components as part of incident response\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-4_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.3.", + "title": "CONTINUITY OF OPERATIONS", + "props": [ + { + "class": "name", + "value": "IR-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies \u003cinsert param-id=\"ir-4_b\"/\u003e and \u003cinsert param-id=\"ir-4_c\"/\u003e to ensure continuation of organizational missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClasses of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Appropriate incident response actions include, for example, graceful degradation, information system shutdown, fall back to manual mode/alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved solely for when systems are under attack.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-4.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines classes of incidents requiring an organization-defined action to be taken;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines actions to be taken in response to organization-defined classes of incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies organization-defined classes of incidents and organization-defined actions to take in response to classes of incidents to ensure continuation of organizational missions and business functions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of classes of incidents\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of appropriate incident response actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms that support and/or implement continuity of operations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-4_b", + "desc": "organization-defined classes of incidents", + "value": "organization-defined classes of incidents" + }, + { + "id": "ir-4_c", + "desc": "organization-defined actions to take in response to classes of incidents", + "value": "organization-defined actions to take in response to classes of incidents" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.4.", + "title": "INFORMATION CORRELATION", + "props": [ + { + "class": "name", + "value": "IR-4 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSometimes the nature of a threat event, for example, a hostile cyber attack, is such that it can only be observed by bringing together information from different sources including various reports and reporting procedures established by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident and event correlation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident management correlation logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevent management correlation logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity information and event management logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident management correlation reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevent management correlation reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity information and event management reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with whom incident information and individual incident responses are to be correlated\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for correlating incident information and individual incident responses\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms that support and or implement correlation of incident response information with individual incident responses\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.5.", + "title": "AUTOMATIC DISABLING OF INFORMATION SYSTEM", + "props": [ + { + "class": "name", + "value": "IR-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements a configurable capability to automatically disable the information system if \u003cinsert param-id=\"ir-4_d\"/\u003e are detected.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-4.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security violations that, if detected, initiate a configurable capability to automatically disable the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a configurable capability to automatically disable the information system if any of the organization-defined security violations are detected.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident handling capability for the organization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing automatic disabling of the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-4_d", + "desc": "organization-defined security violations", + "value": "organization-defined security violations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.6.", + "title": "INSIDER THREATS - SPECIFIC CAPABILITIES", + "props": [ + { + "class": "name", + "value": "IR-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements incident handling capability for insider threats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhile many organizations address insider threat incidents as an inherent part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities (as defined within organizations) to provide appropriate and timely responses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization implements incident handling capability for insider threats.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident handling capability for the organization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.7.", + "title": "INSIDER THREATS - INTRA-ORGANIZATION COORDINATION", + "props": [ + { + "class": "name", + "value": "IR-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates incident handling capability for insider threats across \u003cinsert param-id=\"ir-4_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncident handling for insider threat incidents (including preparation, detection and analysis, containment, eradication, and recovery) requires close coordination among a variety of organizational components or elements to be effective. These components or elements include, for example, mission/business owners, information system owners, human resources offices, procurement offices, personnel/physical security offices, operations personnel, and risk executive (function). In addition, organizations may require external support from federal, state, and local law enforcement agencies.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-4.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines components or elements of the organization with whom the incident handling capability for insider threats is to be coordinated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates incident handling capability for insider threats across organization-defined components or elements of the organization.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(7)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel/elements with whom incident handling capability is to be coordinated\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for coordinating incident handling\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-4_e", + "desc": "organization-defined components or elements of the organization", + "value": "organization-defined components or elements of the organization" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.8.", + "title": "CORRELATION WITH EXTERNAL ORGANIZATIONS", + "props": [ + { + "class": "name", + "value": "IR-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates with \u003cinsert param-id=\"ir-4_f\"/\u003e to correlate and share \u003cinsert param-id=\"ir-4_g\"/\u003e to achieve a cross-organization perspective on incident awareness and more effective incident responses.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe coordination of incident information with external organizations including, for example, mission/business partners, military/coalition partners, customers, and multitiered developers, can provide significant benefits. Cross-organizational coordination with respect to incident handling can serve as an important risk management capability. This capability allows organizations to leverage critical information from a variety of sources to effectively respond to information security-related incidents potentially affecting the organization�s operations, assets, and individuals.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-4.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external organizations with whom organizational incident information is to be coordinated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines incident information to be correlated and shared with organization-defined external organizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.8.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization coordinates with organization-defined external organizations to correlate and share organization-defined information to achieve a cross-organization perspective on incident awareness and more effective incident responses.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(8)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of external organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of incident handling coordination with external organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel from external organizations with whom incident response information is to be coordinated/shared/correlated\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for coordinating incident handling information with external organizations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-4_f", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "id": "ir-4_g", + "desc": "organization-defined incident information", + "value": "organization-defined incident information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.9.", + "title": "DYNAMIC RESPONSE CAPABILITY", + "props": [ + { + "class": "name", + "value": "IR-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"ir-4_h\"/\u003e to effectively respond to security incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses the deployment of replacement or new capabilities in a timely manner in response to security incidents (e.g., adversary actions during hostile cyber attacks). This includes capabilities implemented at the mission/business process level (e.g., activating alternative mission/business processes) and at the information system level.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-4.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines dynamic response capabilities to be employed to effectively respond to security incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-4.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined dynamic response capabilities to effectively respond to security incidents.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting dynamic response capabilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for dynamic response capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the dynamic response capability for the organization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-4_h", + "desc": "organization-defined dynamic response capabilities", + "value": "organization-defined dynamic response capabilities" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.10.", + "title": "SUPPLY CHAIN COORDINATION", + "props": [ + { + "class": "name", + "value": "IR-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain coordination\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plans of other organization involved in supply chain activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net", + "value": "Executive Order 13587" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.5", + "title": "INCIDENT MONITORING", + "props": [ + { + "class": "name", + "value": "IR-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tracks and documents information system security incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDocumenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#ir.8" + }, + { + "href": "#pe.6" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-5-1.", + "prose": [ + "\u003cp class=\"decision\"\u003etracks information system security incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-5[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-5-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments information system security incidents.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-5[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response records and documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident monitoring capability for the organization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing tracking and documenting of system security incidents\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.5.1.", + "title": "AUTOMATED TRACKING / DATA COLLECTION / ANALYSIS", + "props": [ + { + "class": "name", + "value": "IR-5 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms for tracking security incidents and collecting/analyzing incident information include, for example, the Einstein network monitoring device and monitoring online Computer Incident Response Centers (CIRCs) or other electronic databases of incidents.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.7" + }, + { + "href": "#ir.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to assist in:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-5.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe tracking of security incidents;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-5(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-5.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe collection of incident information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-5(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-5.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe analysis of incident information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-5(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms assisting in tracking of security incidents and in the collection and analysis of incident information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.6", + "title": "INCIDENT REPORTING", + "params": [ + { + "id": "ir-6_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "ir-6_b", + "desc": "organization-defined authorities", + "value": "organization-defined authorities" + } + ], + "props": [ + { + "class": "name", + "value": "IR-6" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ir-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires personnel to report suspected security incidents to the organizational incident response capability within \u003cinsert param-id=\"ir-6_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6a." + } + ] + }, + { + "class": "item", + "id": "smm_ir-6b.", + "prose": [ + "\u003cp class=\"description\"\u003eReports security incident information to \u003cinsert param-id=\"ir-6_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. The types of security incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.4" + }, + { + "href": "#ir.5" + }, + { + "href": "#ir.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-6.a.", + "props": [ + { + "class": "name", + "value": "IR-6(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-6.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which personnel report suspected security incidents to the organizational incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-6.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires personnel to report suspected security incidents to the organizational incident response capability within the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-6.b.", + "props": [ + { + "class": "name", + "value": "IR-6(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines authorities to whom security incident information is to be reported; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports security incident information to organization-defined authorities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident reporting records and documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel who have/should have reported incidents\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel (authorities) to whom incident information is to be reported\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing incident reporting\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.6.1.", + "title": "AUTOMATED REPORTING", + "props": [ + { + "class": "name", + "value": "IR-6 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to assist in the reporting of security incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ir.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to assist in the reporting of security incidents.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing reporting of security incidents\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.6.2.", + "title": "VULNERABILITIES RELATED TO INCIDENTS", + "props": [ + { + "class": "name", + "value": "IR-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reports information system vulnerabilities associated with reported security incidents to \u003cinsert param-id=\"ir-6_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-6.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom information system vulnerabilities associated with reported security incidents are to be reported; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-6.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports information system vulnerabilities associated with reported security incidents to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity incident reports and associated information system vulnerabilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel to whom vulnerabilities associated with security incidents are to be reported\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing reporting of vulnerabilities associated with security incidents\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-6_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.6.3.", + "title": "COORDINATION WITH SUPPLY CHAIN", + "props": [ + { + "class": "name", + "value": "IR-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities. Organizations determine the appropriate information to share considering the value gained from support by external organizations with the potential for harm due to sensitive information being released to outside organizations of perhaps questionable trustworthiness.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain coordination\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplans of other organization involved in supply chain activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident reporting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for incident reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing reporting of incident information involved in the supply chain\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + }, + { + "citations": [ + { + "href": "http://www.us-cert.gov", + "value": "http://www.us-cert.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.7", + "title": "INCIDENT RESPONSE ASSISTANCE", + "props": [ + { + "class": "name", + "value": "IR-7" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the information system for the handling and reporting of security incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services, when required.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.6" + }, + { + "href": "#ir.8" + }, + { + "href": "#sa.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides an incident response support resource:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-7-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethat is integral to the organizational incident response capability; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-7[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-7-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethat offers advice and assistance to users of the information system for the handling and reporting of security incidents.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-7[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response assistance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response assistance and support responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with access to incident response support and assistance capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for incident response assistance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing incident response assistance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.7.1.", + "title": "AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION / SUPPORT", + "props": [ + { + "class": "name", + "value": "IR-7 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to increase the availability of incident response-related information and support.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to increase the availability of incident response-related information and support.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response assistance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting incident response support and assistance\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response support and assistance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with access to incident response support and assistance capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for incident response assistance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing an increase in the availability of incident response information and support\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.7.2.", + "title": "COORDINATION WITH EXTERNAL PROVIDERS", + "props": [ + { + "class": "name", + "value": "IR-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ir-7.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-7 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ir-7.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies organizational incident response team members to the external providers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-7 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-7.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-7(2)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-7.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies organizational incident response team members to the external providers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-7(2)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response assistance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response support and assistance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal providers of information system protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ir.8", + "title": "INCIDENT RESPONSE PLAN", + "params": [ + { + "id": "ir-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ir-8_b", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "id": "ir-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ir-8_d", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + } + ], + "props": [ + { + "class": "name", + "value": "IR-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ir-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops an incident response plan that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ir-8a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides the organization with a roadmap for implementing its incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ir-8a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes the structure and organization of the incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.2." + } + ] + }, + { + "class": "item", + "id": "sms_ir-8a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides a high-level approach for how the incident response capability fits into the overall organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.3." + } + ] + }, + { + "class": "item", + "id": "sms_ir-8a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eMeets the unique requirements of the organization, which relate to mission, size, structure, and functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.4." + } + ] + }, + { + "class": "item", + "id": "sms_ir-8a.5.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines reportable incidents;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.5." + } + ] + }, + { + "class": "item", + "id": "sms_ir-8a.6.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides metrics for measuring the incident response capability within the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.6." + } + ] + }, + { + "class": "item", + "id": "sms_ir-8a.7.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines the resources and management support needed to effectively maintain and mature an incident response capability; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.7." + } + ] + }, + { + "class": "item", + "id": "sms_ir-8a.8.", + "prose": [ + "\u003cp class=\"description\"\u003eIs reviewed and approved by \u003cinsert param-id=\"ir-8_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.8." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ir-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eDistributes copies of the incident response plan to \u003cinsert param-id=\"ir-8_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8b." + } + ] + }, + { + "class": "item", + "id": "smm_ir-8c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the incident response plan \u003cinsert param-id=\"ir-8_c\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8c." + } + ] + }, + { + "class": "item", + "id": "smm_ir-8d.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8d." + } + ] + }, + { + "class": "item", + "id": "smm_ir-8e.", + "prose": [ + "\u003cp class=\"description\"\u003eCommunicates incident response plan changes to \u003cinsert param-id=\"ir-8_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8e." + } + ] + }, + { + "class": "item", + "id": "smm_ir-8f.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the incident response plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8f." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIt is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops an incident response plan that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the organization with a roadmap for implementing its incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edescribes the structure and organization of the incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides a high-level approach for how the incident response capability fits into the overall organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(3)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003emeets the unique requirements of the organization, which relate to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.a.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003emission;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esize;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003estructure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.4.4.", + "prose": [ + "\u003cp class=\"decision\"\u003efunctions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.5.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines reportable incidents;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(5)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.6.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides metrics for measuring the incident response capability within the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(6)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.7.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the resources and management support needed to effectively maintain and mature an incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(7)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.8.", + "props": [ + { + "class": "name", + "value": "IR-8(a)(8)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.a.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to review and approve the incident response plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.a.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eis reviewed and approved by organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(a)(8)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.b.", + "props": [ + { + "class": "name", + "value": "IR-8(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.b.1.", + "props": [ + { + "class": "name", + "value": "IR-8(b)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.b.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(b)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.b.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines organizational elements to whom copies of the incident response plan are to be distributed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(b)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edistributes copies of the incident response plan to organization-defined incident response personnel (identified by name and/or by role) and organizational elements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.c.", + "props": [ + { + "class": "name", + "value": "IR-8(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the incident response plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the incident response plan with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the incident response plan to address system/organizational changes or problems encountered during plan:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eexecution; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003etesting;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(d)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.e.", + "props": [ + { + "class": "name", + "value": "IR-8(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.e.1.", + "props": [ + { + "class": "name", + "value": "IR-8(e)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-8.e.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines incident response personnel (identified by name and/or by role) to whom incident response plan changes are to be communicated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(e)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.e.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines organizational elements to whom incident response plan changes are to be communicated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(e)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecommunicates incident response plan changes to organization-defined incident response personnel (identified by name and/or by role) and organizational elements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(e)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-8.f.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the incident response plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8(f)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of incident response plan reviews and approvals\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response planning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational incident response plan and related organizational processes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.9", + "title": "INFORMATION SPILLAGE RESPONSE", + "params": [ + { + "id": "ir-9_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ir-9_b", + "desc": "organization-defined actions", + "value": "organization-defined actions" + } + ], + "props": [ + { + "class": "name", + "value": "IR-9" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization responds to information spills by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ir-9a.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifying the specific information involved in the information system contamination;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9a." + } + ] + }, + { + "class": "item", + "id": "smm_ir-9b.", + "prose": [ + "\u003cp class=\"description\"\u003eAlerting \u003cinsert param-id=\"ir-9_a\"/\u003e of the information spill using a method of communication not associated with the spill;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9b." + } + ] + }, + { + "class": "item", + "id": "smm_ir-9c.", + "prose": [ + "\u003cp class=\"description\"\u003eIsolating the contaminated information system or system component;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9c." + } + ] + }, + { + "class": "item", + "id": "smm_ir-9d.", + "prose": [ + "\u003cp class=\"description\"\u003eEradicating the information from the contaminated information system or component;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9d." + } + ] + }, + { + "class": "item", + "id": "smm_ir-9e.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifying other information systems or system components that may have been subsequently contaminated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9e." + } + ] + }, + { + "class": "item", + "id": "smm_ir-9f.", + "prose": [ + "\u003cp class=\"description\"\u003ePerforming other \u003cinsert param-id=\"ir-9_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9f." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation spillage refers to instances where either classified or sensitive information is inadvertently placed on information systems that are not authorized to process such information. Such information spills often occur when information that is initially thought to be of lower sensitivity is transmitted to an information system and then is subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information (e.g., security category or classification level), the security capabilities of the information system, the specific nature of contaminated storage media, and the access authorizations (e.g., security clearances) of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-9.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponds to information spills by identifying the specific information causing the information system contamination;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.b.", + "props": [ + { + "class": "name", + "value": "IR-9(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-9.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel to be alerted of the information spillage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies a method of communication not associated with the information spill to use to alert organization-defined personnel of the spill;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponds to information spills by alerting organization-defined personnel of the information spill using a method of communication not associated with the spill;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(b)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponds to information spills by isolating the contaminated information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponds to information spills by eradicating the information from the contaminated information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponds to information spills by identifying other information systems that may have been subsequently contaminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(e)" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.f.", + "props": [ + { + "class": "name", + "value": "IR-9(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ir-9.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines other actions to be performed in response to information spills; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ir-9.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponds to information spills by performing other organization-defined actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(f)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information spillage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of information spillage alerts/notifications, list of personnel who should receive alerts of information spillage\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of actions to be performed regarding information spillage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information spillage response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information spillage response actions and related communications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.9.1.", + "title": "RESPONSIBLE PERSONNEL", + "props": [ + { + "class": "name", + "value": "IR-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization assigns \u003cinsert param-id=\"ir-9_c\"/\u003e with responsibility for responding to information spills.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-9.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel with responsibility for responding to information spills; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-9.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eassigns organization-defined personnel with responsibility for responding to information spills.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information spillage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of personnel responsible for responding to information spillage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ir-9_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.9.2.", + "title": "TRAINING", + "props": [ + { + "class": "name", + "value": "IR-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides information spillage response training \u003cinsert param-id=\"ir-9_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-9.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide information spillage response training; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-9.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides information spillage response training with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information spillage response training\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation spillage response training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation spillage response training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation spillage response training records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response training responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "ir-9_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.9.3.", + "title": "POST-SPILL OPERATIONS", + "props": [ + { + "class": "name", + "value": "IR-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"ir-9_e\"/\u003e to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrection actions for information systems contaminated due to information spillages may be very time-consuming. During those periods, personnel may not have access to the contaminated systems, which may potentially affect their ability to conduct organizational business.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-9.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines procedures that ensure organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-9.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information spillage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for post-spill operations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-9_e", + "desc": "organization-defined procedures", + "value": "organization-defined procedures" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.9.4.", + "title": "EXPOSURE TO UNAUTHORIZED PERSONNEL", + "props": [ + { + "class": "name", + "value": "IR-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"ir-9_f\"/\u003e for personnel exposed to information not within assigned access authorizations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity safeguards include, for example, making personnel exposed to spilled information aware of the federal laws, directives, policies, and/or regulations regarding the information and the restrictions imposed based on exposure to such information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ir-9.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed for personnel exposed to information not within assigned access authorizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ir-9.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards for personnel exposed to information not within assigned access authorizations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information spillage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity safeguards regarding information spillage/exposure to unauthorized personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for dealing with information exposed to unauthorized personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing safeguards for personnel exposed to information not within assigned access authorizations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ir-9_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ir.10", + "title": "INTEGRATED INFORMATION SECURITY ANALYSIS TEAM", + "props": [ + { + "class": "name", + "value": "IR-10" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes an integrated team of forensic/malicious code analysts, tool developers, and real-time operations personnel.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHaving an integrated team for incident response facilitates information sharing. Such capability allows organizational personnel, including developers, implementers, and operators, to leverage the team knowledge of the threat in order to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, it promotes the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated security analysis team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing intelligence development. This enables the team to identify adversary TTPs that are linked to the operations tempo or to specific missions/business functions, and to define responsive actions in a way that does not disrupt the mission/business operations. Ideally, information security analysis teams are distributed within organizations to make the capability more resilient.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization establishes an integrated team of forensic/malicious code analyst, tool developers, and real-time operations personnel.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIncident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response planning and security analysis team integration\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with incident response and information security analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel participating on integrated security analysis teams\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "MAINTENANCE", + "controls": [ + { + "class": "SP800-53", + "id": "ma.1", + "title": "SYSTEM MAINTENANCE POLICY AND PROCEDURES", + "params": [ + { + "id": "ma-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ma-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ma-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "MA-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ma-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ma-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ma-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ma-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the system maintenance policy and associated system maintenance controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ma-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ma-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem maintenance policy \u003cinsert param-id=\"ma-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ma-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem maintenance procedures \u003cinsert param-id=\"ma-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-1.a.1.", + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a system maintenance policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the system maintenance policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the system maintenance policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.2.", + "props": [ + { + "class": "name", + "value": "MA-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the maintenance policy and associated system maintenance controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.b.1.", + "props": [ + { + "class": "name", + "value": "MA-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current system maintenance policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current system maintenance policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.b.2.", + "props": [ + { + "class": "name", + "value": "MA-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current system maintenance procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current system maintenance procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eMaintenance policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ma.2", + "title": "CONTROLLED MAINTENANCE", + "params": [ + { + "id": "ma-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ma-2_b", + "desc": "organization-defined maintenance-related information", + "value": "organization-defined maintenance-related information" + } + ], + "props": [ + { + "class": "name", + "value": "MA-2" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ma-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eSchedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2a." + } + ] + }, + { + "class": "item", + "id": "smm_ma-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eApproves and monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2b." + } + ] + }, + { + "class": "item", + "id": "smm_ma-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires that \u003cinsert param-id=\"ma-2_a\"/\u003e explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2c." + } + ] + }, + { + "class": "item", + "id": "smm_ma-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eSanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2d." + } + ] + }, + { + "class": "item", + "id": "smm_ma-2e.", + "prose": [ + "\u003cp class=\"description\"\u003eChecks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2e." + } + ] + }, + { + "class": "item", + "id": "smm_ma-2f.", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes \u003cinsert param-id=\"ma-2_b\"/\u003e in organizational maintenance records.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2f." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the information security aspects of the information system maintenance program and applies to all types of maintenance to any system component (including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, in-house, software maintenance agreement). System maintenance also includes those components not directly associated with information processing and/or data/information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example: (i) date and time of maintenance; (ii) name of individuals or group performing the maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed; and (v) information system components/equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational information systems. Organizations consider supply chain issues associated with replacement components for information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + }, + { + "href": "#ma.4" + }, + { + "href": "#mp.6" + }, + { + "href": "#pe.16" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.a.", + "props": [ + { + "class": "name", + "value": "MA-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eschedules maintenance and repairs on information system components in accordance with:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emanufacturer or vendor specifications; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganizational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms maintenance and repairs on information system components in accordance with:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emanufacturer or vendor specifications; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganizational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[2][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments maintenance and repairs on information system components in accordance with:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.a.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emanufacturer or vendor specifications; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.a.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganizational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[3][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews records of maintenance and repairs on information system components in accordance with:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.a.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emanufacturer or vendor specifications; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.a.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganizational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(a)[4][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.b.", + "props": [ + { + "class": "name", + "value": "MA-2(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.c.", + "props": [ + { + "class": "name", + "value": "MA-2(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles required to explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that organization-defined personnel or roles explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003esanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.e.", + "prose": [ + "\u003cp class=\"decision\"\u003echecks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(e)" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.f.", + "props": [ + { + "class": "name", + "value": "MA-2(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-2.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines maintenance-related information to be included in organizational maintenance records; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-2.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eincludes organization-defined maintenance-related information in organizational maintenance records.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(f)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing controlled information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emanufacturer/vendor maintenance specifications\u003c/p\u003e", + "\u003cp class=\"object\"\u003eequipment sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for sanitizing information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing controlled maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing sanitization of information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.2.1.", + "title": "RECORD CONTENT", + "props": [ + { + "class": "name", + "value": "MA-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MA-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ma.2" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.2.2.", + "title": "AUTOMATED MAINTENANCE ACTIVITIES", + "props": [ + { + "class": "name", + "value": "MA-2 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-2.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys automated mechanisms to schedule, conduct, and document maintenance and repairs; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-2.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eProduces up-to date, accurate, and complete records of all maintenance and repair actions requested, scheduled, in process, and completed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#ma.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-2.2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eschedule maintenance and repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-2.2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econduct maintenance and repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-2.2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edocument maintenance and repairs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eproduces up-to-date, accurate, and complete records of all maintenance and repair actions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-2.2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003erequested;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-2.2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003escheduled;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-2.2.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ein process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(b)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-2.2.b.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompleted.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2(2)(b)[4]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing controlled information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting information system maintenance activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing controlled maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing production of records of maintenance and repair actions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ma.3", + "title": "MAINTENANCE TOOLS", + "props": [ + { + "class": "name", + "value": "MA-3" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization approves, controls, and monitors information system maintenance tools.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses security-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into organizational information systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware/software packet sniffers. This control does not cover hardware/software components that may support information system maintenance, yet are a part of the system, for example, the software implementing �ping,� �ls,� �ipconfig,� or the hardware and software implementing the monitoring port of an Ethernet switch.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ma.2" + }, + { + "href": "#ma.5" + }, + { + "href": "#mp.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-3-1.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves information system maintenance tools;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-3-2.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols information system maintenance tools; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-3-3.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors information system maintenance tools.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for approving, controlling, and monitoring maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing approval, control, and/or monitoring of maintenance tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.3.1.", + "title": "INSPECT TOOLS", + "props": [ + { + "class": "name", + "value": "MA-3 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIf, upon inspection of maintenance tools, organizations determine that the tools have been modified in an improper/unauthorized manner or contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance tool inspection records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for inspecting maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing inspection of maintenance tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.3.2.", + "title": "INSPECT MEDIA", + "props": [ + { + "class": "name", + "value": "MA-3 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIf, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for inspecting media for malicious code\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing inspection of media used for maintenance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.3.3.", + "title": "PREVENT UNAUTHORIZED REMOVAL", + "props": [ + { + "class": "name", + "value": "MA-3 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prevents the unauthorized removal of maintenance equipment containing organizational information by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-3.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eVerifying that there is no organizational information contained on the equipment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-3.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eSanitizing or destroying the equipment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3 (3)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-3.3.c.", + "prose": [ + "\u003cp class=\"description\"\u003eRetaining the equipment within the facility; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3 (3)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-3.3.d.", + "prose": [ + "\u003cp class=\"description\"\u003eObtaining an exemption from \u003cinsert param-id=\"ma-3_a\"/\u003e explicitly authorizing removal of the equipment from the facility.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3 (3)(d)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational information includes all information specifically owned by organizations and information provided to organizations in which organizations serve as information stewards.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization prevents the unauthorized removal of maintenance equipment containing organizational information by: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-3.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003everifying that there is no organizational information contained on the equipment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3(3)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-3.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esanitizing or destroying the equipment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3(3)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-3.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eretaining the equipment within the facility; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3(3)(c)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-3.3.d.", + "props": [ + { + "class": "name", + "value": "MA-3(3)(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-3.3.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefining personnel or roles that can grant an exemption from explicitly authorizing removal of the equipment from the facility; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3(3)(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-3.3.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtaining an exemption from organization-defined personnel or roles explicitly authorizing removal of the equipment from the facility.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3(3)(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eequipment sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexemptions for equipment removal\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for media sanitization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for preventing unauthorized removal of information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting media sanitization or destruction of equipment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting verification of media sanitization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ma-3_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.3.4.", + "title": "RESTRICTED TOOL USE", + "props": [ + { + "class": "name", + "value": "MA-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system restricts the use of maintenance tools to authorized personnel only.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to information systems that are used to carry out maintenance functions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization restricts the use of maintenance tools to authorized personnel only. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of personnel authorized to use maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance tool usage records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for restricting use of maintenance tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing restricted use of maintenance tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-88", + "value": "NIST Special Publication 800-88" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ma.4", + "title": "NONLOCAL MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-4" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ma-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eApproves and monitors nonlocal maintenance and diagnostic activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4a." + } + ] + }, + { + "class": "item", + "id": "smm_ma-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eAllows the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4b." + } + ] + }, + { + "class": "item", + "id": "smm_ma-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4c." + } + ] + }, + { + "class": "item", + "id": "smm_ma-4d.", + "prose": [ + "\u003cp class=\"description\"\u003eMaintains records for nonlocal maintenance and diagnostic activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4d." + } + ] + }, + { + "class": "item", + "id": "smm_ma-4e.", + "prose": [ + "\u003cp class=\"description\"\u003eTerminates session and network connections when nonlocal maintenance is completed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Typically, strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.17" + }, + { + "href": "#au.2" + }, + { + "href": "#au.3" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + }, + { + "href": "#ma.2" + }, + { + "href": "#ma.5" + }, + { + "href": "#mp.6" + }, + { + "href": "#pl.2" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.10" + }, + { + "href": "#sc.17" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-4.a.", + "props": [ + { + "class": "name", + "value": "MA-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves nonlocal maintenance and diagnostic activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors nonlocal maintenance and diagnostic activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eallows the use of nonlocal maintenance and diagnostic tools only:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eas consistent with organizational policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eas documented in the security plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains records for nonlocal maintenance and diagnostic activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-4.e.", + "props": [ + { + "class": "name", + "value": "MA-4(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-4.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eterminates sessions when nonlocal maintenance or diagnostics is completed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-4.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eterminates network connections when nonlocal maintenance or diagnostics is completed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(e)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing nonlocal information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ediagnostic records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing nonlocal maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing, supporting, and/or managing nonlocal maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for strong authentication of nonlocal maintenance diagnostic sessions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for terminating nonlocal maintenance sessions and network connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.4.1.", + "title": "AUDITING AND REVIEW", + "props": [ + { + "class": "name", + "value": "MA-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-4.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eAudits nonlocal maintenance and diagnostic sessions \u003cinsert param-id=\"ma-4_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-4.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the records of the maintenance and diagnostic sessions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.1.a.", + "props": [ + { + "class": "name", + "value": "MA-4(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines audit events to audit nonlocal maintenance and diagnostic sessions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudits organization-defined audit events for non-local maintenance and diagnostic sessions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(1)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews records of the maintenance and diagnostic sessions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing nonlocal information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of audit events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ediagnostic records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereviews of maintenance and diagnostic session records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with audit and review responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for audit and review of nonlocal maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing audit and review of nonlocal maintenance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ma-4_a", + "desc": "organization-defined audit events", + "value": "organization-defined audit events" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.2.", + "title": "DOCUMENT NONLOCAL MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-4 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization documents in the security plan for the information system, the policies and procedures for the establishment and use of nonlocal maintenance and diagnostic connections.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization documents in the security plan for the information system: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe policies for the establishment and use of nonlocal maintenance and diagnostic connections; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe procedures for the establishment and use of nonlocal maintenance and diagnostic connections.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-local information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ediagnostic records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.3.", + "title": "COMPARABLE SECURITY / SANITIZATION", + "props": [ + { + "class": "name", + "value": "MA-4 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-4.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-4.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eRemoves the component to be serviced from the information system prior to nonlocal maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component (with regard to potentially malicious software) before reconnecting the component to the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eComparable security capability on information systems, diagnostic tools, and equipment providing maintenance services implies that the implemented security controls on those systems, tools, and equipment are at least as comprehensive as the controls on the information system being serviced.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ma.3" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.3" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(3)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.3.b.", + "props": [ + { + "class": "name", + "value": "MA-4(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves the component to be serviced from the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(3)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esanitizes the component (with regard to organizational information) prior to nonlocal maintenance or diagnostic services and/or before removal from organizational facilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(3)(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.3.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003einspects and sanitizes the component (with regard to potentially malicious software) after service is performed on the component and before reconnecting the component to the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(3)(b)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing nonlocal information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice provider contracts and/or service-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einspection records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eequipment sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance provider\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for comparable security and sanitization for nonlocal maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for removal, sanitization, and inspection of components serviced via nonlocal maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing component sanitization and inspection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.4.", + "title": "AUTHENTICATION / SEPARATION OF MAINTENANCE SESSIONS", + "props": [ + { + "class": "name", + "value": "MA-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects nonlocal maintenance sessions by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-4.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploying \u003cinsert param-id=\"ma-4_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-4.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eSeparating the maintenance sessions from other network sessions with the information system by either:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (4)(b)" + } + ], + "parts": [ + { + "class": "item", + "id": "s_sms_ma-4.4.b.1.", + "prose": [ + "\u003cp class=\"description\"\u003ePhysically separated communications paths; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (4)(b)(1)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ma-4.4.b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eLogically separated communications paths based upon encryption.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (4)(b)(2)" + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization protects nonlocal maintenance sessions by: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.4.a.", + "props": [ + { + "class": "name", + "value": "MA-4(4)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefining replay resistant authenticators to be employed to protect nonlocal maintenance sessions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(4)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploying organization-defined authenticators that are replay resistant;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(4)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eseparating the maintenance sessions from other network sessions with the information system by either:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(4)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ephysically separated communications paths; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(4)(b)(1)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003elogically separated communications paths based upon encryption.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(4)(b)(2)" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing nonlocal information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork engineers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for protecting nonlocal maintenance sessions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing replay resistant authenticators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing logically separated/encrypted communications paths\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ma-4_b", + "desc": "organization-defined authenticators that are replay resistant", + "value": "organization-defined authenticators that are replay resistant" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.5.", + "title": "APPROVALS AND NOTIFICATIONS", + "props": [ + { + "class": "name", + "value": "MA-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-4.5.a.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires the approval of each nonlocal maintenance session by \u003cinsert param-id=\"ma-4_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-4.5.b.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies \u003cinsert param-id=\"ma-4_d\"/\u003e of the date and time of planned nonlocal maintenance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (5)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNotification may be performed by maintenance personnel. Approval of nonlocal maintenance sessions is accomplished by organizational personnel with sufficient information security and information system knowledge to determine the appropriateness of the proposed maintenance.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.5.a.", + "props": [ + { + "class": "name", + "value": "MA-4(5)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles required to approve each nonlocal maintenance session;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(5)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the approval of each nonlocal maintenance session by organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(5)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.5.b.", + "props": [ + { + "class": "name", + "value": "MA-4(5)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-4.5.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified of the date and time of planned nonlocal maintenance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(5)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-4.5.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies organization-defined personnel roles of the date and time of planned nonlocal maintenance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4(5)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-local information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003enotifications supporting nonlocal maintenance sessions\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with notification responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with approval responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for approving and notifying personnel regarding nonlocal maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting notification and approval of nonlocal maintenance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ma-4_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ma-4_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.6.", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "MA-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-local information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms protecting nonlocal maintenance activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ediagnostic records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork engineers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms protecting nonlocal maintenance and diagnostic communications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.7.", + "title": "REMOTE DISCONNECT VERIFICATION", + "props": [ + { + "class": "name", + "value": "MA-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRemote disconnect verification ensures that remote connections from nonlocal maintenance sessions have been terminated and are no longer available for use.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-local information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms protecting nonlocal maintenance activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ediagnostic records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork engineers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing remote disconnect verifications of terminated nonlocal maintenance and diagnostic sessions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#197", + "value": "FIPS Publication 197" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-88", + "value": "NIST Special Publication 800-88" + } + ] + }, + { + "citations": [ + { + "href": "https://www.cnss.gov/policies.html", + "value": "CNSS Policy 15" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ma.5", + "title": "MAINTENANCE PERSONNEL", + "props": [ + { + "class": "name", + "value": "MA-5" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ma-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5a." + } + ] + }, + { + "class": "item", + "id": "smm_ma-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that non-escorted personnel performing maintenance on the information system have required access authorizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5b." + } + ] + }, + { + "class": "item", + "id": "smm_ma-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eDesignates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to individuals performing hardware or software maintenance on organizational information systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of supervising individuals relates to the maintenance performed on the information systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational information systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ia.8" + }, + { + "href": "#mp.2" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + }, + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-5.a.", + "props": [ + { + "class": "name", + "value": "MA-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes a process for maintenance personnel authorization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains a list of authorized maintenance organizations or personnel;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ma-5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-5.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edesignates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice provider contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of authorized personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for authorizing and managing maintenance personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing authorization of maintenance personnel\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.5.1.", + "title": "INDIVIDUALS WITHOUT APPROPRIATE ACCESS", + "props": [ + { + "class": "name", + "value": "MA-5 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-5.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (1)(a)" + } + ], + "parts": [ + { + "class": "item", + "id": "s_sms_ma-5.1.a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eMaintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (1)(a)(1)" + } + ] + }, + { + "class": "item", + "id": "s_sms_ma-5.1.a.2.", + "prose": [ + "\u003cp class=\"description\"\u003ePrior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (1)(a)(2)" + } + ] + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-5.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops and implements alternate security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement denies individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on organizational information systems. Procedures for the use of maintenance personnel can be documented in security plans for the information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.6" + }, + { + "href": "#pl.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-5.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-5.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-5.1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eare fully cleared;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ehave appropriate access authorizations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eare technically qualified;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances, or formal access approvals:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-5.1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eall volatile information storage components within the information system are sanitized; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eall nonvolatile storage media are removed; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eall nonvolatile storage media are physically disconnected from the system and secured; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(2)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and implements alternative security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of maintenance personnel requiring escort/supervision\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing maintenance personnel without appropriate access\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alternative security safeguards\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information storage component sanitization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.5.2.", + "title": "SECURITY CLEARANCES FOR CLASSIFIED SYSTEMS", + "props": [ + { + "class": "name", + "value": "MA-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for all compartments of information on the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ps.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-5.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity clearances for at least the highest classification level on the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity clearances for all compartments of information on the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eformal access approvals for at least the highest classification level on the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eformal access approvals for all compartments of information on the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing security clearances for maintenance personnel\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.5.3.", + "title": "CITIZENSHIP REQUIREMENTS FOR CLASSIFIED SYSTEMS", + "props": [ + { + "class": "name", + "value": "MA-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ps.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.5.4.", + "title": "FOREIGN NATIONALS", + "props": [ + { + "class": "name", + "value": "MA-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ma-5.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eCleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ma-5.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eApprovals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (4)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ps.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-5.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecleared foreign nationals (i.e., foreign nationals with appropriate security clearances) are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(4)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-5.4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ejointly owned and operated by the United States and foreign allied governments; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(4)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eowned and operated solely by foreign allied governments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(4)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-5.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eapprovals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5(4)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003ememorandum of agreement\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities, organizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel managing memoranda of agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing foreign national maintenance personnel\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.5.5.", + "title": "NONSYSTEM-RELATED MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePersonnel performing maintenance activities in other capacities not directly related to the information system include, for example, physical plant personnel and janitorial personnel.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ma.6", + "title": "TIMELY MAINTENANCE", + "params": [ + { + "id": "ma-6_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "ma-6_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "MA-6" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization obtains maintenance support and/or spare parts for \u003cinsert param-id=\"ma-6_a\"/\u003e within \u003cinsert param-id=\"ma-6_b\"/\u003e of failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations specify the information system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support typically include having appropriate contracts in place.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.7" + }, + { + "href": "#sa.14" + }, + { + "href": "#sa.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-6-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components for which maintenance support and/or spare parts are to be obtained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-6-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which maintenance support and/or spare parts are to be obtained after a failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-6-3.", + "props": [ + { + "class": "name", + "value": "MA-6[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ma-6-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtains maintenance support for organization-defined information system components within the organization-defined time period of failure; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ma-6-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtains spare parts for organization-defined information system components within the organization-defined time period of failure.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice provider contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003einventory and availability of spare parts\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for ensuring timely maintenance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.6.1.", + "title": "PREVENTIVE MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization performs preventive maintenance on \u003cinsert param-id=\"ma-6_c\"/\u003e at \u003cinsert param-id=\"ma-6_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePreventive maintenance includes proactive care and servicing of organizational information systems components for the purpose of maintaining equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid/mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they actually fail. Methods of determining what preventive (or other) failure management policies to apply include, for example, original equipment manufacturer (OEM) recommendations, statistical failure records, requirements of codes, legislation, or regulations within a jurisdiction, expert opinion, maintenance that has already been conducted on similar equipment, or measured values and performance indications.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-6.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components on which preventive maintenance is to be performed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-6.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines time intervals within which preventive maintenance is to be performed on organization-defined information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-6.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms preventive maintenance on organization-defined information system components at organization-defined time intervals.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice provider contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system components requiring preventive maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for preventive maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing preventive maintenance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ma-6_c", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "ma-6_d", + "desc": "organization-defined time intervals", + "value": "organization-defined time intervals" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.6.2.", + "title": "PREDICTIVE MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization performs predictive maintenance on \u003cinsert param-id=\"ma-6_e\"/\u003e at \u003cinsert param-id=\"ma-6_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePredictive maintenance, or condition-based maintenance, attempts to evaluate the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled point in time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the goal of predicting the future trend of the equipment's condition. This approach uses principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thereby minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability. Predictive maintenance tends to include measurement of the item. To evaluate equipment condition, predictive maintenance utilizes nondestructive testing technologies such as infrared, acoustic (partial discharge and airborne ultrasonic), corona detection, vibration analysis, sound level measurements, oil analysis, and other specific online tests.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ma-6.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components on which predictive maintenance is to be performed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-6.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines time intervals within which predictive maintenance is to be performed on organization-defined information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ma-6.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms predictive maintenance on organization-defined information system components at organization-defined time intervals.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-6(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice provider contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system components requiring predictive maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for predictive maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing predictive maintenance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ma-6_e", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "ma-6_f", + "desc": "organization-defined time intervals", + "value": "organization-defined time intervals" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.6.3.", + "title": "AUTOMATED SUPPORT FOR PREDICTIVE MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA computerized maintenance management system maintains a computer database of information about the maintenance operations of organizations and automates processing equipment condition data in order to trigger maintenance planning, execution, and reporting.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice provider contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system components requiring predictive maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing the transfer of predictive maintenance data to a computerized maintenance management system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eoperations of the computer maintenance management system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "MEDIA PROTECTION", + "controls": [ + { + "class": "SP800-53", + "id": "mp.1", + "title": "MEDIA PROTECTION POLICY AND PROCEDURES", + "params": [ + { + "id": "mp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "mp-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "mp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "MP-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_mp-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"mp-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_mp-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_mp-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the media protection policy and associated media protection controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_mp-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_mp-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eMedia protection policy \u003cinsert param-id=\"mp-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_mp-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eMedia protection procedures \u003cinsert param-id=\"mp-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-1.a.1.", + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a media protection policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the media protection policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the media protection policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.2.", + "props": [ + { + "class": "name", + "value": "MP-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the media protection policy and associated media protection controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.b.1.", + "props": [ + { + "class": "name", + "value": "MP-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current media protection policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current media protection policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.b.2.", + "props": [ + { + "class": "name", + "value": "MP-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current media protection procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current media protection procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eMedia protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with media protection responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.2", + "title": "MEDIA ACCESS", + "params": [ + { + "id": "mp-2_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "id": "mp-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "MP-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization restricts access to \u003cinsert param-id=\"mp-2_a\"/\u003e to \u003cinsert param-id=\"mp-2_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Restricting non-digital media access includes, for example, denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers. Restricting access to digital media includes, for example, limiting access to design specifications stored on compact disks in the media library to the project leader and the individuals on the development team.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ia.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pl.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-2-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of digital and/or non-digital media requiring restricted access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-2[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-2-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles authorized to access organization-defined types of digital and/or non-digital media; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-2[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-2-3.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricts access to organization-defined types of digital and/or non-digital media to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-2[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media access restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia storage facilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media protection responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for restricting information media\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media access restrictions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.2.1.", + "title": "AUTOMATED RESTRICTED ACCESS", + "props": [ + { + "class": "name", + "value": "MP-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-4 (2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.4.2." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.2.2.", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "MP-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-28 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.28.1." + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-111", + "value": "NIST Special Publication 800-111" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.3", + "title": "MEDIA MARKING", + "params": [ + { + "id": "mp-3_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "id": "mp-3_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + } + ], + "props": [ + { + "class": "name", + "value": "MP-3" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_mp-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eMarks information system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3a." + } + ] + }, + { + "class": "item", + "id": "smm_mp-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eExempts \u003cinsert param-id=\"mp-3_a\"/\u003e from marking as long as the media remain within \u003cinsert param-id=\"mp-3_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe term security marking refers to the application/use of human-readable security attributes. The term security labeling refers to the application/use of security attributes with regard to internal data structures within information systems (see AC-16). Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of information system media reflects applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#pl.2" + }, + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emarks information system media indicating the:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edistribution limitations of the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ehandling caveats of the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-3.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eapplicable security markings (if any) of the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-3.b.", + "props": [ + { + "class": "name", + "value": "MP-3(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of information system media to be exempted from marking as long as the media remain in designated controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines controlled areas where organization-defined types of information system media exempt from marking are to be retained; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-3.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eexempts organization-defined types of information system media from marking as long as the media remain within organization-defined controlled areas.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3(b)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media marking\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system media marking security attributes\u003c/p\u003e", + "\u003cp class=\"object\"\u003edesignated controlled areas\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media protection and marking responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for marking information media\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media marking\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.4", + "title": "MEDIA STORAGE", + "params": [ + { + "id": "mp-4_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "id": "mp-4_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + } + ], + "props": [ + { + "class": "name", + "value": "MP-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_mp-4a.", + "prose": [ + "\u003cp class=\"description\"\u003ePhysically controls and securely stores \u003cinsert param-id=\"mp-4_a\"/\u003e within \u003cinsert param-id=\"mp-4_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4a." + } + ] + }, + { + "class": "item", + "id": "smm_mp-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling information system media includes, for example, conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the media library, and maintaining accountability for all stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet, or a controlled media library. The type of media storage is commensurate with the security category and/or classification of the information residing on the media. Controlled areas are areas for which organizations provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and/or information systems. For media containing information determined by organizations to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on organizations or individuals if accessed by other than authorized personnel, fewer safeguards may be needed. In these situations, physical access controls provide adequate protection.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.6" + }, + { + "href": "#cp.9" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.7" + }, + { + "href": "#pe.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-4.a.", + "props": [ + { + "class": "name", + "value": "MP-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of digital and/or non-digital media to be physically controlled and securely stored within designated controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines controlled areas designated to physically control and securely store organization-defined types of digital and/or non-digital media;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-4.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ephysically controls organization-defined types of digital and/or non-digital media within organization-defined controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-4.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurely stores organization-defined types of digital and/or non-digital media within organization-defined controlled areas; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media storage\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system media\u003c/p\u003e", + "\u003cp class=\"object\"\u003edesignated controlled areas\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media protection and storage responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for storing information media\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing secure media storage/media protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.4.1.", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "MP-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-28 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.28.1." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.4.2.", + "title": "AUTOMATED RESTRICTED ACCESS", + "props": [ + { + "class": "name", + "value": "MP-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can include, for example, keypads on the external entries to media storage areas.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.9" + }, + { + "href": "#au.6" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003erestrict access to media storage areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudit access attempts; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-4.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudit access granted.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media storage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia storage facilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media protection and storage responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms restricting access to media storage areas\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms auditing access attempts and access granted to media storage areas\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-56", + "value": "NIST Special Publication 800-56" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-57", + "value": "NIST Special Publication 800-57" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-111", + "value": "NIST Special Publication 800-111" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.5", + "title": "MEDIA TRANSPORT", + "params": [ + { + "id": "mp-5_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "id": "mp-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "MP-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_mp-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects and controls \u003cinsert param-id=\"mp-5_a\"/\u003e during transport outside of controlled areas using \u003cinsert param-id=\"mp-5_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5a." + } + ] + }, + { + "class": "item", + "id": "smm_mp-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eMaintains accountability for information system media during transport outside of controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5b." + } + ] + }, + { + "class": "item", + "id": "smm_mp-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments activities associated with the transport of information system media; 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Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel, and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#cp.9" + }, + { + "href": "#mp.3" + }, + { + "href": "#mp.4" + }, + { + "href": "#ra.3" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.28" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-5.a.", + "props": [ + { + "class": "name", + "value": "MP-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of information system media to be protected and controlled during transport outside of controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to protect and control organization-defined information system media during transport outside of controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-5.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects and controls organization-defined information system media during transport outside of controlled areas using organization-defined security safeguards;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains accountability for information system media during transport outside of controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-5.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments activities associated with the transport of information system media; 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"class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media transport responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.5.4.", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "MP-5 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to both portable storage devices (e.g., USB memory sticks, compact disks, digital video disks, external/removable hard disk drives) and mobile devices with storage capability (e.g., smart phones, tablets, E-readers).\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media transport\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system media transport records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media transport responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms protecting information on digital media during transportation outside controlled areas\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-60", + "value": "NIST Special Publication 800-60" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.6", + "title": "MEDIA SANITIZATION", + "params": [ + { + "id": "mp-6_a", + "desc": "organization-defined information system media", + "value": "organization-defined information system media" + }, + { + "id": "mp-6_b", + "desc": "organization-defined sanitization techniques and procedures", + "value": "organization-defined sanitization techniques and procedures" + } + ], + "props": [ + { + "class": "name", + "value": "MP-6" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_mp-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eSanitizes \u003cinsert param-id=\"mp-6_a\"/\u003e prior to disposal, release out of organizational control, or release for reuse using \u003cinsert param-id=\"mp-6_b\"/\u003e in accordance with applicable federal and organizational standards and policies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6a." + } + ] + }, + { + "class": "item", + "id": "smm_mp-6b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to all information system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include media found in scanners, copiers, printers, notebook computers, workstations, network components, and mobile devices. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media containing classified information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ma.2" + }, + { + "href": "#ma.4" + }, + { + "href": "#ra.3" + }, + { + "href": "#sc.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-6.a.", + "props": [ + { + "class": "name", + "value": "MP-6(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-6.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system media to be sanitized prior to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-6.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edisposal;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-6.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erelease out of organizational control; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-6.a.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003erelease for reuse;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-6.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines sanitization techniques or procedures to be used for sanitizing organization-defined information system media prior to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-6.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edisposal;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-6.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erelease out of organizational control; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-6.a.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003erelease for reuse;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[2][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-6.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esanitizes organization-defined information system media prior to disposal, release out of organizational control, or release for reuse using organization-defined sanitization techniques or procedures in accordance with applicable federal and organizational standards and policies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-6.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapplicable federal standards and policies addressing media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with media sanitization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.6.1.", + "title": "REVIEW / APPROVE / TRACK / DOCUMENT / VERIFY", + "props": [ + { + "class": "name", + "value": "MP-6 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reviews, approves, tracks, documents, and verifies media sanitization and disposal actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking/documenting actions include, for example, listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, specific files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken, personnel who performed the verification, and disposal action taken. Organizations verify that the sanitization of the media was effective prior to disposal.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-6.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews media sanitization and disposal actions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves media sanitization and disposal actions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003etracks media sanitization and disposal actions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments media sanitization and disposal actions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(1)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.1.5.", + "prose": [ + "\u003cp class=\"decision\"\u003everifies media sanitization and disposal actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(1)[5]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization and disposal records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereview records for media sanitization and disposal actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapprovals for media sanitization and disposal actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003etracking records\u003c/p\u003e", + "\u003cp class=\"object\"\u003everification records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media sanitization and disposal responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.2.", + "title": "EQUIPMENT TESTING", + "props": [ + { + "class": "name", + "value": "MP-6 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests sanitization equipment and procedures \u003cinsert param-id=\"mp-6_c\"/\u003e to verify that the intended sanitization is being achieved.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTesting of sanitization equipment and procedures may be conducted by qualified and authorized external entities (e.g., other federal agencies or external service providers).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-6.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency for testing sanitization equipment and procedures to verify that the intended sanitization is being achieved; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests sanitization equipment and procedures with the organization-defined frequency to verify that the intended sanitization is being achieved.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing testing of media sanitization equipment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eresults of media sanitization equipment and procedures testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media sanitization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "mp-6_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.3.", + "title": "NONDESTRUCTIVE TECHNIQUES", + "props": [ + { + "class": "name", + "value": "MP-6 (3)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under the following circumstances: \u003cinsert param-id=\"mp-6_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to digital media containing classified information and Controlled Unclassified Information (CUI). Portable storage devices can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown and potentially untrustworthy sources and may contain malicious code that can be readily transferred to information systems through USB ports or other entry portals. While scanning such storage devices is always recommended, sanitization provides additional assurance that the devices are free of malicious code to include code capable of initiating zero-day attacks. Organizations consider nondestructive sanitization of portable storage devices when such devices are first purchased from the manufacturer or vendor prior to initial use or when organizations lose a positive chain of custody for the devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-6.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines circumstances requiring sanitization of portable storage devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eapplies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under organization-defined circumstances requiring sanitization of portable storage devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of circumstances requiring sanitization of portable storage devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media sanitization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media sanitization of portable storage devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "mp-6_d", + "desc": "organization-defined circumstances requiring sanitization of portable storage devices", + "value": "organization-defined circumstances requiring sanitization of portable storage devices" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.4.", + "title": "CONTROLLED UNCLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.5.", + "title": "CLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-6 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.6.", + "title": "MEDIA DESTRUCTION", + "props": [ + { + "class": "name", + "value": "MP-6 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.7.", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "MP-6 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization enforces dual authorization for the sanitization of \u003cinsert param-id=\"mp-6_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ dual authorization to ensure that information system media sanitization cannot occur unless two technically qualified individuals conduct the task. Individuals sanitizing information system media possess sufficient skills/expertise to determine if the proposed sanitization reflects applicable federal/organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, both protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#mp.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-6.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system media requiring dual authorization to be enforced for sanitization of such media; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces dual authorization for the sanitization of organization-defined information system media.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(7)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system media requiring dual authorization for sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media sanitization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes requiring dual authorization for media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing dual authorization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "mp-6_e", + "desc": "organization-defined information system media", + "value": "organization-defined information system media" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.8.", + "title": "REMOTE PURGING / WIPING OF INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-6 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides the capability to purge/wipe information from \u003cinsert param-id=\"mp-6_f\"/\u003e either remotely or under the following conditions: \u003cinsert param-id=\"mp-6_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects data/information on organizational information systems, system components, or devices (e.g., mobile devices) if such systems, components, or devices are obtained by unauthorized individuals. Remote purge/wipe commands require strong authentication to mitigate the risk of unauthorized individuals purging/wiping the system/component/device. The purge/wipe function can be implemented in a variety of ways including, for example, by overwriting data/information multiple times or by destroying the key necessary to decrypt encrypted data.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-6.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems, system components, or devices to purge/wipe either remotely or under specific organizational conditions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines conditions under which information is to be purged/wiped from organization-defined information systems, system components, or devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.8.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the capability to purge/wipe information from organization-defined information systems, system components, or devices either:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(8)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-6.8.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eremotely; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(8)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-6.8.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eunder organization-defined conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6(8)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia sanitization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media sanitization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for purging/wiping media\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing purge/wipe capabilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "mp-6_f", + "desc": "organization-defined information systems, system components, or devices", + "value": "organization-defined information systems, system components, or devices" + }, + { + "id": "mp-6_g", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-60", + "value": "NIST Special Publication 800-60" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-88", + "value": "NIST Special Publication 800-88" + } + ] + }, + { + "citations": [ + { + "href": "http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml", + "value": "http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.7", + "title": "MEDIA USE", + "params": [ + { + "id": "mp-7_a", + "desc": "organization-defined types of information system media", + "value": "organization-defined types of information system media" + }, + { + "id": "mp-7_b", + "desc": "organization-defined information systems or system components", + "value": "organization-defined information systems or system components" + }, + { + "id": "mp-7_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "MP-7" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization [Selection: restricts; prohibits] the use of \u003cinsert param-id=\"mp-7_a\"/\u003e on \u003cinsert param-id=\"mp-7_b\"/\u003e using \u003cinsert param-id=\"mp-7_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on information systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict the use of information system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#pl.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-7-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of information system media to be:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-7-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricted on information systems or system components; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-7-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibited from use on information systems or system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-7-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems or system components on which the use of organization-defined types of information system media is to be one of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-7-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricted; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-7-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibited;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[2][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-7-3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to restrict or prohibit the use of organization-defined types of information system media on organization-defined information systems or system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-7-4.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricts or prohibits the use of organization-defined information system media on organization-defined information systems or system components using organization-defined security safeguards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem use policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media use responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media use\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms restricting or prohibiting use of information system media on information systems or system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.7.1.", + "title": "PROHIBIT USE WITHOUT OWNER", + "props": [ + { + "class": "name", + "value": "MP-7 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRequiring identifiable owners (e.g., individuals, organizations, or projects) for portable storage devices reduces the risk of using such technologies by allowing organizations to assign responsibility and accountability for addressing known vulnerabilities in the devices (e.g., malicious code insertion).\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem use policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media use responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media use\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms prohibiting use of media on information systems or system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.7.2.", + "title": "PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA", + "props": [ + { + "class": "name", + "value": "MP-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the use of sanitization-resistant media in organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSanitization-resistance applies to the capability to purge information from media. Certain types of media do not support sanitize commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media include, for example, compact flash, embedded flash on boards and devices, solid state drives, and USB removable media.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization prohibits the use of sanitization-resistant media in organizational information systems. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy, system use policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media use responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media use\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms prohibiting use of media on information systems or system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-111", + "value": "NIST Special Publication 800-111" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.8", + "title": "MEDIA DOWNGRADING", + "params": [ + { + "id": "mp-8_a", + "desc": "organization-defined information system media downgrading process", + "value": "organization-defined information system media downgrading process" + }, + { + "id": "mp-8_b", + "desc": "organization-defined strength and integrity", + "value": "organization-defined strength and integrity" + }, + { + "id": "mp-8_c", + "desc": "organization-defined information system media requiring downgrading", + "value": "organization-defined information system media requiring downgrading" + } + ], + "props": [ + { + "class": "name", + "value": "MP-8" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_mp-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes \u003cinsert param-id=\"mp-8_a\"/\u003e that includes employing downgrading mechanisms with \u003cinsert param-id=\"mp-8_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8a." + } + ] + }, + { + "class": "item", + "id": "smm_mp-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the information system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8b." + } + ] + }, + { + "class": "item", + "id": "smm_mp-8c.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies \u003cinsert param-id=\"mp-8_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8c." + } + ] + }, + { + "class": "item", + "id": "smm_mp-8d.", + "prose": [ + "\u003cp class=\"description\"\u003eDowngrades the identified information system media using the established process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to all information system media, digital and non-digital, subject to release outside of the organization, whether or not the media is considered removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading of media also ensures that empty space on the media (e.g., slack space within files) is devoid of information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-8.a.", + "props": [ + { + "class": "name", + "value": "MP-8(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-8.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the information system media downgrading process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-8.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the strength and integrity with which media downgrading mechanisms are to be employed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-8.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes an organization-defined information system media downgrading process that includes employing downgrading mechanisms with organization-defined strength and integrity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-8.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the information system media downgrading process is commensurate with the:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_mp-8.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity category and/or classification level of the information to be removed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-8.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess authorizations of the potential recipients of the downgraded information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_mp-8.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies/defines information system media requiring downgrading; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_mp-8.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edowngrades the identified information system media using the established process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem categorization documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of media requiring downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.8.1.", + "title": "DOCUMENTATION OF PROCESS", + "props": [ + { + "class": "name", + "value": "MP-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization documents information system media downgrading actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can document the media downgrading process by providing information such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization documents information system media downgrading actions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of media requiring downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.8.2.", + "title": "EQUIPMENT TESTING", + "props": [ + { + "class": "name", + "value": "MP-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"mp-8_d\"/\u003e of downgrading equipment and procedures to verify correct performance \u003cinsert param-id=\"mp-8_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-8.2.1.", + "props": [ + { + "class": "name", + "value": "MP-8(2)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-8.2.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines tests to be employed for downgrading equipment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(2)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-8.2.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines procedures to verify correct performance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(2)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-8.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency for employing tests of downgrading equipment and procedures to verify correct performance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-8.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined tests of downgrading equipment and procedures to verify correct performance with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing testing of media downgrading equipment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eresults of downgrading equipment and procedures testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records: other relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing tests for downgrading equipment\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "mp-8_d", + "desc": "organization-defined tests", + "value": "organization-defined tests" + }, + { + "id": "mp-8_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.8.3.", + "title": "CONTROLLED UNCLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization downgrades information system media containing \u003cinsert param-id=\"mp-8_f\"/\u003e prior to public release in accordance with applicable federal and organizational standards and policies.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_mp-8.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines Controlled Unclassified Information (CUI) contained on information system media that requires downgrading prior to public release; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_mp-8.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edowngrades information system media containing organization-defined CUI prior to public release in accordance with applicable federal and organizational standards and policies.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing downgrading of media containing CUI\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapplicable federal and organizational standards and policies regarding protection of CUI\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia downgrading records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "mp-8_f", + "desc": "organization-defined Controlled Unclassified Information (CUI)", + "value": "organization-defined Controlled Unclassified Information (CUI)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.8.4.", + "title": "CLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-8 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDowngrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified information systems to unclassified media.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorization policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing downgrading of media containing classified information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing handling of classified information\u003c/p\u003e", + "\u003cp class=\"object\"\u003eNSA standards and policies regarding protection of classified information\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia downgrading records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "PHYSICAL AND ENVIRONMENTAL PROTECTION", + "controls": [ + { + "class": "SP800-53", + "id": "pe.1", + "title": "PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES", + "params": [ + { + "id": "pe-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "pe-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pe-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"pe-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pe-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pe-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pe-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pe-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003ePhysical and environmental protection policy \u003cinsert param-id=\"pe-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_pe-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003ePhysical and environmental protection procedures \u003cinsert param-id=\"pe-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-1.a.1.", + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a physical and environmental protection policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the physical and environmental protection policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the physical and environmental protection policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.2.", + "props": [ + { + "class": "name", + "value": "PE-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.b.1.", + "props": [ + { + "class": "name", + "value": "PE-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current physical and environmental protection policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current physical and environmental protection policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.b.2.", + "props": [ + { + "class": "name", + "value": "PE-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current physical and environmental protection procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current physical and environmental protection procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical and environmental protection responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pe.2", + "title": "PHYSICAL ACCESS AUTHORIZATIONS", + "params": [ + { + "id": "pe-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, approves, and maintains a list of individuals with authorized access to the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2a." + } + ] + }, + { + "class": "item", + "id": "smm_pe-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eIssues authorization credentials for facility access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2b." + } + ] + }, + { + "class": "item", + "id": "smm_pe-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the access list detailing authorized facility access by individuals \u003cinsert param-id=\"pe-2_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2c." + } + ] + }, + { + "class": "item", + "id": "smm_pe-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eRemoves individuals from the facility access list when access is no longer required.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed (including level of forge-proof badges, smart cards, or identification cards) consistent with federal standards, policies, and procedures. This control only applies to areas within facilities that have not been designated as publicly accessible.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + }, + { + "href": "#ps.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-2.a.", + "props": [ + { + "class": "name", + "value": "PE-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a list of individuals with authorized access to the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves a list of individuals with authorized access to the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains a list of individuals with authorized access to the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eissues authorization credentials for facility access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-2.c.", + "props": [ + { + "class": "name", + "value": "PE-2(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the access list detailing authorized facility access by individuals;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the access list detailing authorized facility access by individuals with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves individuals from the facility access list when access is no longer required.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorized personnel access list\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorization credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access list reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access termination records and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access to information system facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access authorizations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.2.1.", + "title": "ACCESS BY POSITION / ROLE", + "props": [ + { + "class": "name", + "value": "PE-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization authorizes physical access to the facility where the information system resides based on position or role.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization authorizes physical access to the facility where the information system resides based on position or role. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of positions/roles and corresponding physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access to information system facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access authorizations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.2.2.", + "title": "TWO FORMS OF IDENTIFICATION", + "props": [ + { + "class": "name", + "value": "PE-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires two forms of identification from \u003cinsert param-id=\"pe-2_b\"/\u003e for visitor access to the facility where the information system resides.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAcceptable forms of government photo identification include, for example, passports, Personal Identity Verification (PIV) cards, and drivers� licenses. In the case of gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-2.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a list of acceptable forms of identification for visitor access to the facility where the information system resides; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-2.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires two forms of identification from the organization-defined list of acceptable forms of identification for visitor access to the facility where the information system resides.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of acceptable forms of identification for visitor access to the facility where information system resides\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorization forms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access to information system facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access authorizations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-2_b", + "desc": "organization-defined list of acceptable forms of identification", + "value": "organization-defined list of acceptable forms of identification" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.2.3.", + "title": "RESTRICT UNESCORTED ACCESS", + "props": [ + { + "class": "name", + "value": "PE-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization restricts unescorted access to the facility where the information system resides to personnel with [Selection (one or more): security clearances for all information contained within the system; formal access authorizations for all information contained within the system; need for access to all information contained within the system; \u003cinsert param-id=\"pe-2_c\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDue to the highly sensitive nature of classified information stored within certain facilities, it is important that individuals lacking sufficient security clearances, access approvals, or need to know, be escorted by individuals with appropriate credentials to ensure that such information is not exposed or otherwise compromised.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.2" + }, + { + "href": "#ps.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines credentials to be employed to restrict unescorted access to the facility where the information system resides to authorized personnel;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricts unescorted access to the facility where the information system resides to personnel with one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(3)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-2.3.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity clearances for all information contained within the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(3)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-2.3.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eformal access authorizations for all information contained within the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(3)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-2.3.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eneed for access to all information contained within the system; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(3)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-2.3.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined credentials.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2(3)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorized personnel access list\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity clearances\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with physical access to information system facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access authorizations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-2_c", + "desc": "organization-defined credentials", + "value": "organization-defined credentials" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.3", + "title": "PHYSICAL ACCESS CONTROL", + "params": [ + { + "id": "pe-3_a", + "desc": "organization-defined entry/exit points to the facility where the information system resides", + "value": "organization-defined entry/exit points to the facility where the information system resides" + }, + { + "id": "pe-3_b", + "desc": "organization-defined physical access control systems/devices", + "value": "organization-defined physical access control systems/devices" + }, + { + "id": "pe-3_c", + "desc": "organization-defined entry/exit points", + "value": "organization-defined entry/exit points" + }, + { + "id": "pe-3_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "pe-3_e", + "desc": "organization-defined circumstances requiring visitor escorts and monitoring", + "value": "organization-defined circumstances requiring visitor escorts and monitoring" + }, + { + "id": "pe-3_f", + "desc": "organization-defined physical access devices", + "value": "organization-defined physical access devices" + }, + { + "id": "pe-3_g", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pe-3_h", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eEnforces physical access authorizations at \u003cinsert param-id=\"pe-3_a\"/\u003e by;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pe-3a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eVerifying individual access authorizations before granting access to the facility; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pe-3a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eControlling ingress/egress to the facility using [Selection (one or more): \u003cinsert param-id=\"pe-3_b\"/\u003e; guards];\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pe-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eMaintains physical access audit logs for \u003cinsert param-id=\"pe-3_c\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3b." + } + ] + }, + { + "class": "item", + "id": "smm_pe-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides \u003cinsert param-id=\"pe-3_d\"/\u003e to control access to areas within the facility officially designated as publicly accessible;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3c." + } + ] + }, + { + "class": "item", + "id": "smm_pe-3d.", + "prose": [ + "\u003cp class=\"description\"\u003eEscorts visitors and monitors visitor activity \u003cinsert param-id=\"pe-3_e\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3d." + } + ] + }, + { + "class": "item", + "id": "smm_pe-3e.", + "prose": [ + "\u003cp class=\"description\"\u003eSecures keys, combinations, and other physical access devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3e." + } + ] + }, + { + "class": "item", + "id": "smm_pe-3f.", + "prose": [ + "\u003cp class=\"description\"\u003eInventories \u003cinsert param-id=\"pe-3_f\"/\u003e every \u003cinsert param-id=\"pe-3_g\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3f." + } + ] + }, + { + "class": "item", + "id": "smm_pe-3g.", + "prose": [ + "\u003cp class=\"description\"\u003eChanges combinations and keys \u003cinsert param-id=\"pe-3_h\"/\u003e and/or when keys are lost, combinations are compromised, or individuals are transferred or terminated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional physical security staff or other personnel such as administrative staff or information system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Safeguards for publicly accessible areas within organizational facilities include, for example, cameras, monitoring by guards, and isolating selected information systems and/or system components in secured areas. Physical access control systems comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The Federal Identity, Credential, and Access Management Program provides implementation guidance for identity, credential, and access management capabilities for physical access control systems. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g., a written log of individuals accessing the facility and when such access occurred), automated (e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points can include facility access points, interior access points to information systems and/or components requiring supplemental access controls, or both. Components of organizational information systems (e.g., workstations, terminals) may be located in areas designated as publicly accessible with organizations safeguarding access to such devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.4" + }, + { + "href": "#pe.5" + }, + { + "href": "#ps.3" + }, + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.a.", + "props": [ + { + "class": "name", + "value": "PE-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines entry/exit points to the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces physical access authorizations at organization-defined entry/exit points to the facility where the information system resides by:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003everifying individual access authorizations before granting access to the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](1)" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.a.2.2.", + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.a.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefining physical access control systems/devices to be employed to control ingress/egress to the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)[a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.a.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eusing one or more of the following ways to control ingress/egress to the facility:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)[b]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.a.2.2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined physical access control systems/devices; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)[b][1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.a.2.2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eguards;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)[b][2]" + } + ] + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.b.", + "props": [ + { + "class": "name", + "value": "PE-3(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines entry/exit points for which physical access audit logs are to be maintained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains physical access audit logs for organization-defined entry/exit points;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.c.", + "props": [ + { + "class": "name", + "value": "PE-3(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to control access to areas within the facility officially designated as publicly accessible;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides organization-defined security safeguards to control access to areas within the facility officially designated as publicly accessible;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.d.", + "props": [ + { + "class": "name", + "value": "PE-3(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines circumstances requiring visitor:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(d)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.d.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eescorts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(d)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.d.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(d)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ein accordance with organization-defined circumstances requiring visitor escorts and monitoring:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(d)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.d.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eescorts visitors;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(d)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.d.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors visitor activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(d)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.e.", + "props": [ + { + "class": "name", + "value": "PE-3(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esecures keys;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esecures combinations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(e)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.e.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esecures other physical access devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(e)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.f.", + "props": [ + { + "class": "name", + "value": "PE-3(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines physical access devices to be inventoried;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to inventory organization-defined physical access devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(f)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.f.3.", + "prose": [ + "\u003cp class=\"decision\"\u003einventories the organization-defined physical access devices with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(f)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.g.", + "props": [ + { + "class": "name", + "value": "PE-3(g)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.g.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to change combinations and keys; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(g)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.g.2.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges combinations and keys with the organization-defined frequency and/or when:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(g)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-3.g.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ekeys are lost;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(g)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.g.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ecombinations are compromised;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(g)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-3.g.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eindividuals are transferred or terminated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(g)[2][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einventory records of physical access control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of key and lock combination changes\u003c/p\u003e", + "\u003cp class=\"object\"\u003estorage locations for physical access control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards controlling access to designated publicly accessible areas within facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.3.1.", + "title": "INFORMATION SYSTEM ACCESS", + "props": [ + { + "class": "name", + "value": "PE-3 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization enforces physical access authorizations to the information system in addition to the physical access controls for the facility at \u003cinsert param-id=\"pe-3_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides additional physical security for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, data and communications centers).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines physical spaces containing one or more components of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eenforces physical access authorizations to the information system in addition to the physical access controls for the facility at organization-defined physical spaces containing one or more components of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of areas within the facility containing concentrations of information system components or information system components requiring additional physical protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access control to the information system/components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access control for facility areas containing information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-3_i", + "desc": "organization-defined physical spaces containing one or more components of the information system", + "value": "organization-defined physical spaces containing one or more components of the information system" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.2.", + "title": "FACILITY / INFORMATION SYSTEM BOUNDARIES", + "props": [ + { + "class": "name", + "value": "PE-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization performs security checks \u003cinsert param-id=\"pe-3_j\"/\u003e at the physical boundary of the facility or information system for unauthorized exfiltration of information or removal of information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to perform security checks at the physical boundary of the facility or information system for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(2)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.2.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eunauthorized exfiltration of information; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(2)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.2.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoval of information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(2)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms security checks with the organization-defined frequency at the physical boundary of the facility or information system for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(2)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eunauthorized exfiltration of information; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(2)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoval of information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(2)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of security checks\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity audit reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity inspection reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility layout documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access control to the facility and/or information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access control for the facility or information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security checks for unauthorized exfiltration of information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-3_j", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.3.", + "title": "CONTINUOUS GUARDS / ALARMS / MONITORING", + "props": [ + { + "class": "name", + "value": "PE-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs guards and/or alarms to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs one or more of the following to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eguards; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ealarms.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility surveillance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility layout documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for physical access control to the facility where the information system resides\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access control for the facility where the information system resides\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.4.", + "title": "LOCKABLE CASINGS", + "props": [ + { + "class": "name", + "value": "PE-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization uses lockable physical casings to protect \u003cinsert param-id=\"pe-3_k\"/\u003e from unauthorized physical access.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components to be protected from unauthorized physical access using lockable physical casings; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003euses lockable physical casings to protect organization-defined information system components from unauthorized physical access.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system components requiring protection through lockable physical casings\u003c/p\u003e", + "\u003cp class=\"object\"\u003elockable physical casings\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eLockable physical casings\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-3_k", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.5.", + "title": "TAMPER PROTECTION", + "props": [ + { + "class": "name", + "value": "PE-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"pe-3_l\"/\u003e to [Selection (one or more): detect; prevent] physical tampering or alteration of \u003cinsert param-id=\"pe-3_m\"/\u003e within the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may implement tamper detection/prevention at selected hardware components or tamper detection at some components and tamper prevention at other components. Tamper detection/prevention activities can employ many types of anti-tamper technologies including, for example, tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to detect and/or prevent physical tampering or alteration of organization-defined hardware components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines hardware components within the information system for which security safeguards are to be employed to detect and/or prevent physical tampering or alteration of such components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards to do one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(5)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.5.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edetect physical tampering or alteration of organization-defined hardware components within the information system; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(5)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-3.5.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprevent physical tampering or alteration of organization-defined hardware components within the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3(5)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards to detect/prevent physical tampering or alteration of information system hardware components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes to detect/prevent physical tampering or alteration of information system hardware components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/security safeguards supporting and/or implementing detection/prevention of physical tampering/alternation of information system hardware components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-3_l", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "pe-3_m", + "desc": "organization-defined hardware components", + "value": "organization-defined hardware components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.6.", + "title": "FACILITY PENETRATION TESTING", + "props": [ + { + "class": "name", + "value": "PE-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs a penetration testing process that includes \u003cinsert param-id=\"pe-3_n\"/\u003e, unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-3.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency of unannounced attempts to be included in a penetration testing process to bypass or circumvent security controls associated with physical access points to the facility; 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In addition, physical safeguards may be necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Security safeguards to control physical access to system distribution and transmission lines include, for example: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-4-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system distribution and transmission lines requiring physical access controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-4[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-4-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to control physical access to organization-defined information system distribution and transmission lines within organizational facilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-4[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-4-3.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols physical access to organization-defined information system distribution and transmission lines within organizational facilities using organization-defined security safeguards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-4[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access control for transmission medium\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility communications and wiring diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of physical security safeguards applied to information system distribution and transmission lines\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for access control to distribution and transmission lines\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.cnss.gov/Assets/pdf/nstissi_7003.pdf", + "value": "NSTISSI No. 7003" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pe.5", + "title": "ACCESS CONTROL FOR OUTPUT DEVICES", + "props": [ + { + "class": "name", + "value": "PE-5" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eControlling physical access to output devices includes, for example, placing output devices in locked rooms or other secured areas and allowing access to authorized individuals only, and placing output devices in locations that can be monitored by organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of information system output devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + }, + { + "href": "#pe.18" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access control for display medium\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility layout of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eactual displays from information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for access control to output devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing access control to output devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.5.1.", + "title": "ACCESS TO OUTPUT BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "PE-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_pe-5.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eControls physical access to output from \u003cinsert param-id=\"pe-5_a\"/\u003e; 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and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5(1)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-5.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that only authorized individuals receive output from the device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of output devices and associated outputs requiring physical access controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records for areas containing output devices and related outputs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for access control to output devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing access control to output devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-5_a", + "desc": "organization-defined output devices", + "value": "organization-defined output devices" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.5.2.", + "title": "ACCESS TO OUTPUT BY INDIVIDUAL IDENTITY", + "props": [ + { + "class": "name", + "value": "PE-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_pe-5.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eControls physical access to output from \u003cinsert param-id=\"pe-5_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_pe-5.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eLinks individual identity to receipt of the output from the device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eControlling physical access to selected output devices includes, for example, installing security functionality on printers, copiers, and facsimile machines that allows organizations to implement authentication (e.g., using a PIN or hardware token) on output devices prior to the release of output to individuals.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-5.2.a.", + "props": [ + { + "class": "name", + "value": "PE-5(2)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-5.2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines output devices whose output requires physical access controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5(2)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-5.2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system controls physical access to output from organization-defined output devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5(2)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system links individual identity to receipt of the output from the device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5(2)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of output devices and associated outputs requiring physical access controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records for areas containing output devices and related outputs\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for access control to output devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing access control to output devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-5_b", + "desc": "organization-defined output devices", + "value": "organization-defined output devices" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.5.3.", + "title": "MARKING OUTPUT DEVICES", + "props": [ + { + "class": "name", + "value": "PE-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization marks \u003cinsert param-id=\"pe-5_c\"/\u003e indicating the appropriate security marking of the information permitted to be output from the device.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOutputs devices include, for example, printers, monitors, facsimile machines, scanners, copiers, and audio devices. This control enhancement is generally applicable to information system output devices other than mobiles devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-5.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system output devices to be marked with appropriate security marking of the information permitted to be output from such devices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-5.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emarks organization-defined information system output devices indicating the appropriate security marking of the information permitted to be output from the device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-5(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity markings for information types permitted as output from information system output devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for marking output devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-5_c", + "desc": "organization-defined information system output devices", + "value": "organization-defined information system output devices" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.6", + "title": "MONITORING PHYSICAL ACCESS", + "params": [ + { + "id": "pe-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pe-6_b", + "desc": "organization-defined events or potential indications of events", + "value": "organization-defined events or potential indications of events" + } + ], + "props": [ + { + "class": "name", + "value": "PE-6" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors physical access to the facility where the information system resides to detect and respond to physical security incidents;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6a." + } + ] + }, + { + "class": "item", + "id": "smm_pe-6b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews physical access logs \u003cinsert param-id=\"pe-6_a\"/\u003e and upon occurrence of \u003cinsert param-id=\"pe-6_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6b." + } + ] + }, + { + "class": "item", + "id": "smm_pe-6c.", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinates results of reviews and investigations with the organizational incident response capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, apparent security violations or suspicious physical access activities. Suspicious physical access activities include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-6.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors physical access to the facility where the information system resides to detect and respond to physical security incidents;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-6.b.", + "props": [ + { + "class": "name", + "value": "PE-6(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review physical access logs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines events or potential indication of events requiring physical access logs to be reviewed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-6.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews physical access logs with the organization-defined frequency and upon occurrence of organization-defined events or potential indications of events; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(b)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-6.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinates results of reviews and investigations with the organizational incident response capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access log reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring physical access\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing reviewing of physical access logs\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.6.1.", + "title": "INTRUSION ALARMS / SURVEILLANCE EQUIPMENT", + "props": [ + { + "class": "name", + "value": "PE-6 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization monitors physical intrusion alarms and surveillance equipment.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization monitors physical intrusion alarms and surveillance equipment. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access log reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring physical intrusion alarms and surveillance equipment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical intrusion alarms and surveillance equipment\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.6.2.", + "title": "AUTOMATED INTRUSION RECOGNITION / RESPONSES", + "props": [ + { + "class": "name", + "value": "PE-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to recognize \u003cinsert param-id=\"pe-6_c\"/\u003e and initiate \u003cinsert param-id=\"pe-6_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-6.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines classes/types of intrusions to be recognized by automated mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-6.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines response actions to be initiated by automated mechanisms when organization-defined classes/types of intrusions are recognized; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-6.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to recognize organization-defined classes/types of intrusions and initiate organization-defined response actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of response actions to be initiated when specific classes/types of intrusions are recognized\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring physical access\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing recognition of classes/types of intrusions and initiation of a response\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-6_c", + "desc": "organization-defined classes/types of intrusions", + "value": "organization-defined classes/types of intrusions" + }, + { + "id": "pe-6_d", + "desc": "organization-defined response actions", + "value": "organization-defined response actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.6.3.", + "title": "VIDEO SURVEILLANCE", + "props": [ + { + "class": "name", + "value": "PE-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs video surveillance of \u003cinsert param-id=\"pe-6_e\"/\u003e and retains video recordings for \u003cinsert param-id=\"pe-6_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on recording surveillance video for purposes of subsequent review, if circumstances so warrant (e.g., a break-in detected by other means). It does not require monitoring surveillance video although organizations may choose to do so. Note that there may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-6.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines operational areas where video surveillance is to be employed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-6.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period to retain video recordings of organization-defined operational areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-6.3.3.", + "props": [ + { + "class": "name", + "value": "PE-6(3)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-6.3.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys video surveillance of organization-defined operational areas; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(3)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-6.3.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains video recordings for the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(3)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003evideo surveillance equipment used to monitor operational areas\u003c/p\u003e", + "\u003cp class=\"object\"\u003evideo recordings of operational areas where video surveillance is employed\u003c/p\u003e", + "\u003cp class=\"object\"\u003evideo surveillance equipment logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring physical access\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing video surveillance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-6_e", + "desc": "organization-defined operational areas", + "value": "organization-defined operational areas" + }, + { + "id": "pe-6_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.6.4.", + "title": "MONITORING PHYSICAL ACCESS TO INFORMATION SYSTEMS", + "props": [ + { + "class": "name", + "value": "PE-6 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization monitors physical access to the information system in addition to the physical access monitoring of the facility as \u003cinsert param-id=\"pe-6_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides additional monitoring for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, communications centers).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.2" + }, + { + "href": "#ps.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-6.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines physical spaces containing one or more components of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-6.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors physical access to the information system in addition to the physical access monitoring of the facility at organization-defined physical spaces containing one or more components of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical access control devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of areas within the facility containing concentrations of information system components or information system components requiring additional physical access monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring physical access to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing physical access monitoring for facility areas containing information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-6_g", + "desc": "organization-defined physical spaces containing one or more components of the information system", + "value": "organization-defined physical spaces containing one or more components of the information system" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.7", + "title": "VISITOR CONTROL", + "props": [ + { + "class": "name", + "value": "PE-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PE-2 and PE-3\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + } + ] + }, + { + "class": "SP800-53", + "id": "pe.8", + "title": "VISITOR ACCESS RECORDS", + "params": [ + { + "id": "pe-8_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "pe-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-8" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eMaintains visitor access records to the facility where the information system resides for \u003cinsert param-id=\"pe-8_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-8a." + } + ] + }, + { + "class": "item", + "id": "smm_pe-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews visitor access records \u003cinsert param-id=\"pe-8_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eVisitor access records include, for example, names and organizations of persons visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purposes of visits, and names and organizations of persons visited. Visitor access records are not required for publicly accessible areas.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-8.a.", + "props": [ + { + "class": "name", + "value": "PE-8(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-8.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period to maintain visitor access records to the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-8(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-8.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains visitor access records to the facility where the information system resides for the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-8(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-8.b.", + "props": [ + { + "class": "name", + "value": "PE-8(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-8.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review visitor access records; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-8(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-8.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews visitor access records with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-8(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing visitor access records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003evisitor access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003evisitor access record or log reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with visitor access records responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maintaining and reviewing visitor access records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing maintenance and review of visitor access records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.8.1.", + "title": "AUTOMATED RECORDS MAINTENANCE / REVIEW", + "props": [ + { + "class": "name", + "value": "PE-8 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to facilitate the maintenance and review of visitor access records. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing visitor access records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting management of visitor access records\u003c/p\u003e", + "\u003cp class=\"object\"\u003evisitor access control logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with visitor access records responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maintaining and reviewing visitor access records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing maintenance and review of visitor access records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.8.2.", + "title": "PHYSICAL ACCESS RECORDS", + "props": [ + { + "class": "name", + "value": "PE-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PE-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pe.2" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.9", + "title": "POWER EQUIPMENT AND CABLING", + "props": [ + { + "class": "name", + "value": "PE-9" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects power equipment and power cabling for the information system from damage and destruction.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the types of protection necessary for power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. This includes, for example, generators and power cabling outside of buildings, internal cabling and uninterruptable power sources within an office or data center, and power sources for self-contained entities such as vehicles and satellites.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization protects power equipment and power cabling for the information system from damage and destruction. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing power equipment/cabling protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacilities housing power equipment/cabling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for protecting power equipment/cabling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing protection of power equipment/cabling\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.9.1.", + "title": "REDUNDANT CABLING", + "props": [ + { + "class": "name", + "value": "PE-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs redundant power cabling paths that are physically separated by \u003cinsert param-id=\"pe-9_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysically separate, redundant power cables help to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-9.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the distance by which redundant power cabling paths are to be physically separated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-9(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-9.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys redundant power cabling paths that are physically separated by organization-defined distance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-9(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing power equipment/cabling protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacilities housing power equipment/cabling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for protecting power equipment/cabling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing protection of power equipment/cabling\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-9_a", + "desc": "organization-defined distance", + "value": "organization-defined distance" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.9.2.", + "title": "AUTOMATIC VOLTAGE CONTROLS", + "props": [ + { + "class": "name", + "value": "PE-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automatic voltage controls for \u003cinsert param-id=\"pe-9_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-9.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines critical information system components that require automatic voltage controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-9(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-9.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automatic voltage controls for organization-defined critical information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-9(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing voltage control\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of critical information system components requiring automatic voltage controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomatic voltage control mechanisms and associated configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for environmental protection of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing automatic voltage controls\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-9_b", + "desc": "organization-defined critical information system components", + "value": "organization-defined critical information system components" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.10", + "title": "EMERGENCY SHUTOFF", + "params": [ + { + "id": "pe-10_a", + "desc": "organization-defined location by information system or system component", + "value": "organization-defined location by information system or system component" + } + ], + "props": [ + { + "class": "name", + "value": "PE-10" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-10a.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides the capability of shutting off power to the information system or individual system components in emergency situations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10a." + } + ] + }, + { + "class": "item", + "id": "smm_pe-10b.", + "prose": [ + "\u003cp class=\"description\"\u003ePlaces emergency shutoff switches or devices in \u003cinsert param-id=\"pe-10_a\"/\u003e to facilitate safe and easy access for personnel; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10b." + } + ] + }, + { + "class": "item", + "id": "smm_pe-10c.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects emergency power shutoff capability from unauthorized activation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-10.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the capability of shutting off power to the information system or individual system components in emergency situations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-10.b.", + "props": [ + { + "class": "name", + "value": "PE-10(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-10.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the location of emergency shutoff switches or devices by information system or system component;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-10.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eplaces emergency shutoff switches or devices in the organization-defined location by information system or system component to facilitate safe and easy access for personnel; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-10.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects emergency power shutoff capability from unauthorized activation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing power source emergency shutoff\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eemergency shutoff controls or switches\u003c/p\u003e", + "\u003cp class=\"object\"\u003elocations housing emergency shutoff switches and devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity safeguards protecting emergency power shutoff capability from unauthorized activation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for emergency power shutoff capability (both implementing and using the capability)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing emergency power shutoff\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.10.1.", + "title": "ACCIDENTAL / UNAUTHORIZED ACTIVATION", + "props": [ + { + "class": "name", + "value": "PE-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PE-10\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pe.10" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.11", + "title": "EMERGENCY POWER", + "props": [ + { + "class": "name", + "value": "PE-11" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides a short-term uninterruptible power supply to facilitate [Selection (one or more): an orderly shutdown of the information system; transition of the information system to long-term alternate power] in the event of a primary power source loss.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#at.3" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides a short-term uninterruptible power supply to facilitate one or more of the following in the event of a primary power source loss: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-11-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ean orderly shutdown of the information system; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-11-2.", + "prose": [ + "\u003cp class=\"decision\"\u003etransition of the information system to long-term alternate power.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing emergency power\u003c/p\u003e", + "\u003cp class=\"object\"\u003euninterruptible power supply\u003c/p\u003e", + "\u003cp class=\"object\"\u003euninterruptible power supply documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003euninterruptible power supply test records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for emergency power and/or planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing uninterruptible power supply\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethe uninterruptable power supply\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.11.1.", + "title": "LONG-TERM ALTERNATE POWER SUPPLY - MINIMAL OPERATIONAL CAPABILITY", + "props": [ + { + "class": "name", + "value": "PE-11 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement can be satisfied, for example, by the use of a secondary commercial power supply or other external power supply. Long-term alternate power supplies for the information system can be either manually or automatically activated.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing emergency power\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate power supply\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate power supply documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate power supply test records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for emergency power and/or planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing alternate power supply\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethe alternate power supply\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.11.2.", + "title": "LONG-TERM ALTERNATE POWER SUPPLY - SELF-CONTAINED", + "props": [ + { + "class": "name", + "value": "PE-11 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides a long-term alternate power supply for the information system that is:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_pe-11.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eSelf-contained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_pe-11.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eNot reliant on external power generation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11 (2)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_pe-11.2.c.", + "prose": [ + "\u003cp class=\"description\"\u003eCapable of maintaining [Selection: minimally required operational capability; full operational capability] in the event of an extended loss of the primary power source.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11 (2)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement can be satisfied, for example, by the use of one or more generators with sufficient capacity to meet the needs of the organization. Long-term alternate power supplies for organizational information systems are either manually or automatically activated.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides a long-term alternate power supply for the information system that is: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-11.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eself-contained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11(2)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-11.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003enot reliant on external power generation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11(2)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-11.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ecapable of maintaining one of the following in the event of an extended loss of the primary power source:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11(2)(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-11.2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eminimally required operational capability; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11(2)(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-11.2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003efull operational capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11(2)(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing emergency power\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate power supply\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate power supply documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealternate power supply test records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for emergency power and/or planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing alternate power supply\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethe alternate power supply\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.12", + "title": "EMERGENCY LIGHTING", + "props": [ + { + "class": "name", + "value": "PE-12" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs and maintains automatic emergency lighting for the information system that: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-12-1.", + "prose": [ + "\u003cp class=\"decision\"\u003eactivates in the event of a power outage or disruption; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-12[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-12-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecovers emergency exits and evacuation routes within the facility.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-12[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing emergency lighting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eemergency lighting documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eemergency lighting test records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eemergency exits and evacuation routes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for emergency lighting and/or planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing emergency lighting capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.12.1.", + "title": "ESSENTIAL MISSIONS / BUSINESS FUNCTIONS", + "props": [ + { + "class": "name", + "value": "PE-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing emergency lighting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eemergency lighting documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eemergency lighting test records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eemergency exits and evacuation routes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eareas/locations within facility supporting essential missions and business functions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for emergency lighting and/or planning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing emergency lighting capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.13", + "title": "FIRE PROTECTION", + "props": [ + { + "class": "name", + "value": "PE-13" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-13-1.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys fire suppression and detection devices/systems for the information system that are supported by an independent energy source; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-13-2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003efire suppression and detection devices/systems documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for fire detection and suppression devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing fire suppression/detection devices/systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.13.1.", + "title": "DETECTION DEVICES / SYSTEMS", + "props": [ + { + "class": "name", + "value": "PE-13 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs fire detection devices/systems for the information system that activate automatically and notify \u003cinsert param-id=\"pe-13_a\"/\u003e and \u003cinsert param-id=\"pe-13_b\"/\u003e in the event of a fire.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-13.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified in the event of a fire;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines emergency responders to be notified in the event of a fire;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys fire detection devices/systems for the information system that, in the event of a fire,:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(1)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-13.1.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eactivate automatically;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(1)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.1.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003enotify organization-defined personnel or roles; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(1)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.1.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003enotify organization-defined emergency responders.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(1)[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealarm service-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003efire suppression and detection devices/systems documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications of fire events\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for fire detection and suppression devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing fire detection devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eactivation of fire detection devices/systems (simulated)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated notifications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-13_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "pe-13_b", + "desc": "organization-defined emergency responders", + "value": "organization-defined emergency responders" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.13.2.", + "title": "SUPPRESSION DEVICES / SYSTEMS", + "props": [ + { + "class": "name", + "value": "PE-13 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to Assignment: organization-defined personnel or roles] and \u003cinsert param-id=\"pe-13_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-13.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be provided automatic notification of any activation of fire suppression devices/systems for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines emergency responders to be provided automatic notification of any activation of fire suppression devices/systems for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys fire suppression devices/systems for the information system that provide automatic notification of any activation to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(2)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-13.2.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined personnel or roles; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(2)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.2.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined emergency responders.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(2)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efire suppression and detection devices/systems documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealarm service-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for fire detection and suppression devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing fire suppression devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eactivation of fire suppression devices/systems (simulated)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated notifications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-13_c", + "desc": "organization-defined emergency responders", + "value": "organization-defined emergency responders" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.13.3.", + "title": "AUTOMATIC FIRE SUPPRESSION", + "props": [ + { + "class": "name", + "value": "PE-13 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efire suppression and detection devices/systems documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealarm service-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for fire detection and suppression devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing fire suppression devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eactivation of fire suppression devices/systems (simulated)\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.13.4.", + "title": "INSPECTIONS", + "props": [ + { + "class": "name", + "value": "PE-13 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that the facility undergoes \u003cinsert param-id=\"pe-13_d\"/\u003e inspections by authorized and qualified inspectors and resolves identified deficiencies within \u003cinsert param-id=\"pe-13_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-13.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency of inspections to be conducted on the facility by authorized and qualified inspectors;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the facility undergoes inspections by authorized and qualified inspectors with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period to resolve deficiencies identified when the facility undergoes such inspections; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(4)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-13.4.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eresolves identified deficiencies within the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13(4)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einspection plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003einspection results\u003c/p\u003e", + "\u003cp class=\"object\"\u003einspect reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for planning, approving, and executing fire inspections\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "pe-13_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pe-13_e", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.14", + "title": "TEMPERATURE AND HUMIDITY CONTROLS", + "params": [ + { + "id": "pe-14_a", + "desc": "organization-defined acceptable levels", + "value": "organization-defined acceptable levels" + }, + { + "id": "pe-14_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-14" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-14a.", + "prose": [ + "\u003cp class=\"description\"\u003eMaintains temperature and humidity levels within the facility where the information system resides at \u003cinsert param-id=\"pe-14_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14a." + } + ] + }, + { + "class": "item", + "id": "smm_pe-14b.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors temperature and humidity levels \u003cinsert param-id=\"pe-14_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-14.a.", + "props": [ + { + "class": "name", + "value": "PE-14(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-14.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines acceptable temperature levels to be maintained within the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-14.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines acceptable humidity levels to be maintained within the facility where the information system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-14.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains temperature levels within the facility where the information system resides at the organization-defined levels;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-14.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains humidity levels within the facility where the information system resides at the organization-defined levels;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-14.b.", + "props": [ + { + "class": "name", + "value": "PE-14(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-14.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to monitor temperature levels;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-14.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to monitor humidity levels;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-14.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors temperature levels with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(b)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-14.b.4.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors humidity levels with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(b)[4]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing temperature and humidity control\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etemperature and humidity controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003etemperature and humidity controls documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etemperature and humidity records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing maintenance and monitoring of temperature and humidity levels\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.14.1.", + "title": "AUTOMATIC CONTROLS", + "props": [ + { + "class": "name", + "value": "PE-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-14.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automatic temperature controls in the facility to prevent fluctuations potentially harmful to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-14.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automatic humidity controls in the facility to prevent fluctuations potentially harmful to the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing temperature and humidity controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for temperature and humidity\u003c/p\u003e", + "\u003cp class=\"object\"\u003etemperature and humidity controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003etemperature and humidity documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing temperature and humidity levels\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.14.2.", + "title": "MONITORING WITH ALARMS / NOTIFICATIONS", + "props": [ + { + "class": "name", + "value": "PE-14 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-14.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys temperature monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-14.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys temperature monitoring that provides notification of changes potentially harmful to personnel or equipment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-14.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys humidity monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-14.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys humidity monitoring that provides notification of changes potentially harmful to personnel or equipment.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing temperature and humidity monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003elogs or records of temperature and humidity monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of changes to temperature and humidity levels that generate alarms or notifications\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing temperature and humidity monitoring\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.15", + "title": "WATER DAMAGE PROTECTION", + "props": [ + { + "class": "name", + "value": "PE-15" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-15-1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccessible;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-15[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-15-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eworking properly; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-15[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-15-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eknown to key personnel.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-15[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing water damage protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaster shutoff valves\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system\u003c/p\u003e", + "\u003cp class=\"object\"\u003emaster shutoff valve documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eMaster water-shutoff valves\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for activating master water-shutoff\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.15.1.", + "title": "AUTOMATION SUPPORT", + "props": [ + { + "class": "name", + "value": "PE-15 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to detect the presence of water in the vicinity of the information system and alerts \u003cinsert param-id=\"pe-15_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can include, for example, water detection sensors, alarms, and notification systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-15.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be alerted when the presence of water is detected in the vicinity of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-15(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-15.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to detect the presence of water in the vicinity of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-15(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-15.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ealerts organization-defined personnel or roles when the presence of water is detected in the vicinity of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-15(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing water damage protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for water shutoff valves\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms detecting presence of water in vicinity of information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications of water detection in information system facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing water detection capability and alerts for the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pe-15_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.16", + "title": "DELIVERY AND REMOVAL", + "params": [ + { + "id": "pe-16_a", + "desc": "organization-defined types of information system components", + "value": "organization-defined types of information system components" + } + ], + "props": [ + { + "class": "name", + "value": "PE-16" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization authorizes, monitors, and controls \u003cinsert param-id=\"pe-16_a\"/\u003e entering and exiting the facility and maintains records of those items.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEffectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#ma.2" + }, + { + "href": "#ma.3" + }, + { + "href": "#mp.5" + }, + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-16-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines types of information system components to be authorized, monitored, and controlled as such components are entering and exiting the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes organization-defined information system components entering the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-3.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors organization-defined information system components entering the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-4.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols organization-defined information system components entering the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-5.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes organization-defined information system components exiting the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[5]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-6.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors organization-defined information system components exiting the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[6]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-7.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols organization-defined information system components exiting the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[7]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-8.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains records of information system components entering the facility; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[8]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-16-9.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains records of information system components exiting the facility.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-16[9]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing delivery and removal of information system components from the facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of items entering and exiting the facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for controlling information system components entering and exiting the facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for authorizing, monitoring, and controlling information system-related items entering and exiting the facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing authorizing, monitoring, and controlling information system-related items entering and exiting the facility\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.17", + "title": "ALTERNATE WORK SITE", + "params": [ + { + "id": "pe-17_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + } + ], + "props": [ + { + "class": "name", + "value": "PE-17" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-17a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"pe-17_a\"/\u003e at alternate work sites;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17a." + } + ] + }, + { + "class": "item", + "id": "smm_pe-17b.", + "prose": [ + "\u003cp class=\"description\"\u003eAssesses as feasible, the effectiveness of security controls at alternate work sites; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17b." + } + ] + }, + { + "class": "item", + "id": "smm_pe-17c.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides a means for employees to communicate with information security personnel in case of security incidents or problems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlternate work sites may include, for example, government facilities or private residences of employees. While commonly distinct from alternative processing sites, alternate work sites may provide readily available alternate locations as part of contingency operations. Organizations may define different sets of security controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations and the federal telework initiative.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#cp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-17.a.", + "props": [ + { + "class": "name", + "value": "PE-17(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-17.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security controls to be employed at alternate work sites;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-17.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security controls at alternate work sites;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-17.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eassesses, as feasible, the effectiveness of security controls at alternate work sites; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-17.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides a means for employees to communicate with information security personnel in case of security incidents or problems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing alternate work sites for organizational personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security controls required for alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eassessments of security controls at alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel approving use of alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel using alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel assessing controls at alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security at alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity controls employed at alternate work sites\u003c/p\u003e", + "\u003cp class=\"object\"\u003emeans of communications between personnel at alternate work sites and security personnel\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-46", + "value": "NIST Special Publication 800-46" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pe.18", + "title": "LOCATION OF INFORMATION SYSTEM COMPONENTS", + "params": [ + { + "id": "pe-18_a", + "desc": "organization-defined physical and environmental hazards", + "value": "organization-defined physical and environmental hazards" + } + ], + "props": [ + { + "class": "name", + "value": "PE-18" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization positions information system components within the facility to minimize potential damage from \u003cinsert param-id=\"pe-18_a\"/\u003e and to minimize the opportunity for unauthorized access.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. In addition, organizations consider the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to information systems and therefore increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones).\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#pe.19" + }, + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-18-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines physical hazards that could result in potential damage to information system components within the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-18-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines environmental hazards that could result in potential damage to information system components within the facility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-18-3.", + "prose": [ + "\u003cp class=\"decision\"\u003epositions information system components within the facility to minimize potential damage from organization-defined physical and environmental hazards; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-18-4.", + "prose": [ + "\u003cp class=\"decision\"\u003epositions information system components within the facility to minimize the opportunity for unauthorized access.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing positioning of information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation providing the location and position of information system components within the facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003elocations housing information system components within the facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of physical and environmental hazards with potential to damage information system components within the facility\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for positioning information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for positioning information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.18.1.", + "title": "FACILITY SITE", + "props": [ + { + "class": "name", + "value": "PE-18 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#pm.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-18.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eplans the location or site of the facility where the information system resides with regard to physical hazards;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-18.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eplans the location or site of the facility where the information system resides with regard to environmental hazards;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-18.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003efor existing facilities, considers the physical hazards in its risk mitigation strategy; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-18.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003efor existing facilities, considers the environmental hazards in its risk mitigation strategy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18(1)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical site planning documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational assessment of risk, contingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk mitigation strategy documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with site selection responsibilities for the facility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with risk mitigation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for site planning\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.19", + "title": "INFORMATION LEAKAGE", + "props": [ + { + "class": "name", + "value": "PE-19" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects the information system from information leakage due to electromagnetic signals emanations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation leakage is the intentional or unintentional release of information to an untrusted environment from electromagnetic signals emanations. Security categories or classifications of information systems (with respect to confidentiality) and organizational security policies guide the selection of security controls employed to protect systems against information leakage due to electromagnetic signals emanations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization protects the information system from information leakage due to electromagnetic signals emanations. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information leakage due to electromagnetic signals emanations\u003c/p\u003e", + "\u003cp class=\"object\"\u003emechanisms protecting the information system against electronic signals emanation\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility housing the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords from electromagnetic signals emanation tests\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing protection from information leakage due to electromagnetic signals emanations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.19.1.", + "title": "NATIONAL EMISSIONS / TEMPEST POLICIES AND PROCEDURES", + "props": [ + { + "class": "name", + "value": "PE-19 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that information system components, associated data communications, and networks are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that the following are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pe-19.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-19(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-19.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eassociated data communications; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-19(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pe-19.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003enetworks.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-19(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information leakage that comply with national emissions and TEMPEST policies and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system component design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation other relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system components for compliance with national emissions and TEMPEST policies and procedures\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pe.20", + "title": "ASSET MONITORING AND TRACKING", + "params": [ + { + "id": "pe-20_a", + "desc": "organization-defined asset location technologies", + "value": "organization-defined asset location technologies" + }, + { + "id": "pe-20_b", + "desc": "organization-defined assets", + "value": "organization-defined assets" + }, + { + "id": "pe-20_c", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + } + ], + "props": [ + { + "class": "name", + "value": "PE-20" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pe-20a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"pe-20_a\"/\u003e to track and monitor the location and movement of \u003cinsert param-id=\"pe-20_b\"/\u003e within \u003cinsert param-id=\"pe-20_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-20a." + } + ] + }, + { + "class": "item", + "id": "smm_pe-20b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-20b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAsset location technologies can help organizations ensure that critical assets such as vehicles or essential information system components remain in authorized locations. Organizations consult with the Office of the General Counsel and the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) regarding the deployment and use of asset location technologies to address potential privacy concerns.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-20.a.", + "props": [ + { + "class": "name", + "value": "PE-20(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pe-20.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines assets whose location and movement are to be tracked and monitored;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-20(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-20.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines asset location technologies to be employed to track and monitor the location and movement of organization-defined assets;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-20(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-20.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines controlled areas within which to track and monitor organization-defined assets;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-20(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pe-20.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined asset location technologies to track and monitor the location and movement of organization-defined assets within organization-defined controlled areas; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-20(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pe-20.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards and guidance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-20(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing asset monitoring and tracking\u003c/p\u003e", + "\u003cp class=\"object\"\u003easset location technologies and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of organizational assets requiring tracking and monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003easset monitoring and tracking records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with asset monitoring and tracking responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for tracking and monitoring assets\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing tracking and monitoring of assets\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "PLANNING", + "controls": [ + { + "class": "SP800-53", + "id": "pl.1", + "title": "SECURITY PLANNING POLICY AND PROCEDURES", + "params": [ + { + "id": "pl-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "pl-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pl-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pl-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"pl-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pl-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pl-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the security planning policy and associated security planning controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pl-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pl-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity planning policy \u003cinsert param-id=\"pl-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_pl-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity planning procedures \u003cinsert param-id=\"pl-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PL family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-1.a.1.", + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a planning policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the planning policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the planning policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.2.", + "props": [ + { + "class": "name", + "value": "PL-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the planning policy and associated planning controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.b.1.", + "props": [ + { + "class": "name", + "value": "PL-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current planning policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current planning policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.b.2.", + "props": [ + { + "class": "name", + "value": "PL-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current planning procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current planning procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePlanning policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with planning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-18", + "value": "NIST Special Publication 800-18" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pl.2", + "title": "SYSTEM SECURITY PLAN", + "params": [ + { + "id": "pl-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "pl-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pl-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops a security plan for the information system that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pl-2a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with the organization�s enterprise architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eExplicitly defines the authorization boundary for the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.2." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes the operational context of the information system in terms of missions and business processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.3." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides the security categorization of the information system including supporting rationale;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.4." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.5.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes the operational environment for the information system and relationships with or connections to other information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.5." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.6.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides an overview of the security requirements for the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.6." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.7.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies any relevant overlays, if applicable;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.7." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.8.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes the security controls in place or planned for meeting those requirements including a rationale for the tailoring decisions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.8." + } + ] + }, + { + "class": "item", + "id": "sms_pl-2a.9.", + "prose": [ + "\u003cp class=\"description\"\u003eIs reviewed and approved by the authorizing official or designated representative prior to plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.9." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pl-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eDistributes copies of the security plan and communicates subsequent changes to the plan to \u003cinsert param-id=\"pl-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2b." + } + ] + }, + { + "class": "item", + "id": "smm_pl-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the security plan for the information system \u003cinsert param-id=\"pl-2_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2c." + } + ] + }, + { + "class": "item", + "id": "smm_pl-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2d." + } + ] + }, + { + "class": "item", + "id": "smm_pl-2e.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the security plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity plans relate security requirements to a set of security controls and control enhancements. Security plans also describe, at a high level, how the security controls and control enhancements meet those security requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls/enhancements. Security plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the security control baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide use or to address specialized requirements, technologies, or missions/environments of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access Management, space operations). Appendix I provides guidance on developing overlays. Security plans need not be single documents; the plans can be a collection of various documents including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. For example, security plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.14" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.20" + }, + { + "href": "#ca.2" + }, + { + "href": "#ca.3" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.9" + }, + { + "href": "#cp.2" + }, + { + "href": "#ir.8" + }, + { + "href": "#ma.4" + }, + { + "href": "#ma.5" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#pl.7" + }, + { + "href": "#pm.1" + }, + { + "href": "#pm.7" + }, + { + "href": "#pm.8" + }, + { + "href": "#pm.9" + }, + { + "href": "#pm.11" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.17" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a security plan for the information system that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eis consistent with the organization’s enterprise architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eexplicitly defines the authorization boundary for the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edescribes the operational context of the information system in terms of missions and business processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(3)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides the security categorization of the information system including supporting rationale;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(4)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.5.", + "prose": [ + "\u003cp class=\"decision\"\u003edescribes the operational environment for the information system and relationships with or connections to other information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(5)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.6.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides an overview of the security requirements for the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(6)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.7.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies any relevant overlays, if applicable;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(7)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.8.", + "prose": [ + "\u003cp class=\"decision\"\u003edescribes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplemental decisions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(8)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.a.9.", + "prose": [ + "\u003cp class=\"decision\"\u003eis reviewed and approved by the authorizing official or designated representative prior to plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(a)(9)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.b.", + "props": [ + { + "class": "name", + "value": "PL-2(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom copies of the security plan are to be distributed and subsequent changes to the plan are to be communicated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edistributes copies of the security plan and communicates subsequent changes to the plan to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.c.", + "props": [ + { + "class": "name", + "value": "PL-2(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the security plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the security plan for the information system with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the plan to address:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-2.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges to the information system/environment of operation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eproblems identified during plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eproblems identified during security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(d)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the security plan from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-2.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edisclosure; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-2.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(e)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security plan development and implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of security plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security plan development/review/update/approval\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the information system security plan\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pl.2.1.", + "title": "CONCEPT OF OPERATIONS", + "props": [ + { + "class": "name", + "value": "PL-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PL-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pl.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pl.2.2.", + "title": "FUNCTIONAL ARCHITECTURE", + "props": [ + { + "class": "name", + "value": "PL-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PL-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pl.8" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pl.2.3.", + "title": "PLAN / COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES", + "props": [ + { + "class": "name", + "value": "PL-2 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization plans and coordinates security-related activities affecting the information system with \u003cinsert param-id=\"pl-2_c\"/\u003e before conducting such activities in order to reduce the impact on other organizational entities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity-related activities include, for example, security assessments, audits, hardware and software maintenance, patch management, and contingency plan testing. Advance planning and coordination includes emergency and nonemergency (i.e., planned or nonurgent unplanned) situations. The process defined by organizations to plan and coordinate security-related activities can be included in security plans for information systems or other documents, as appropriate.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.4" + }, + { + "href": "#ir.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pl-2.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines individuals or groups with whom security-related activities affecting the information system are to be planned and coordinated before conducting such activities in order to reduce the impact on other organizational entities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pl-2.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eplans and coordinates security-related activities affecting the information system with organization-defined individuals or groups before conducting such activities in order to reduce the impact on other organizational entities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security-related activity planning for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational individuals or groups with whom security-related activities are to be planned and coordinated\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "pl-2_c", + "desc": "organization-defined individuals or groups", + "value": "organization-defined individuals or groups" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-18", + "value": "NIST Special Publication 800-18" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pl.3", + "title": "SYSTEM SECURITY PLAN UPDATE", + "props": [ + { + "class": "name", + "value": "PL-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PL-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pl.2" + } + ] + }, + { + "class": "SP800-53", + "id": "pl.4", + "title": "RULES OF BEHAVIOR", + "params": [ + { + "id": "pl-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-4" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pl-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4a." + } + ] + }, + { + "class": "item", + "id": "smm_pl-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eReceives a signed acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4b." + } + ] + }, + { + "class": "item", + "id": "smm_pl-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the rules of behavior \u003cinsert param-id=\"pl-4_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4c." + } + ] + }, + { + "class": "item", + "id": "smm_pl-4d.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires individuals who have signed a previous version of the rules of behavior to read and re-sign when the rules of behavior are revised/updated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.8" + }, + { + "href": "#ac.9" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.20" + }, + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#cm.11" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#mp.7" + }, + { + "href": "#ps.6" + }, + { + "href": "#ps.8" + }, + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-4.a.", + "props": [ + { + "class": "name", + "value": "PL-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes, for individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emakes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereceives a signed acknowledgement from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-4.c.", + "props": [ + { + "class": "name", + "value": "PL-4(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the rules of behavior;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the rules of behavior with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires individuals who have signed a previous version of the rules of behavior to read and resign when the rules of behavior are revised/updated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing rules of behavior for information system users\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003esigned acknowledgements\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords for rules of behavior reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for establishing, reviewing, and updating rules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel who are authorized users of the information system and have signed and resigned rules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for establishing, reviewing, disseminating, and updating rules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pl.4.1.", + "title": "SOCIAL MEDIA AND NETWORKING RESTRICTIONS", + "props": [ + { + "class": "name", + "value": "PL-4 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes in the rules of behavior, explicit restrictions on the use of social media/networking sites and posting organizational information on public websites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses rules of behavior related to the use of social media/networking sites: (i) when organizational personnel are using such sites for official duties or in the conduct of official business; (ii) when organizational information is involved in social media/networking transactions; and (iii) when personnel are accessing social media/networking sites from organizational information systems. Organizations also address specific rules that prevent unauthorized entities from obtaining and/or inferring non-public organizational information (e.g., system account information, personally identifiable information) from social media/networking sites.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes the following in the rules of behavior: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pl-4.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eexplicit restrictions on the use of social media/networking sites; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pl-4.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eposting organizational information on public websites.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing rules of behavior for information system users\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for establishing, reviewing, and updating rules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel who are authorized users of the information system and have signed rules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for establishing rules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the establishment of rules of behavior\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-18", + "value": "NIST Special Publication 800-18" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pl.5", + "title": "PRIVACY IMPACT ASSESSMENT", + "props": [ + { + "class": "name", + "value": "PL-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into Appendix J, AR-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "Appendix J" + }, + { + "href": "", + "value": "AR-2" + } + ] + }, + { + "class": "SP800-53", + "id": "pl.6", + "title": "SECURITY-RELATED ACTIVITY PLANNING", + "props": [ + { + "class": "name", + "value": "PL-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PL-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pl.2" + } + ] + }, + { + "class": "SP800-53", + "id": "pl.7", + "title": "SECURITY CONCEPT OF OPERATIONS", + "params": [ + { + "id": "pl-7_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-7" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pl-7a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-7a." + } + ] + }, + { + "class": "item", + "id": "smm_pl-7b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the CONOPS \u003cinsert param-id=\"pl-7_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-7b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe security CONOPS may be included in the security plan for the information system or in other system development life cycle-related documents, as appropriate. Changes to the CONOPS are reflected in ongoing updates to the security plan, the information security architecture, and other appropriate organizational documents (e.g., security specifications for procurements/acquisitions, system development life cycle documents, and systems/security engineering documents).\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-7.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-7(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-7.b.", + "props": [ + { + "class": "name", + "value": "PL-7(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-7.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the security CONOPS; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-7(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-7.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the security CONOPS with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-7(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security CONOPS development\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security CONOPS reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity CONOPS for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of security CONOPS reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for developing, reviewing, and updating the security CONOPS\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the development, review, and update of the security CONOPS\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pl.8", + "title": "INFORMATION SECURITY ARCHITECTURE", + "params": [ + { + "id": "pl-8_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pl-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops an information security architecture for the information system that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pl-8a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pl-8a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes how the information security architecture is integrated into and supports the enterprise architecture; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8a.2." + } + ] + }, + { + "class": "item", + "id": "sms_pl-8a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes any information security assumptions about, and dependencies on, external services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8a.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pl-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the information security architecture \u003cinsert param-id=\"pl-8_a\"/\u003e to reflect updates in the enterprise architecture; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8b." + } + ] + }, + { + "class": "item", + "id": "smm_pl-8c.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that planned information security architecture changes are reflected in the security plan, the security Concept of Operations (CONOPS), and organizational procurements/acquisitions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses actions taken by organizations in the design and development of information systems. The information security architecture at the individual information system level is consistent with and complements the more global, organization-wide information security architecture described in PM-7 that is integral to and developed as part of the enterprise architecture. The information security architecture includes an architectural description, the placement/allocation of security functionality (including security controls), security-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security architecture can include other important security-related information, for example, user roles and access privileges assigned to each role, unique security requirements, the types of information processed, stored, and transmitted by the information system, restoration priorities of information and information system services, and any other specific protection needs. In today�s modern architecture, it is becoming less common for organizations to control all information resources. There are going to be key dependencies on external information services and service providers. Describing such dependencies in the information security architecture is important to developing a comprehensive mission/business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational information systems is critical to implementing and maintaining an effective information security architecture. The development of the information security architecture is coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to support privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure that organizations develop an information security architecture for the information system, and that the security architecture is integrated with or tightly coupled to the enterprise architecture through the organization-wide information security architecture. In contrast, SA-17 is primarily directed at external information technology product/system developers and integrators (although SA-17 could be used internally within organizations for in-house system development). SA-17, which is complementary to PL-8, is selected when organizations outsource the development of information systems or information system components to external entities, and there is a need to demonstrate/show consistency with the organization�s enterprise architecture and information security architecture.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + }, + { + "href": "#pl.2" + }, + { + "href": "#pm.7" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.17" + }, + { + "href": "", + "value": "Appendix J" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-8.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops an information security architecture for the information system that describes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-8.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(a)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-8.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ehow the information security architecture is integrated into and supports the enterprise architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(a)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-8.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eany information security assumptions about, and dependencies on, external services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(a)(3)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-8.b.", + "props": [ + { + "class": "name", + "value": "PL-8(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-8.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the information security architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-8.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the information security architecture with the organization-defined frequency to reflect updates in the enterprise architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pl-8.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that planned information security architecture changes are reflected in:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-8.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe security plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-8.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe security Concept of Operations (CONOPS); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-8.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organizational procurements/acquisitions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(c)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information security architecture development\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information security architecture reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity CONOPS for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of information security architecture reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security architecture development responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for developing, reviewing, and updating the information security architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the development, review, and update of the information security architecture\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pl.8.1.", + "title": "DEFENSE-IN-DEPTH", + "props": [ + { + "class": "name", + "value": "PL-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization designs its security architecture using a defense-in-depth approach that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_pl-8.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eAllocates \u003cinsert param-id=\"pl-8_b\"/\u003e to \u003cinsert param-id=\"pl-8_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_pl-8.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the allocated security safeguards operate in a coordinated and mutually reinforcing manner.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations strategically allocate security safeguards (procedural, technical, or both) in the security architecture so that adversaries have to overcome multiple safeguards to achieve their objective. Requiring adversaries to defeat multiple mechanisms makes it more difficult to successfully attack critical information resources (i.e., increases adversary work factor) and also increases the likelihood of detection. The coordination of allocated safeguards is essential to ensure that an attack that involves one safeguard does not create adverse unintended consequences (e.g., lockout, cascading alarms) by interfering with another safeguard. Placement of security safeguards is a key activity. Greater asset criticality or information value merits additional layering. Thus, an organization may choose to place anti-virus software at organizational boundary layers, email/web servers, notebook computers, and workstations to maximize the number of related safeguards adversaries must penetrate before compromising the information and information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.29" + }, + { + "href": "#sc.36" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pl-8.1.a.", + "props": [ + { + "class": "name", + "value": "PL-8(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pl-8.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pl-8.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(1)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pl-8.1.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edesigns its security architecture using a defense-in-depth approach that allocates organization-defined security safeguards to organization-defined locations and architectural layers; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(1)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_pl-8.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edesigns its security architecture using a defense-in-depth approach that ensures the allocated organization-defined security safeguards operate in a coordinated and mutually reinforcing manner.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information security architecture development\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity CONOPS for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security architecture development responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for designing the information security architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the design of the information security architecture\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pl-8_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "pl-8_c", + "desc": "organization-defined locations and architectural layers", + "value": "organization-defined locations and architectural layers" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pl.8.2.", + "title": "SUPPLIER DIVERSITY", + "props": [ + { + "class": "name", + "value": "PL-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that \u003cinsert param-id=\"pl-8_d\"/\u003e allocated to \u003cinsert param-id=\"pl-8_e\"/\u003e are obtained from different suppliers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDifferent information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms according to their priorities and development schedules. By having different products at different locations (e.g., server, boundary, desktop) there is an increased likelihood that at least one will detect the malicious code.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_pl-8.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pl-8.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_pl-8.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that organization-defined security safeguards allocated to organization-defined locations and architectural layers are obtained from different suppliers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information security architecture development\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity CONOPS for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security architecture development responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for obtaining information security safeguards from different suppliers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "pl-8_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "pl-8_e", + "desc": "organization-defined locations and architectural layers", + "value": "organization-defined locations and architectural layers" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pl.9", + "title": "CENTRAL MANAGEMENT", + "params": [ + { + "id": "pl-9_a", + "desc": "organization-defined security controls and related processes", + "value": "organization-defined security controls and related processes" + } + ], + "props": [ + { + "class": "name", + "value": "PL-9" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization centrally manages \u003cinsert param-id=\"pl-9_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management refers to the organization-wide management and implementation of selected security controls and related processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed security controls and processes. As central management of security controls is generally associated with common controls, such management promotes and facilitates standardization of security control implementations and management and judicious use of organizational resources. Centrally-managed security controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate as part of organizational continuous monitoring. As part of the security control selection process, organizations determine which controls may be suitable for central management based on organizational resources and capabilities. Organizations consider that it may not always be possible to centrally manage every aspect of a security control. In such cases, the security control is treated as a hybrid control with the control managed and implemented either centrally or at the information system level. Controls and control enhancements that are candidates for full or partial central management include, but are not limited to: AC-2 (1) (2) (3) (4); AC-17 (1) (2) (3) (9); AC-18 (1) (3) (4) (5); AC-19 (4); AC-22; AC-23; AT-2 (1) (2); AT-3 (1) (2) (3); AT-4; AU-6 (1) (3) (5) (6) (9); AU-7 (1) (2); AU-11, AU-13, AU-16, CA-2 (1) (2) (3); CA-3 (1) (2) (3); CA-7 (1); CA-9; CM-2 (1) (2); CM-3 (1) (4); CM-4; CM-6 (1); CM-7 (4) (5); CM-8 (all); CM-9 (1); CM-10; CM-11; CP-7 (all); CP-8 (all); SC-43; SI-2; SI-3; SI-7; and SI-8.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pl-9-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security controls and related processes to be centrally managed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-9[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pl-9-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecentrally manages organization-defined security controls and related processes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-9[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security plan development and implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for planning/implementing central management of security controls and related processes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for central management of security controls and related processes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing central management of security controls and related processes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + } + ] + } + } + ] + }, + { + "class": "family", + "title": "PERSONNEL SECURITY", + "controls": [ + { + "class": "SP800-53", + "id": "ps.1", + "title": "PERSONNEL SECURITY POLICY AND PROCEDURES", + "params": [ + { + "id": "ps-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ps-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PS-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ps-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ps-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ps-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ps-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the personnel security policy and associated personnel security controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ps-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ps-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003ePersonnel security policy \u003cinsert param-id=\"ps-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ps-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003ePersonnel security procedures \u003cinsert param-id=\"ps-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-1.a.1.", + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an personnel security policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the personnel security policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the personnel security policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.2.", + "props": [ + { + "class": "name", + "value": "PS-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the personnel security policy and associated personnel security controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.b.1.", + "props": [ + { + "class": "name", + "value": "PS-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current personnel security policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current personnel security policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-1.b.2.", + "props": [ + { + "class": "name", + "value": "PS-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current personnel security procedures; 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Personnel security criteria include, for example, position sensitivity background screening requirements.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ps-3.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection have valid access authorizations that are demonstrated by assigned official government duties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-3(3)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ps-3.3.b.", + "props": [ + { + "class": "name", + "value": "PS-3(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ps-3.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines additional personnel screening criteria to be 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protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ps-3_b", + "desc": "organization-defined additional personnel screening criteria", + "value": "organization-defined additional personnel screening criteria" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.gpo.gov/fdsys/granule/CFR-2012-title5-vol2/CFR-2012-title5-vol2-sec731-106/content-detail.html", + "value": "5 C.F.R. 731.106" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-60", + "value": "NIST Special Publication 800-60" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-73", + "value": "NIST Special Publication 800-73" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-76", + "value": "NIST Special Publication 800-76" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + }, + { + "citations": [ + { + "href": "http://www.dni.gov/index.php/intelligence-community/ic-policies-reports/intelligence-community-directives", + "value": "ICD 704" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ps.4", + "title": "PERSONNEL TERMINATION", + "params": [ + { + "id": "ps-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "ps-4_b", + "desc": "organization-defined information security topics", + "value": "organization-defined information security topics" + }, + { + "id": "ps-4_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-4_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization, upon termination of individual employment:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ps-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eDisables information system access within \u003cinsert param-id=\"ps-4_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4a." + } + ] + }, + { + "class": "item", + "id": "smm_ps-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eTerminates/revokes any authenticators/credentials associated with the individual;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4b." + } + ] + }, + { + "class": "item", + "id": "smm_ps-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eConducts exit interviews that include a discussion of \u003cinsert param-id=\"ps-4_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4c." + } + ] + }, + { + "class": "item", + "id": "smm_ps-4d.", + "prose": [ + "\u003cp class=\"description\"\u003eRetrieves all security-related organizational information system-related property;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4d." + } + ] + }, + { + "class": "item", + "id": "smm_ps-4e.", + "prose": [ + "\u003cp class=\"description\"\u003eRetains access to organizational information and information systems formerly controlled by terminated individual; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4e." + } + ] + }, + { + "class": "item", + "id": "smm_ps-4f.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies \u003cinsert param-id=\"ps-4_c\"/\u003e within \u003cinsert param-id=\"ps-4_d\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4f." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for information system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and nonavailability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the information system accounts of individuals that are being terminated prior to the individuals being notified.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#ps.5" + }, + { + "href": "#ps.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, upon termination of individual employment,:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-4.a.", + "props": [ + { + "class": "name", + "value": "PS-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period within which to disable information system access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edisables information system access within the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eterminates/revokes any authenticators/credentials associated with the individual;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.c.", + "props": [ + { + "class": "name", + "value": "PS-4(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information security topics to be discussed when conducting exit interviews;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts exit interviews that include a discussion of organization-defined information security topics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eretrieves all security-related organizational information system-related property;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains access to organizational information and information systems formerly controlled by the terminated individual;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(e)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.f.", + "props": [ + { + "class": "name", + "value": "PS-4(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-4.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified of the termination;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which to notify organization-defined personnel or roles; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(f)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-4.f.3.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies organization-defined personnel or roles within the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(f)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing personnel termination\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of personnel termination actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system accounts\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of terminated or revoked authenticators/credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of exit interviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for personnel termination\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing personnel termination notifications\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for disabling information system access/revoking authenticators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ps.4.1.", + "title": "POST-EMPLOYMENT REQUIREMENTS", + "props": [ + { + "class": "name", + "value": "PS-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ps-4.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ps-4.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ps-4.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies terminated individuals of applicable, legally binding, post-employment requirements for the protection of organizational information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(1)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ps-4.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires terminated individuals to sign an acknowledgement of post-employment requirements as part of the organizational termination process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing personnel termination\u003c/p\u003e", + "\u003cp class=\"object\"\u003esigned post-employment acknowledgement forms\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of applicable, legally binding post-employment requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for post-employment requirements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ps.4.2.", + "title": "AUTOMATED NOTIFICATION", + "props": [ + { + "class": "name", + "value": "PS-4 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to notify \u003cinsert param-id=\"ps-4_e\"/\u003e upon termination of an individual.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn organizations with a large number of employees, not all personnel who need to know about termination actions receive the appropriate notifications�or, if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to specific organizational personnel or roles (e.g., management personnel, supervisors, personnel security officers, information security officers, systems administrators, or information technology administrators) when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including, for example, telephonically, via electronic mail, via text message, or via websites.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ps-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified upon termination of an individual; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ps-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to notify organization-defined personnel or roles upon termination of an individual.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing personnel termination\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of personnel termination actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated notifications of employee terminations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for personnel termination\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing personnel termination notifications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ps-4_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ps.5", + "title": "PERSONNEL TRANSFER", + "params": [ + { + "id": "ps-5_a", + "desc": "organization-defined transfer or reassignment actions", + "value": "organization-defined transfer or reassignment actions" + }, + { + "id": "ps-5_b", + "desc": "organization-defined time period following the formal transfer action", + "value": "organization-defined time period following the formal transfer action" + }, + { + "id": "ps-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-5_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-5" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ps-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and confirms ongoing operational need for current logical and physical access authorizations to information systems/facilities when individuals are reassigned or transferred to other positions within the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5a." + } + ] + }, + { + "class": "item", + "id": "smm_ps-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eInitiates \u003cinsert param-id=\"ps-5_a\"/\u003e within \u003cinsert param-id=\"ps-5_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5b." + } + ] + }, + { + "class": "item", + "id": "smm_ps-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eModifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5c." + } + ] + }, + { + "class": "item", + "id": "smm_ps-5d.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies \u003cinsert param-id=\"ps-5_c\"/\u003e within \u003cinsert param-id=\"ps-5_d\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing information system accounts and establishing new accounts; (iii) changing information system access authorizations (i.e., privileges); and (iv) providing for access to official records to which individuals had access at previous work locations and in previous information system accounts.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#ps.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen individuals are reassigned or transferred to other positions within the organization, reviews and confirms ongoing operational need for current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003elogical access authorizations to information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ephysical access authorizations to information systems and facilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.b.", + "props": [ + { + "class": "name", + "value": "PS-5(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-5.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines transfer or reassignment actions to be initiated following transfer or reassignment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which transfer or reassignment actions must occur following transfer or reassignment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003einitiates organization-defined transfer or reassignment actions within the organization-defined time period following transfer or reassignment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(b)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.c.", + "prose": [ + "\u003cp class=\"decision\"\u003emodifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.d.", + "props": [ + { + "class": "name", + "value": "PS-5(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-5.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified when individuals are reassigned or transferred to other positions within the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which to notify organization-defined personnel or roles when individuals are reassigned or transferred to other positions within the organization; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-5.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies organization-defined personnel or roles within the organization-defined time period when individuals are reassigned or transferred to other positions within the organization.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5(d)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing personnel transfer\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of personnel transfer actions\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system and facility access authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities organizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for personnel transfer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing personnel transfer notifications\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for disabling information system access/revoking authenticators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ps.6", + "title": "ACCESS AGREEMENTS", + "params": [ + { + "id": "ps-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ps-6_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PS-6" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ps-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops and documents access agreements for organizational information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6a." + } + ] + }, + { + "class": "item", + "id": "smm_ps-6b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the access agreements \u003cinsert param-id=\"ps-6_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6b." + } + ] + }, + { + "class": "item", + "id": "smm_ps-6c.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that individuals requiring access to organizational information and information systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6c." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ps-6c.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSign appropriate access agreements prior to being granted access; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6c.1." + } + ] + }, + { + "class": "item", + "id": "sms_ps-6c.2.", + "prose": [ + "\u003cp class=\"description\"\u003eRe-sign access agreements to maintain access to organizational information systems when access agreements have been updated or \u003cinsert param-id=\"ps-6_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6c.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAccess agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.4" + }, + { + "href": "#ps.2" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.4" + }, + { + "href": "#ps.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-6.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents access agreements for organizational information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-6.b.", + "props": [ + { + "class": "name", + "value": "PS-6(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the access agreements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the access agreements with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-6.c.", + "props": [ + { + "class": "name", + "value": "PS-6(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-6.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(c)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-6.c.2.", + "props": [ + { + "class": "name", + "value": "PS-6(c)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-6.c.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to re-sign access agreements to maintain access to organizational information systems when access agreements have been updated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(c)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-6.c.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that individuals requiring access to organizational information and information systems re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(c)(2)[2]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access agreements for organizational information and information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of access agreement reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel who have signed/resigned access agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for access agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting access agreements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ps.6.1.", + "title": "INFORMATION REQUIRING SPECIAL PROTECTION", + "props": [ + { + "class": "name", + "value": "PS-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PS-3\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ps.3" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ps.6.2.", + "title": "CLASSIFIED INFORMATION REQUIRING SPECIAL PROTECTION", + "props": [ + { + "class": "name", + "value": "PS-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that access to classified information requiring special protection is granted only to individuals who:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ps-6.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eHave a valid access authorization that is demonstrated by assigned official government duties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ps-6.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eSatisfy associated personnel security criteria; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (2)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ps-6.2.c.", + "prose": [ + "\u003cp class=\"description\"\u003eHave read, understood, and signed a nondisclosure agreement.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (2)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClassified information requiring special protection includes, for example, collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization ensures that access to classified information requiring special protection is granted only to individuals who:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ps-6.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ehave a valid access authorization that is demonstrated by assigned official government duties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(2)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ps-6.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esatisfy associated personnel security criteria; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(2)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ps-6.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ehave read, understood, and signed a nondisclosure agreement.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(2)(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access agreements for organizational information and information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel security criteria\u003c/p\u003e", + "\u003cp class=\"object\"\u003esigned nondisclosure agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel who have signed nondisclosure agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for access to classified information requiring special protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ps.6.3.", + "title": "POST-EMPLOYMENT REQUIREMENTS", + "props": [ + { + "class": "name", + "value": "PS-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_ps-6.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_ps-6.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ps-6.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(3)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ps-6.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires individuals to sign an acknowledgement of these requirements, if applicable, as part of granting initial access to covered information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6(3)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing access agreements for organizational information and information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esigned post-employment acknowledgement forms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of applicable, legally binding post-employment requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel who have signed access agreements that include post-employment requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for post-employment requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting notifications and individual acknowledgements of post-employment requirements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ps.7", + "title": "THIRD-PARTY PERSONNEL SECURITY", + "params": [ + { + "id": "ps-7_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-7_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-7" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ps-7a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes personnel security requirements including security roles and responsibilities for third-party providers;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7a." + } + ] + }, + { + "class": "item", + "id": "smm_ps-7b.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires third-party providers to comply with personnel security policies and procedures established by the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7b." + } + ] + }, + { + "class": "item", + "id": "smm_ps-7c.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments personnel security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7c." + } + ] + }, + { + "class": "item", + "id": "smm_ps-7d.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires third-party providers to notify \u003cinsert param-id=\"ps-7_a\"/\u003e of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges within \u003cinsert param-id=\"ps-7_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7d." + } + ] + }, + { + "class": "item", + "id": "smm_ps-7e.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors provider compliance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThird-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. Third-party providers may have personnel working at organizational facilities with credentials, badges, or information system privileges issued by organizations. Notifications of third-party personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.2" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.4" + }, + { + "href": "#ps.5" + }, + { + "href": "#ps.6" + }, + { + "href": "#sa.9" + }, + { + "href": "#sa.21" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-7.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes personnel security requirements, including security roles and responsibilities, for third-party providers;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires third-party providers to comply with personnel security policies and procedures established by the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-7.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments personnel security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-7.d.", + "props": [ + { + "class": "name", + "value": "PS-7(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-7.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-7.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-7.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires third-party providers to notify organization-defined personnel or roles within the organization-defined time period of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7(d)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ps-7.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors provider compliance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7(e)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing third-party personnel security\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of personnel security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecompliance monitoring process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethird-party providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing and monitoring third-party personnel security\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing monitoring of provider compliance\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-35", + "value": "NIST Special Publication 800-35" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ps.8", + "title": "PERSONNEL SANCTIONS", + "params": [ + { + "id": "ps-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-8_b", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-8" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ps-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys a formal sanctions process for individuals failing to comply with established information security policies and procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-8a." + } + ] + }, + { + "class": "item", + "id": "smm_ps-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies \u003cinsert param-id=\"ps-8_a\"/\u003e within \u003cinsert param-id=\"ps-8_b\"/\u003e when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational sanctions processes reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.4" + }, + { + "href": "#ps.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-8.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys a formal sanctions process for individuals failing to comply with established information security policies and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-8(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-8.b.", + "props": [ + { + "class": "name", + "value": "PS-8(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ps-8.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be notified when a formal employee sanctions process is initiated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-8(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-8.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-8(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ps-8.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies organization-defined personnel or roles within the organization-defined time period when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-8(b)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing personnel sanctions\u003c/p\u003e", + "\u003cp class=\"object\"\u003erules of behavior\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of formal sanctions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing personnel sanctions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing notifications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "RISK ASSESSMENT", + "controls": [ + { + "class": "SP800-53", + "id": "ra.1", + "title": "RISK ASSESSMENT POLICY AND PROCEDURES", + "params": [ + { + "id": "ra-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ra-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ra-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "RA-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ra-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ra-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ra-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_ra-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ra-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ra-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eRisk assessment policy \u003cinsert param-id=\"ra-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ra-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eRisk assessment procedures \u003cinsert param-id=\"ra-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the RA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-1.a.1.", + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a risk assessment policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the risk assessment policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the risk assessment policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.2.", + "props": [ + { + "class": "name", + "value": "RA-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.b.1.", + "props": [ + { + "class": "name", + "value": "RA-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current risk assessment policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current risk assessment policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.b.2.", + "props": [ + { + "class": "name", + "value": "RA-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current risk assessment procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current risk assessment procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003erisk assessment policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with risk assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ra.2", + "title": "SECURITY CATEGORIZATION", + "props": [ + { + "class": "name", + "value": "RA-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ra-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eCategorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2a." + } + ] + }, + { + "class": "item", + "id": "smm_ra-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments the security categorization results (including supporting rationale) in the security plan for the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2b." + } + ] + }, + { + "class": "item", + "id": "smm_ra-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClearly defined authorization boundaries are a prerequisite for effective security categorization decisions. Security categories describe the potential adverse impacts to organizational operations, organizational assets, and individuals if organizational information and information systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of chief information officers, senior information security officers, information system owners, mission/business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes carried out by organizations facilitate the development of inventories of information assets, and along with CM-8, mappings to specific information system components where information is processed, stored, or transmitted.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + }, + { + "href": "#mp.4" + }, + { + "href": "#ra.3" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecategorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments the security categorization results (including supporting rationale) in the security plan for the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity planning policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security categorization of organizational information and information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity categorization documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security categorization and risk assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security categorization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-60", + "value": "NIST Special Publication 800-60" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ra.3", + "title": "RISK ASSESSMENT", + "params": [ + { + "id": "ra-3_a", + "desc": "organization-defined document", + "value": "organization-defined document" + }, + { + "id": "ra-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ra-3_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ra-3_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "RA-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ra-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eConducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3a." + } + ] + }, + { + "class": "item", + "id": "smm_ra-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments risk assessment results in [Selection: security plan; risk assessment report; \u003cinsert param-id=\"ra-3_a\"/\u003e];\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3b." + } + ] + }, + { + "class": "item", + "id": "smm_ra-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews risk assessment results \u003cinsert param-id=\"ra-3_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3c." + } + ] + }, + { + "class": "item", + "id": "smm_ra-3d.", + "prose": [ + "\u003cp class=\"description\"\u003eDisseminates risk assessment results to \u003cinsert param-id=\"ra-3_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3d." + } + ] + }, + { + "class": "item", + "id": "smm_ra-3e.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the risk assessment \u003cinsert param-id=\"ra-3_d\"/\u003e or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also take into account risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems. Risk assessments (either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.2" + }, + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information the system processes, stores, or transmits;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.b.", + "props": [ + { + "class": "name", + "value": "RA-3(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a document in which risk assessment results are to be documented (if not documented in the security plan or risk assessment report);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments risk assessment results in one of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-3.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe security plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe risk assessment report; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(b)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.b.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization-defined document;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(b)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.c.", + "props": [ + { + "class": "name", + "value": "RA-3(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-3.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review risk assessment results;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews risk assessment results with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.d.", + "props": [ + { + "class": "name", + "value": "RA-3(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-3.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom risk assessment results are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-3.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates risk assessment results to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + 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class=\"object\"\u003erisk assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment results\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with risk assessment responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for risk assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy04/m04-04.pdf", + "value": "OMB Memorandum 04-04" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://idmanagement.gov", + "value": "http://idmanagement.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ra.4", + "title": "RISK ASSESSMENT UPDATE", + "props": [ + { + "class": "name", + "value": "RA-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into RA-3\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ra.3" + } + ] + }, + { + "class": "SP800-53", + "id": "ra.5", + "title": "VULNERABILITY SCANNING", + "params": [ + { + "id": "ra-5_a", + "desc": "organization-defined frequency and/or randomly in accordance with organization-defined process", + "value": "organization-defined frequency and/or randomly in accordance with organization-defined process" + }, + { + "id": "ra-5_b", + "desc": "organization-defined response times", + "value": "organization-defined response times" + }, + { + "id": "ra-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "RA-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_ra-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eScans for vulnerabilities in the information system and hosted applications \u003cinsert param-id=\"ra-5_a\"/\u003e and when new vulnerabilities potentially affecting the system/applications are identified and reported;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5a." + } + ] + }, + { + "class": "item", + "id": "smm_ra-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_ra-5b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eEnumerating platforms, software flaws, and improper configurations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5b.1." + } + ] + }, + { + "class": "item", + "id": "sms_ra-5b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eFormatting checklists and test procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5b.2." + } + ] + }, + { + "class": "item", + "id": "sms_ra-5b.3.", + "prose": [ + "\u003cp class=\"description\"\u003eMeasuring vulnerability impact;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5b.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_ra-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eAnalyzes vulnerability scan reports and results from security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5c." + } + ] + }, + { + "class": "item", + "id": "smm_ra-5d.", + "prose": [ + "\u003cp class=\"description\"\u003eRemediates legitimate vulnerabilities \u003cinsert param-id=\"ra-5_b\"/\u003e in accordance with an organizational assessment of risk; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5d." + } + ] + }, + { + "class": "item", + "id": "smm_ra-5e.", + "prose": [ + "\u003cp class=\"description\"\u003eShares information obtained from the vulnerability scanning process and security control assessments with \u003cinsert param-id=\"ra-5_c\"/\u003e to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.6" + }, + { + "href": "#ra.2" + }, + { + "href": "#ra.3" + }, + { + "href": "#sa.11" + }, + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.a.", + "props": [ + { + "class": "name", + "value": "RA-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.a.1.", + "props": [ + { + "class": "name", + "value": "RA-5(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency for conducting vulnerability scans on the information system and hosted applications; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the process for conducting random vulnerability scans on the information system and hosted applications;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ein accordance with the organization-defined frequency and/or organization-defined process for conducting random scans, scans for vulnerabilities in:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ehosted applications;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[2][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen new vulnerabilities potentially affecting the system/applications are identified and reported, scans for vulnerabilities in:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.a.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.a.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ehosted applications;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(a)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.b.1.", + "props": [ + { + "class": "name", + "value": "RA-5(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eenumerating platforms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eenumerating software flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(b)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.b.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eenumerating improper configurations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(b)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.b.2.", + "props": [ + { + "class": "name", + "value": "RA-5(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eformatting checklists;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eformatting test procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(b)(2)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emeasuring vulnerability impact;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(b)(3)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.c.", + "props": [ + { + "class": "name", + "value": "RA-5(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalyzes vulnerability scan reports;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalyzes results from security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.d.", + "props": [ + { + "class": "name", + "value": "RA-5(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines response times to remediate legitimate vulnerabilities in accordance with an organizational assessment of risk;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eremediates legitimate vulnerabilities within the organization-defined response times in accordance with an organizational assessment of risk;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(d)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.e.", + "props": [ + { + "class": "name", + "value": "RA-5(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-5.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles with whom information obtained from the vulnerability scanning process and security control assessments is to be shared;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eshares information obtained from the vulnerability scanning process with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(e)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-5.e.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eshares information obtained from security control assessments with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(e)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning tools and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with risk assessment, security control assessment and vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with vulnerability remediation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability scanning, analysis, remediation, and information sharing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ra.5.1.", + "title": "UPDATE TOOL CAPABILITY", + "props": [ + { + "class": "name", + "value": "RA-5 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This updating process helps to ensure that potential vulnerabilities in the information system are identified and addressed as quickly as possible.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eProcedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning tools and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.2.", + "title": "UPDATE BY FREQUENCY / PRIOR TO NEW SCAN / WHEN IDENTIFIED", + "props": [ + { + "class": "name", + "value": "RA-5 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization updates the information system vulnerabilities scanned [Selection (one or more): \u003cinsert param-id=\"ra-5_d\"/\u003e; prior to a new scan; when new vulnerabilities are identified and reported].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#si.3" + }, + { + "href": "#si.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ra-5.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to update the information system vulnerabilities scanned;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the information system vulnerabilities scanned one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(2)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ra-5.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(2)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprior to a new scan; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(2)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.2.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ewhen new vulnerabilities are identified and reported.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(2)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eProcedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning tools and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ra-5_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.3.", + "title": "BREADTH / DEPTH OF COVERAGE", + "props": [ + { + "class": "name", + "value": "RA-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs vulnerability scanning procedures that can identify the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs vulnerability scanning procedures that can identify:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ra-5.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe breadth of coverage (i.e., information system components scanned); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe depth of coverage (i.e., vulnerabilities checked).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eProcedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning tools and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.4.", + "title": "DISCOVERABLE INFORMATION", + "props": [ + { + "class": "name", + "value": "RA-5 (4)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization determines what information about the information system is discoverable by adversaries and subsequently takes \u003cinsert param-id=\"ra-5_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDiscoverable information includes information that adversaries could obtain without directly compromising or breaching the information system, for example, by collecting information the system is exposing or by conducting extensive searches of the web. Corrective actions can include, for example, notifying appropriate organizational personnel, removing designated information, or changing the information system to make designated information less relevant or attractive to adversaries.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ra-5.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines corrective actions to be taken if information about the information system is discoverable by adversaries;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines what information about the information system is discoverable by adversaries; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esubsequently takes organization-defined corrective actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(4)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eProcedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003epenetration test results\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment report\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of corrective actions taken\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with vulnerability scanning and/or penetration testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for risk response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for incident management and response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for risk response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for incident management and response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing risk response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing incident management and response\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ra-5_e", + "desc": "organization-defined corrective actions", + "value": "organization-defined corrective actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.5.", + "title": "PRIVILEGED ACCESS", + "props": [ + { + "class": "name", + "value": "RA-5 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements privileged access authorization to \u003cinsert param-id=\"ra-5_f\"/\u003e for selected \u003cinsert param-id=\"ra-5_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, the nature of the vulnerability scanning may be more intrusive or the information system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and also protects the sensitive nature of such scanning.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_ra-5.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system components to which privileged access is authorized for selected vulnerability scanning activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines vulnerability scanning activities selected for privileged access authorization to organization-defined information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_ra-5.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements privileged access authorization to organization-defined information system components for selected organization-defined vulnerability scanning activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system components for vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel access authorization list\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorization credentials\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess authorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for access control to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for configuration management of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing access control\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "ra-5_f", + "desc": "organization-identified information system components", + "value": "organization-identified information system components" + }, + { + "id": "ra-5_g", + "desc": "organization-defined vulnerability scanning activities", + "value": "organization-defined vulnerability scanning activities" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.6.", + "title": "AUTOMATED TREND ANALYSES", + "props": [ + { + "class": "name", + "value": "RA-5 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ir.4" + }, + { + "href": "#ir.5" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing trend analysis of vulnerability scan results\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.7.", + "title": "AUTOMATED DETECTION AND NOTIFICATION OF UNAUTHORIZED COMPONENTS", + "props": [ + { + "class": "name", + "value": "RA-5 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.8" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.8.", + "title": "REVIEW HISTORIC AUDIT LOGS", + "props": [ + { + "class": "name", + "value": "RA-5 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#au.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of audit log reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003e\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with audit record review responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp 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"props": [ + { + "class": "name", + "value": "RA-6" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs a technical surveillance countermeasures survey at \u003cinsert param-id=\"ra-6_a\"/\u003e [Selection (one or more): \u003cinsert param-id=\"ra-6_b\"/\u003e; \u003cinsert param-id=\"ra-6_c\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTechnical surveillance countermeasures surveys are performed by qualified personnel to detect the presence of technical surveillance devices/hazards and to identify technical security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities. Such surveys provide evaluations of the technical security postures of organizations and facilities and typically include thorough visual, electronic, and physical examinations in and about surveyed facilities. The surveys also provide useful input into risk assessments and organizational exposure to potential adversaries.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-6-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines locations to employ technical surveillance countermeasure surveys;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-6[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-6-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to employ technical surveillance countermeasure surveys;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-6[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-6-3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines events or indicators which, if they occur, trigger a technical surveillance countermeasures survey;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-6[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_ra-6-4.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys a technical surveillance countermeasures survey at organization-defined locations one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-6[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_ra-6-4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency; 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and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_sa-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_sa-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_sa-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem and services acquisition policy \u003cinsert param-id=\"sa-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_sa-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem and services acquisition procedures \u003cinsert param-id=\"sa-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-1.a.1.", + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a system and services acquisition policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-1.a.1.1.b.", 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+ "class": "name", + "value": "SA-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the system and services acquisition policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the system and services acquisition policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-1.a.2.", + "props": [ + { + "class": "name", + "value": "SA-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": 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organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines information security requirements for the information system or information system service in mission/business process planning;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-2a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines, documents, and allocates the resources required to protect the information system or information system service as part of its capital planning and investment control process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-2b." + } + ] + }, + { + "class": "item", + "id": "smm_sa-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes a discrete line item for information security in organizational programming and budgeting documentation.\u003c/p\u003e" + ], + "props": [ + { + 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system using \u003cinsert param-id=\"sa-3_a\"/\u003e that incorporates information security considerations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines and documents information security roles and responsibilities throughout the system development life cycle;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3b." + } + ] + }, + { + "class": "item", + "id": "smm_sa-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies individuals having information security roles and responsibilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3c." + } + ] + }, + { + "class": "item", + "id": "smm_sa-3d.", + "prose": [ + "\u003cp class=\"description\"\u003eIntegrates the organizational information security risk management process into system development life cycle activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA well-defined system development life cycle provides the foundation for the successful development, implementation, and operation of organizational information systems. To apply the required security controls within the system development life cycle requires a basic understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical missions/business functions. The security engineering principles in SA-8 cannot be properly applied if individuals that design, code, and test information systems and system components (including information technology products) do not understand security. Therefore, organizations include qualified personnel, for example, chief information security officers, security architects, security engineers, and information system security officers in system development life cycle activities to ensure that security requirements are incorporated into organizational information systems. It is equally important that developers include individuals on the development team that possess the requisite security expertise and skills to ensure that needed security capabilities are effectively integrated into the information system. Security awareness and training programs can help ensure that individuals having key security roles and responsibilities have the appropriate experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security requirements into enterprise architecture also helps to ensure that important security considerations are addressed early in the system development life cycle and that those considerations are directly related to the organizational mission/business processes. This process also facilitates the integration of the information security architecture into the enterprise architecture, consistent with organizational risk management and information security strategies.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#pm.7" + }, + { + "href": "#sa.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-3.a.", + "props": [ + { + "class": "name", + "value": "SA-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a system development life cycle that incorporates information security considerations to be used to manage the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emanages the information system using the organization-defined system development life cycle;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines and documents information security roles and responsibilities throughout the system development life cycle;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies individuals having information security roles and responsibilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegrates the organizational information security risk management process into system development life cycle activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security into the system development life cycle process\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system development life cycle documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation security risk management strategy/program documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security and system life cycle development responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security risk management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and documenting the SDLC\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for identifying SDLC roles and responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for integrating information security risk management into the SDLC\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the SDLC\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-64", + "value": "NIST Special Publication 800-64" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.4", + "title": "ACQUISITION PROCESS", + "props": [ + { + "class": "name", + "value": "SA-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity functional requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity strength requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4b." + } + ] + }, + { + "class": "item", + "id": "smm_sa-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity assurance requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4c." + } + ] + }, + { + "class": "item", + "id": "smm_sa-4d.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity-related documentation requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4d." + } + ] + }, + { + "class": "item", + "id": "smm_sa-4e.", + "prose": [ + "\u003cp class=\"description\"\u003eRequirements for protecting security-related documentation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4e." + } + ] + }, + { + "class": "item", + "id": "smm_sa-4f.", + "prose": [ + "\u003cp class=\"description\"\u003eDescription of the information system development environment and environment in which the system is intended to operate; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4f." + } + ] + }, + { + "class": "item", + "id": "smm_sa-4g.", + "prose": [ + "\u003cp class=\"description\"\u003eAcceptance criteria.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system components are discrete, identifiable information technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an information system. Information system components include commercial information technology products. Security functional requirements include security capabilities, security functions, and security mechanisms. Security strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to direct attack, and resistance to tampering or bypass. Security assurance requirements include: (i) development processes, procedures, practices, and methodologies; and (ii) evidence from development and assessment activities providing grounds for confidence that the required security functionality has been implemented and the required security strength has been achieved. Security documentation requirements address all phases of the system development life cycle. Security functionality, assurance, and documentation requirements are expressed in terms of security controls and control enhancements that have been selected through the tailoring process. The security control tailoring process includes, for example, the specification of parameter values through the use of assignment and selection statements and the specification of platform dependencies and implementation information. Security documentation provides user and administrator guidance regarding the implementation and operation of security controls. The level of detail required in security documentation is based on the security category or classification level of the information system and the degree to which organizations depend on the stated security capability, functions, or mechanisms to meet overall risk response expectations (as defined in the organizational risk management strategy). Security requirements can also include organizationally mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for information systems, information system components, and information system services are defined in the same manner as such criteria for any organizational acquisition or procurement. The Federal Acquisition Regulation (FAR) Section 7.103 contains information security requirements from FISMA.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#pl.2" + }, + { + "href": "#ps.7" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.11" + }, + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contracts for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity functional requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity strength requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity assurance requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity-related documentation requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-4.e.", + "prose": [ + "\u003cp class=\"decision\"\u003erequirements for protecting security-related documentation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(e)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-4.f.", + "prose": [ + "\u003cp class=\"decision\"\u003edescription of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(f)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-4.f.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system development environment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(f)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-4.f.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe environment in which the system is intended to operate; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(f)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-4.g.", + "prose": [ + "\u003cp class=\"decision\"\u003eacceptance criteria.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(g)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security functional, strength, and assurance requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for determining information system security functional, strength, and assurance requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for developing acquisition contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.4.1.", + "title": "FUNCTIONAL PROPERTIES OF SECURITY CONTROLS", + "props": [ + { + "class": "name", + "value": "SA-4 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFunctional properties of security controls describe the functionality (i.e., security capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security functional requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developer or service provider\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for determining information system security functional, requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for developing acquisition contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.2.", + "title": "DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS", + "props": [ + { + "class": "name", + "value": "SA-4 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes: [Selection (one or more): security-relevant external system interfaces; high-level design; low-level design; source code or hardware schematics; \u003cinsert param-id=\"sa-4_a\"/\u003e] at \u003cinsert param-id=\"sa-4_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may require different levels of detail in design and implementation documentation for security controls employed in organizational information systems, system components, or information system services based on mission/business requirements, requirements for trustworthiness/resiliency, and requirements for analysis and testing. Information systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of multiple subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules with particular emphasis on software and firmware (but not excluding hardware) and the interfaces between modules providing security-relevant functionality. Source code and hardware schematics are typically referred to as the implementation representation of the information system.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines level of detail that the developer is required to provide in design and implementation information for the security controls to be employed in the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines design/implementation information that the developer is to provide for the security controls to be employed (if selected);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes, at the organization-defined level of detail, one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.2.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity-relevant external system interfaces;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.2.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ehigh-level design;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.2.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003elow-level design;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.2.3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003esource code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][d]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.2.3.e.", + "prose": [ + "\u003cp class=\"decision\"\u003ehardware schematics; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][e]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.2.3.f.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined design/implementation information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][f]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system components, or information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003edesign and implementation information for security controls employed in the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developer or service provider\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for determining level of detail for system design and security controls\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for developing acquisition contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing development of system design details\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-4_a", + "desc": "organization-defined design/implementation information", + "value": "organization-defined design/implementation information" + }, + { + "id": "sa-4_b", + "desc": "organization-defined level of detail", + "value": "organization-defined level of detail" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.3.", + "title": "DEVELOPMENT METHODS / TECHNIQUES / PRACTICES", + "props": [ + { + "class": "name", + "value": "SA-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes \u003cinsert param-id=\"sa-4_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFollowing a well-defined system development life cycle that includes state-of-the-practice software development methods, systems/security engineering methods, quality control processes, and testing, evaluation, and validation techniques helps to reduce the number and severity of latent errors within information systems, system components, and information system services. Reducing the number/severity of such errors reduces the number of vulnerabilities in those systems, components, and services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines state-of-the-practice system/security engineering methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines software development methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines testing/evaluation/validation techniques to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines quality control processes to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.3.5.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[5]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.3.5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined state-of-the-practice system/security engineering methods;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[5][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.3.5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined software development methods;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[5][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.3.5.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined testing/evaluation/validation techniques; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[5][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.3.5.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined quality control processes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(3)[5][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system/security engineering methods to be included in developer’s system development life cycle process\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of software development methods to be included in developer’s system development life cycle process\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of testing/evaluation/validation techniques to be included in developer’s system development life cycle process\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of quality control processes to be included in developer’s system development life cycle process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security and system life cycle responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developer or service provider\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for development methods, techniques, and processes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-4_c", + "desc": "organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes", + "value": "organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.4.", + "title": "ASSIGNMENT OF COMPONENTS TO SYSTEMS", + "props": [ + { + "class": "name", + "value": "SA-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-8 (9)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.8.9." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.5.", + "title": "SYSTEM / COMPONENT / SERVICE CONFIGURATIONS", + "props": [ + { + "class": "name", + "value": "SA-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-4.5.a.", + "prose": [ + "\u003cp class=\"description\"\u003eDeliver the system, component, or service with \u003cinsert param-id=\"sa-4_d\"/\u003e implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-4.5.b.", + "prose": [ + "\u003cp class=\"description\"\u003eUse the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (5)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity configurations include, for example, the U.S. Government Configuration Baseline (USGCB) and any limitations on functions, ports, protocols, and services. Security characteristics include, for example, requiring that all default passwords have been changed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.5.a.", + "props": [ + { + "class": "name", + "value": "SA-4(5)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security configurations to be implemented by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(5)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to deliver the system, component, or service with organization-defined security configurations implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(5)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(5)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configurations to be implemented by developer of the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developer or service provider\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms used to verify that the configuration of the information system, component, or service, as delivered, is as specified\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-4_d", + "desc": "organization-defined security configurations", + "value": "organization-defined security configurations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.6.", + "title": "USE OF INFORMATION ASSURANCE PRODUCTS", + "props": [ + { + "class": "name", + "value": "SA-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-4.6.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (6)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-4.6.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (6)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCOTS IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.6.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(6)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.6.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(6)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity configurations to be implemented by developer of the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for ensuring information assurance products are NSA-approved and are evaluated and/or validated products in accordance with NSA-approved procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for selecting and employing evaluated and/or validated information assurance products and services that compose an NSA-approved solution to protect classified information\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.7.", + "title": "NIAP-APPROVED PROTECTION PROFILES", + "props": [ + { + "class": "name", + "value": "SA-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-4.7.a.", + "prose": [ + "\u003cp class=\"description\"\u003eLimits the use of commercially provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-4.7.b.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (7)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.7.a.", + "prose": [ + "\u003cp class=\"decision\"\u003elimits the use of commercially-provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(7)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(7)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eNAIP-approved protection profiles\u003c/p\u003e", + "\u003cp class=\"object\"\u003eFIPS-validation information for cryptographic functionality\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for ensuring information assurance products are have been evaluated against a NIAP-approved protection profile or for ensuring products relying on cryptographic functionality are FIPS-validated\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for selecting and employing products/services evaluated against a NIAP-approved protection profile or FIPS-validated products\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.8.", + "title": "CONTINUOUS MONITORING PLAN", + "props": [ + { + "class": "name", + "value": "SA-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains \u003cinsert param-id=\"sa-4_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe objective of continuous monitoring plans is to determine if the complete set of planned, required, and deployed security controls within the information system, system component, or information system service continue to be effective over time based on the inevitable changes that occur. 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SA-9 describes requirements for external information system services with organizations identifying which functions, ports, protocols, and services are provided from external sources.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + }, + { + "href": "#sa.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-4.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe functions intended for organizational use;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe ports intended for organizational use;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(9)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.9.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe protocols intended for organizational use; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(9)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-4.9.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe services intended for organizational use.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4(9)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation 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class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.10.", + "title": "USE OF APPROVED PIV PRODUCTS", + "props": [ + { + "class": "name", + "value": "SA-4 (10)" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + 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"props": [ + { + "class": "name", + "value": "SA-5" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eObtains administrator documentation for the information system, system component, or information system service that describes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_sa-5a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSecure configuration, installation, and operation of the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": 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class=\"description\"\u003eUser-accessible security functions/mechanisms and how to effectively use those security functions/mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5b.1." + } + ] + }, + { + "class": "item", + "id": "sms_sa-5b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eMethods for user interaction, which enables individuals to use the system, component, or service in a more secure manner; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5b.2." + } + ] + }, + { + "class": "item", + "id": "sms_sa-5b.3.", + "prose": [ + "\u003cp class=\"description\"\u003eUser responsibilities in maintaining the security of the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5b.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_sa-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent and takes \u003cinsert param-id=\"sa-5_a\"/\u003e in response;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5c." + } + ] + }, + { + "class": "item", + "id": "smm_sa-5d.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects documentation as required, in accordance with the risk management strategy; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5d." + } + ] + }, + { + "class": "item", + "id": "smm_sa-5e.", + "prose": [ + "\u003cp class=\"description\"\u003eDistributes documentation to \u003cinsert param-id=\"sa-5_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control helps organizational personnel understand the implementation and operation of security controls associated with information systems, system components, and information system services. Organizations consider establishing specific measures to determine the quality/completeness of the content provided. The inability to obtain needed documentation may occur, for example, due to the age of the information system/component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the effective implementation or operation of security controls. The level of protection provided for selected information system, component, or service documentation is commensurate with the security category or classification of the system. For example, documentation associated with a key DoD weapons system or command and control system would typically require a higher level of protection than a routine administrative system. Documentation that addresses information system vulnerabilities may also require an increased level of protection. Secure operation of the information system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + }, + { + "href": "#pl.2" + }, + { + "href": "#pl.4" + }, + { + "href": "#ps.2" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtains administrator documentation for the information system, system component, or information system service that describes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.a.1.", + "props": [ + { + "class": "name", + "value": "SA-5(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esecure configuration of the system, system component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esecure installation of the system, system component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esecure operation of the system, system component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.a.2.", + "props": [ + { + "class": "name", + "value": "SA-5(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.a.2.1.", + "prose": 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"props": [ + { + "class": "name", + "value": "SA-5(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.b.1.", + "props": [ + { + "class": "name", + "value": "SA-5(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003euser-accessible security functions/mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ehow to effectively use those functions/mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emethods for user interaction, which enables individuals to use the system, component, or service in a more secure manner;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(b)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003euser responsibilities in maintaining the security of the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(b)(3)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.c.", + "props": [ + { + "class": "name", + "value": "SA-5(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines actions to be taken after documented attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003etakes organization-defined actions in response;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(c)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects documentation as required, in accordance with the risk management strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-5.e.", + "props": [ + { + "class": "name", + "value": "SA-5(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-5.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or 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response to documented attempts to obtain information system, system component, or information system service documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk management strategy documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for obtaining, protecting, and distributing information system administrator and user documentation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.5.1.", + "title": "FUNCTIONAL PROPERTIES OF SECURITY CONTROLS", + "props": [ + { + "class": "name", + "value": "SA-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.4.1." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.5.2.", + "title": "SECURITY-RELEVANT EXTERNAL SYSTEM INTERFACES", + "props": [ + { + "class": "name", + "value": "SA-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4 (2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.4.2." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.5.3.", + "title": "HIGH-LEVEL DESIGN", + "props": [ + { + "class": "name", + "value": "SA-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4 (2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.4.2." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.5.4.", + "title": "LOW-LEVEL DESIGN", + "props": [ + { + "class": "name", + "value": "SA-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4 (2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.4.2." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.5.5.", + "title": "SOURCE CODE", + "props": [ + { + "class": "name", + "value": "SA-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4 (2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.4.2." + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.6", + "title": "SOFTWARE USAGE RESTRICTIONS", + "props": [ + { + "class": "name", + "value": "SA-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-10 and SI-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.10" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "SP800-53", + "id": "sa.7", + "title": "USER-INSTALLED SOFTWARE", + "props": [ + { + "class": "name", + "value": "SA-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-11 and SI-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.11" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "SP800-53", + "id": "sa.8", + "title": "SECURITY ENGINEERING PRINCIPLES", + "props": [ + { + "class": "name", + "value": "SA-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations apply security engineering principles primarily to new development information systems or systems undergoing major upgrades. For legacy systems, organizations apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware within those systems. Security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security requirements into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring that system developers are trained on how to build secure software; (vi) tailoring security controls to meet organizational and operational needs; (vii) performing threat modeling to identify use cases, threat agents, attack vectors, and attack patterns as well as compensating controls and design patterns needed to mitigate risk; and (viii) reducing risk to acceptable levels, thus enabling informed risk management decisions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.7" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.17" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization applies information system security engineering principles in: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-8-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe specification of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-8[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-8-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe design of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-8[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-8-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe development of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-8[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-8-4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe implementation of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-8[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-8-5.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe modification of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-8[5]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security engineering principles used in the specification, design, development, implementation, and modification of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation security requirements and specifications for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system specification, design, development, implementation, and modification responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for applying security engineering principles in information system specification, design, development, implementation, and modification\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the application of security engineering principles in information system specification, design, development, implementation, and modification\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-27", + "value": "NIST Special Publication 800-27" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.9", + "title": "EXTERNAL INFORMATION SYSTEM SERVICES", + "params": [ + { + "id": "sa-9_a", + "desc": "organization-defined security controls", + "value": "organization-defined security controls" + }, + { + "id": "sa-9_b", + "desc": "organization-defined processes, methods, and techniques", + "value": "organization-defined processes, methods, and techniques" + } + ], + "props": [ + { + "class": "name", + "value": "SA-9" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-9a.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires that providers of external information system services comply with organizational information security requirements and employ \u003cinsert param-id=\"sa-9_a\"/\u003e in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-9b.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines and documents government oversight and user roles and responsibilities with regard to external information system services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9b." + } + ] + }, + { + "class": "item", + "id": "smm_sa-9c.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"sa-9_b\"/\u003e to monitor security control compliance by external service providers on an ongoing basis.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal information system services are services that are implemented outside of the authorization boundaries of organizational information systems. This includes services that are used by, but not a part of, organizational information systems. FISMA and OMB policy require that organizations using external service providers that are processing, storing, or transmitting federal information or operating information systems on behalf of the federal government ensure that such providers meet the same security requirements that federal agencies are required to meet. Organizations establish relationships with external service providers in a variety of ways including, for example, through joint ventures, business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, and supply chain exchanges. The responsibility for managing risks from the use of external information system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External information system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for security controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.3" + }, + { + "href": "#ir.7" + }, + { + "href": "#ps.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-9.a.", + "props": [ + { + "class": "name", + "value": "SA-9(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-9.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security controls to be employed by providers of external information system services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-9.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that providers of external information system services comply with organizational information security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-9.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that providers of external information system services employ organization-defined security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-9.b.", + "props": [ + { + "class": "name", + "value": "SA-9(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-9.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines and documents government oversight with regard to external information system services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-9.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines and documents user roles and responsibilities with regard to external information system services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-9.c.", + "props": [ + { + "class": "name", + "value": "SA-9(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-9.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines processes, methods, and techniques to be employed to monitor security control compliance by external service providers; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-9.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined processes, methods, and techniques to monitor security control compliance by external service providers on an ongoing basis.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing methods and techniques for monitoring security control compliance by external service providers of information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts, service-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational security requirements and security specifications for external provider services\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity control assessment evidence from external providers of information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal providers of information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring security control compliance by external service providers on an ongoing basis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms for monitoring security control compliance by external service providers on an ongoing basis\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.9.1.", + "title": "RISK ASSESSMENTS / ORGANIZATIONAL APPROVALS", + "props": [ + { + "class": "name", + "value": "SA-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-9.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eConducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-9.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the acquisition or outsourcing of dedicated information security services is approved by \u003cinsert param-id=\"sa-9_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.6" + }, + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003econducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(1)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.1.b.", + "props": [ + { + "class": "name", + "value": "SA-9(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles designated to approve the acquisition or outsourcing of dedicated information security services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(1)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the acquisition or outsourcing of dedicated information security services is approved by organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(1)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapproval records for acquisition or outsourcing of dedicated information security services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal providers of information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated information security services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for approving the outsourcing of dedicated information security services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing risk assessment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing approval processes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-9_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.9.2.", + "title": "IDENTIFICATION OF FUNCTIONS / PORTS / PROTOCOLS / SERVICES", + "props": [ + { + "class": "name", + "value": "SA-9 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires providers of \u003cinsert param-id=\"sa-9_d\"/\u003e to identify the functions, ports, protocols, and other services required for the use of such services.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be particularly useful when the need arises to understand the trade-offs involved in restricting certain functions/services or blocking certain ports/protocols.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external information system services for which providers of such services are to identify the functions, ports, protocols, and other services required for the use of such services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires providers of organization-defined external information system services to identify:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(2)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe functions required for the use of such services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(2)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe ports required for the use of such services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(2)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.2.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe protocols required for the use of such services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(2)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.2.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe other services required for the use of such services.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(2)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation, service-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational security requirements and security specifications for external service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of required functions, ports, protocols, and other services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal providers of information system services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "sa-9_d", + "desc": "organization-defined external information system services", + "value": "organization-defined external information system services" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.9.3.", + "title": "ESTABLISH / MAINTAIN TRUST RELATIONSHIP WITH PROVIDERS", + "props": [ + { + "class": "name", + "value": "SA-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes, documents, and maintains trust relationships with external service providers based on \u003cinsert param-id=\"sa-9_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe degree of confidence that the risk from using external services is at an acceptable level depends on the trust that organizations place in the external providers, individually or in combination. Trust relationships can help organization to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered. Such relationships can be complicated due to the number of potential entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and the types of interactions between the parties. In some cases, the degree of trust is based on the amount of direct control organizations are able to exert on external service providers with regard to employment of security controls necessary for the protection of the service/information and the evidence brought forth as to the effectiveness of those controls. The level of control is typically established by the terms and conditions of the contracts or service-level agreements and can range from extensive control (e.g., negotiating contracts or agreements that specify security requirements for the providers) to very limited control (e.g., using contracts or service-level agreements to obtain commodity services such as commercial telecommunications services). In other cases, levels of trust are based on factors that convince organizations that required security controls have been employed and that determinations of control effectiveness exist. For example, separately authorized external information system services provided to organizations through well-established business relationships may provide degrees of trust in such services within the tolerable risk range of the organizations using the services. External service providers may also outsource selected services to other external entities, making the trust relationship more difficult and complicated to manage. Depending on the nature of the services, organizations may find it very difficult to place significant trust in external providers. This is not due to any inherent untrustworthiness on the part of providers, but to the intrinsic level of risk in the services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines requirements, properties, factors, or conditions defining acceptable trust relationships;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ebased on organization-defined requirements, properties, factors, or conditions defining acceptable trust relationships:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(3)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.3.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes trust relationships with external service providers;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(3)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.3.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments trust relationships with external service providers; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(3)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.3.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains trust relationships with external service providers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(3)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational security requirements, properties, factors, or conditions defining acceptable trust relationships\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation of trust relationships with external service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal providers of information system services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "sa-9_e", + "desc": "organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships", + "value": "organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.9.4.", + "title": "CONSISTENT INTERESTS OF CONSUMERS AND PROVIDERS", + "props": [ + { + "class": "name", + "value": "SA-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sa-9_f\"/\u003e to ensure that the interests of \u003cinsert param-id=\"sa-9_g\"/\u003e are consistent with and reflect organizational interests.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAs organizations increasingly use external service providers, the possibility exists that the interests of the service providers may diverge from organizational interests. In such situations, simply having the correct technical, procedural, or operational safeguards in place may not be sufficient if the service providers that implement and control those safeguards are not operating in a manner consistent with the interests of the consuming organizations. Possible actions that organizations might take to address such concerns include, for example, requiring background checks for selected service provider personnel, examining ownership records, employing only trustworthy service providers (i.e., providers with which organizations have had positive experiences), and conducting periodic/unscheduled visits to service provider facilities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external service providers whose interests are to be consistent with and reflect organizational interests;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(4)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational security requirements/safeguards for external service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel security policies for external service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eassessments performed on external service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal providers of information system services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and employing safeguards to ensure consistent interests with external service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing safeguards to ensure consistent interests with external service providers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-9_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "sa-9_g", + "desc": "organization-defined external service providers", + "value": "organization-defined external service providers" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.9.5.", + "title": "PROCESSING, STORAGE, AND SERVICE LOCATION", + "props": [ + { + "class": "name", + "value": "SA-9 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization restricts the location of [Selection (one or more): information processing; information/data; information system services] to \u003cinsert param-id=\"sa-9_h\"/\u003e based on \u003cinsert param-id=\"sa-9_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe location of information processing, information/data storage, or information system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions/business functions. This situation exists when external providers control the location of processing, storage or services. The criteria external providers use for the selection of processing, storage, or service locations may be different from organizational criteria. For example, organizations may want to ensure that data/information storage locations are restricted to certain locations to facilitate incident response activities (e.g., forensic analyses, after-the-fact investigations) in case of information security breaches/compromises. Such incident response activities may be adversely affected by the governing laws or protocols in the locations where processing and storage occur and/or the locations from which information system services emanate.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines locations where organization-defined information processing, information/data, and/or information system services are to be restricted;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines requirements or conditions to restrict the location of information processing, information/data, and/or information system services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricts the location of one or more of the following to organization-defined locations based on organization-defined requirements or conditions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(5)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-9.5.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation processing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(5)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.5.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation/data; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(5)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-9.5.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation services.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9(5)[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003erestricted locations for information processing\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation/data and/or information system services\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation processing, information/data, and/or information system services to be maintained in restricted locations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational security requirements or conditions for external providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eexternal providers of information system services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining requirements to restrict locations of information processing, information/data, or information services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for ensuring the location is restricted in accordance with requirements or conditions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-9_h", + "desc": "organization-defined locations", + "value": "organization-defined locations" + }, + { + "id": "sa-9_i", + "desc": "organization-defined requirements or conditions", + "value": "organization-defined requirements or conditions" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-35", + "value": "NIST Special Publication 800-35" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.10", + "title": "DEVELOPER CONFIGURATION MANAGEMENT", + "params": [ + { + "id": "sa-10_a", + "desc": "organization-defined configuration items under configuration management", + "value": "organization-defined configuration items under configuration management" + }, + { + "id": "sa-10_b", + "desc": "organization-defined personnel", + "value": "organization-defined personnel" + } + ], + "props": [ + { + "class": "name", + "value": "SA-10" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-10a.", + "prose": [ + "\u003cp class=\"description\"\u003ePerform configuration management during system, component, or service [Selection (one or more): design; development; implementation; operation];\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-10b.", + "prose": [ + "\u003cp class=\"description\"\u003eDocument, manage, and control the integrity of changes to \u003cinsert param-id=\"sa-10_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10b." + } + ] + }, + { + "class": "item", + "id": "smm_sa-10c.", + "prose": [ + "\u003cp class=\"description\"\u003eImplement only organization-approved changes to the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10c." + } + ] + }, + { + "class": "item", + "id": "smm_sa-10d.", + "prose": [ + "\u003cp class=\"description\"\u003eDocument approved changes to the system, component, or service and the potential security impacts of such changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10d." + } + ] + }, + { + "class": "item", + "id": "smm_sa-10e.", + "prose": [ + "\u003cp class=\"description\"\u003eTrack security flaws and flaw resolution within the system, component, or service and report findings to \u003cinsert param-id=\"sa-10_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control also applies to organizations conducting internal information systems development and integration. Organizations consider the quality and completeness of the configuration management activities conducted by developers as evidence of applying effective security safeguards. Safeguards include, for example, protecting from unauthorized modification or destruction, the master copies of all material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the information system, information system component, or information system service requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. Configuration items that are placed under configuration management (if existence/use is required by other security controls) include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and software/firmware source code with previous versions; and test fixtures and documentation. Depending on the mission/business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the life cycle.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.9" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-10.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to perform configuration management during one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-10.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esystem, component, or service design;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esystem, component, or service development;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esystem, component, or service implementation; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003esystem, component, or service operation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.b.", + "props": [ + { + "class": "name", + "value": "SA-10(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-10.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines configuration items to be placed under configuration management;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-10.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edocument the integrity of changes to organization-defined items under configuration management;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emanage the integrity of changes to organization-defined items under configuration management;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(b)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.b.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrol the integrity of changes to organization-defined items under configuration management;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(b)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.c.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to implement only organization-approved changes to the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(c)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.d.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to document:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-10.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproved changes to the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe potential security impacts of such changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(d)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.e.", + "props": [ + { + "class": "name", + "value": "SA-10(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-10.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel to whom findings, resulting from security flaws and flaw resolution tracked within the system, component, or service, are to be reported;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(e)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-10.e.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003etrack security flaws within the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(e)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.e.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003etrack security flaw resolution within the system, component, or service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(e)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-10.e.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ereport findings to organization-defined personnel.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(e)[2][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity flaw and flaw resolution tracking records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem change authorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.10.1.", + "title": "SOFTWARE / FIRMWARE INTEGRITY VERIFICATION", + "props": [ + { + "class": "name", + "value": "SA-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement allows organizations to detect unauthorized changes to software and firmware components through the use of tools, techniques, and/or mechanisms provided by developers. Integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003esoftware and firmware integrity verification records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem change authorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.2.", + "title": "ALTERNATIVE CONFIGURATION MANAGEMENT PROCESSES", + "props": [ + { + "class": "name", + "value": "SA-10 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf (COTS) information technology products. Alternate configuration management processes include organizational personnel that: (i) are responsible for reviewing/approving proposed changes to information systems, system components, and information system services; and (ii) conduct security impact analyses prior to the implementation of any changes to systems, components, or services (e.g., a configuration control board that considers security impacts of changes during development and includes representatives of both the organization and the developer, when applicable).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization provides an alternative configuration management process with organizational personnel in the absence of a dedicated developer configuration management team.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.3.", + "title": "HARDWARE INTEGRITY VERIFICATION", + "props": [ + { + "class": "name", + "value": "SA-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement allows organizations to detect unauthorized changes to hardware components through the use of tools, techniques, and/or mechanisms provided by developers. Organizations verify the integrity of hardware components, for example, with hard-to-copy labels and verifiable serial numbers provided by developers, and by requiring the implementation of anti-tamper technologies. Delivered hardware components also include updates to such components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ehardware integrity verification records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.4.", + "title": "TRUSTED GENERATION", + "props": [ + { + "class": "name", + "value": "SA-10 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions and software/firmware source and object code with previous versions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses changes to hardware, software, and firmware components between versions during development. In contrast, SA-10 (1) and SA-10 (3) allow organizations to detect unauthorized changes to hardware, software, and firmware components through the use of tools, techniques, and/or mechanisms provided by developers.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-10.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity-relevant hardware descriptions with previous versions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-10.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware/firmware source and object code with previous versions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration control audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.5.", + "title": "MAPPING INTEGRITY FOR VERSION CONTROL", + "props": [ + { + "class": "name", + "value": "SA-10 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses changes to hardware, software, and firmware components during initial development and during system life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs and source code) and the equivalent data in master copies on-site in operational environments is essential to ensure the availability of organizational information systems supporting critical missions and/or business functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eversion control change/update records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification records between master copies of security-relevant hardware, software, and firmware (including designs and source code)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.6.", + "title": "TRUSTED DISTRIBUTION", + "props": [ + { + "class": "name", + "value": "SA-10 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe trusted distribution of security-relevant hardware, software, and firmware updates helps to ensure that such updates are faithful representations of the master copies maintained by the developer and have not been tampered with during distribution.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.11", + "title": "DEVELOPER SECURITY TESTING AND EVALUATION", + "params": [ + { + "id": "sa-11_a", + "desc": "organization-defined depth and coverage", + "value": "organization-defined depth and coverage" + } + ], + "props": [ + { + "class": "name", + "value": "SA-11" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-11a.", + "prose": [ + "\u003cp class=\"description\"\u003eCreate and implement a security assessment plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-11b.", + "prose": [ + "\u003cp class=\"description\"\u003ePerform [Selection (one or more): unit; integration; system; regression] testing/evaluation at \u003cinsert param-id=\"sa-11_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11b." + } + ] + }, + { + "class": "item", + "id": "smm_sa-11c.", + "prose": [ + "\u003cp class=\"description\"\u003eProduce evidence of the execution of the security assessment plan and the results of the security testing/evaluation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11c." + } + ] + }, + { + "class": "item", + "id": "smm_sa-11d.", + "prose": [ + "\u003cp class=\"description\"\u003eImplement a verifiable flaw remediation process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11d." + } + ] + }, + { + "class": "item", + "id": "smm_sa-11e.", + "prose": [ + "\u003cp class=\"description\"\u003eCorrect flaws identified during security testing/evaluation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopmental security testing/evaluation occurs at all post-design phases of the system development life cycle. Such testing/evaluation confirms that the required security controls are implemented correctly, operating as intended, enforcing the desired security policy, and meeting established security requirements. Security properties of information systems may be affected by the interconnection of system components or changes to those components. These interconnections or changes (e.g., upgrading or replacing applications and operating systems) may adversely affect previously implemented security controls. This control provides additional types of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of security testing/evaluation refers to the rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security assessment plans, flaw remediation processes, and the evidence that the plans/processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#cm.4" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-11.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to create and implement a security plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.b.", + "props": [ + { + "class": "name", + "value": "SA-11(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-11.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the depth of testing/evaluation to be performed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the coverage of testing/evaluation to be performed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to perform one or more of the following testing/evaluation at the organization-defined depth and coverage:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(b)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-11.b.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eunit testing/evaluation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(b)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.b.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegration testing/evaluation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(b)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.b.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003esystem testing/evaluation; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(b)[3][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.b.3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eregression testing/evaluation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(b)[3][d]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.c.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to produce evidence of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-11.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe execution of the security assessment plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe results of the security testing/evaluation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.d.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to implement a verifiable flaw remediation process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(d)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-11.e.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to correct flaws identified during security testing/evaluation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(e)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security test plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of developer security testing results for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity flaw and remediation tracking records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.11.1.", + "title": "STATIC CODE ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eStatic code analysis provides a technology and methodology for security reviews. Such analysis can be used to identify security vulnerabilities and enforce security coding practices. Static code analysis is most effective when used early in the development process, when each code change can be automatically scanned for potential weaknesses. Static analysis can provide clear remediation guidance along with defects to enable developers to fix such defects. Evidence of correct implementation of static analysis can include, for example, aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were fixed. An excessively high density of ignored findings (commonly referred to as ignored or false positives) indicates a potential problem with the analysis process or tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security test plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security testing results\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity flaw and remediation tracking records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003estatic code analysis tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.2.", + "title": "THREAT AND VULNERABILITY ANALYSES", + "props": [ + { + "class": "name", + "value": "SA-11 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to perform threat and vulnerability analyses and subsequent testing/evaluation of the as-built system, component, or service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eApplications may deviate significantly from the functional and design specifications created during the requirements and design phases of the system development life cycle. Therefore, threat and vulnerability analyses of information systems, system components, and information system services prior to delivery are critical to the effective operation of those systems, components, and services. Threat and vulnerability analyses at this phase of the life cycle help to ensure that design or implementation changes have been accounted for, and that any new vulnerabilities created as a result of those changes have been reviewed and mitigated.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.15" + }, + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to perform:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethreat analyses of the as-built, system component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003evulnerability analyses of the as-built, system component, or service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esubsequent testing/evaluation of the as-built, system component, or service.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security test plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of developer security testing results for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system risk assessment reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethreat and vulnerability analysis reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.3.", + "title": "INDEPENDENT VERIFICATION OF ASSESSMENT PLANS / EVIDENCE", + "props": [ + { + "class": "name", + "value": "SA-11 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-11.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires an independent agent satisfying \u003cinsert param-id=\"sa-11_b\"/\u003e to verify the correct implementation of the developer security assessment plan and the evidence produced during security testing/evaluation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-11.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the independent agent is either provided with sufficient information to complete the verification process or granted the authority to obtain such information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndependent agents have the necessary qualifications (i.e., expertise, skills, training, and experience) to verify the correct implementation of developer security assessment plans.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#ca.7" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.3.a.", + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines independence criteria that an independent agent is required to satisfy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires an independent agent satisfying organization-defined independence criteria to verify:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.3.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe correct implementation of the developer security assessment plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.3.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe evidence produced during security testing/evaluation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the independent agent is either:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovided with sufficient information to complete the verification process; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(3)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003egranted the authority to obtain such information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(3)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification and validation reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity test and evaluation plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity test and evaluation results for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification agent\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-11_b", + "desc": "organization-defined independence criteria", + "value": "organization-defined independence criteria" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.4.", + "title": "MANUAL CODE REVIEWS", + "props": [ + { + "class": "name", + "value": "SA-11 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to perform a manual code review of \u003cinsert param-id=\"sa-11_c\"/\u003e using \u003cinsert param-id=\"sa-11_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eManual code reviews are usually reserved for the critical software and firmware components of information systems. Such code reviews are uniquely effective at identifying weaknesses that require knowledge of the application�s requirements or context which are generally unavailable to more automated analytic tools and techniques such as static or dynamic analysis. Components benefiting from manual review include for example, verifying access control matrices against application controls and reviewing more detailed aspects of cryptographic implementations and controls.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines specific code for which the developer of the information system, system component, or information system service is required to perform a manual code review;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines processes, procedures, and/or techniques to be used when the developer performs a manual code review of organization-defined specific code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to perform a manual code review of organization-defined specific code using organization-defined processes, procedures, and/or techniques.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(4)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocesses, procedures, and/or techniques for performing manual code reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security testing and evaluation plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security testing and evaluation results\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of code requiring manual reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of manual code reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification agent\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-11_c", + "desc": "organization-defined specific code", + "value": "organization-defined specific code" + }, + { + "id": "sa-11_d", + "desc": "organization-defined processes, procedures, and/or techniques", + "value": "organization-defined processes, procedures, and/or techniques" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.5.", + "title": "PENETRATION TESTING", + "props": [ + { + "class": "name", + "value": "SA-11 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to perform penetration testing at \u003cinsert param-id=\"sa-11_e\"/\u003e and with \u003cinsert param-id=\"sa-11_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePenetration testing is an assessment methodology in which assessors, using all available information technology product and/or information system documentation (e.g., product/system design specifications, source code, and administrator/operator manuals) and working under specific constraints, attempt to circumvent implemented security features of information technology products and information systems. Penetration testing can include, for example, white, gray, or black box testing with analyses performed by skilled security professionals simulating adversary actions. The objective of penetration testing is to uncover potential vulnerabilities in information technology products and information systems resulting from implementation errors, configuration faults, or other operational deployment weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide greater levels of analysis than would ordinarily be possible.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines for the developer of the information system, system component, or information system service:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(5)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.5.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe breadth of penetration testing to be performed by the developer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(5)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.5.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe depth of penetration testing to be performed by the developer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(5)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines constraints under which the developer is to perform penetration testing; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to perform penetration testing at organization-defined breadth/depth and with organization-defined constraints.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer penetration testing and evaluation plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer penetration testing and evaluation results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification agent\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-11_e", + "desc": "organization-defined breadth/depth", + "value": "organization-defined breadth/depth" + }, + { + "id": "sa-11_f", + "desc": "organization-defined constraints", + "value": "organization-defined constraints" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.6.", + "title": "ATTACK SURFACE REVIEWS", + "props": [ + { + "class": "name", + "value": "SA-11 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAttack surfaces of information systems are exposed areas that make those systems more vulnerable to cyber attacks. This includes any accessible areas where weaknesses or deficiencies in information systems (including the hardware, software, and firmware components) provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers: (i) analyze both design and implementation changes to information systems; and (ii) mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes, for example, deprecation of unsafe functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security testing and evaluation plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security testing and evaluation results\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of attack surface reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.7.", + "title": "VERIFY SCOPE OF TESTING / EVALUATION", + "props": [ + { + "class": "name", + "value": "SA-11 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at \u003cinsert param-id=\"sa-11_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eVerifying that security testing/evaluation provides complete coverage of required security controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance corresponding to the degree of formality of the analysis. Rigorously demonstrating security control coverage at the highest levels of assurance can be provided by the use of formal modeling and analysis techniques including correlation between control implementation and corresponding test cases.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-11.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the depth of testing/evaluation to ensure the scope of security/testing evaluation provides complete coverage of required security controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-11.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at the organization-defined depth of testing/evaluation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11(7)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security testing and evaluation plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security testing and evaluation results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification agent\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-11_g", + "desc": "organization-defined depth of testing/evaluation", + "value": "organization-defined depth of testing/evaluation" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.8.", + "title": "DYNAMIC CODE ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-11 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to help to ensure that security functionality performs in the manner in which it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer security test and evaluation plans\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity test and evaluation results\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity flaw and remediation tracking reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=50341", + "value": "ISO/IEC 15408" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://nvd.nist.gov", + "value": "http://nvd.nist.gov" + } + ] + }, + { + "citations": [ + { + "href": "http://cwe.mitre.org", + "value": "http://cwe.mitre.org" + } + ] + }, + { + "citations": [ + { + "href": "http://cve.mitre.org", + "value": "http://cve.mitre.org" + } + ] + }, + { + "citations": [ + { + "href": "http://capec.mitre.org", + "value": "http://capec.mitre.org" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.12", + "title": "SUPPLY CHAIN PROTECTION", + "params": [ + { + "id": "sa-12_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SA-12" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects against supply chain threats to the information system, system component, or information system service by employing \u003cinsert param-id=\"sa-12_a\"/\u003e as part of a comprehensive, defense-in-breadth information security strategy.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems (including system components that compose those systems) need to be protected throughout the system development life cycle (i.e., during design, development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). Protection of organizational information systems is accomplished through threat awareness, by the identification, management, and reduction of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to respond to risk. Organizations consider implementing a standardized process to address supply chain risk with respect to information systems and system components, and to educate the acquisition workforce on threats, risk, and required security controls. Organizations use the acquisition/procurement processes to require supply chain entities to implement necessary security safeguards to: (i) reduce the likelihood of unauthorized modifications at each stage in the supply chain; and (ii) protect information systems and information system components, prior to taking delivery of such systems/components. This control also applies to information system services. Security safeguards include, for example: (i) security controls for development systems, development facilities, and external connections to development systems; (ii) vetting development personnel; and (iii) use of tamper-evident packaging during shipping/warehousing. Methods for reviewing and protecting development plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#cm.8" + }, + { + "href": "#ir.4" + }, + { + "href": "#pe.16" + }, + { + "href": "#pl.8" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.10" + }, + { + "href": "#sa.14" + }, + { + "href": "#sa.15" + }, + { + "href": "#sa.18" + }, + { + "href": "#sa.19" + }, + { + "href": "#sc.29" + }, + { + "href": "#sc.30" + }, + { + "href": "#sc.38" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-12-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to protect against supply chain threats to the information system, system component, or information system service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-12-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects against supply chain threats to the information system, system component, or information system service by employing organization-defined security safeguards as part of a comprehensive, defense-in-breadth information security strategy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of supply chain threats\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards to be taken against supply chain threats\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem development life cycle documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining safeguards for and protecting against supply chain threats\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing safeguards for supply chain threats\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.12.1.", + "title": "ACQUISITION STRATEGIES / TOOLS / METHODS", + "props": [ + { + "class": "name", + "value": "SA-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sa-12_b\"/\u003e for the purchase of the information system, system component, or information system service from suppliers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of acquisition and procurement processes by organizations early in the system development life cycle provides an important vehicle to protect the supply chain. Organizations use available all-source intelligence analysis to inform the tailoring of acquisition strategies, tools, and methods. There are a number of different tools and techniques available (e.g., obscuring the end use of an information system or system component, using blind or filtered buys). Organizations also consider creating incentives for suppliers who: (i) implement required security safeguards; (ii) promote transparency into their organizational processes and security practices; (iii) provide additional vetting of the processes and security practices of subordinate suppliers, critical information system components, and services; (iv) restrict purchases from specific suppliers or countries; and (v) provide contract language regarding the prohibition of tainted or counterfeit components. In addition, organizations consider minimizing the time between purchase decisions and required delivery to limit opportunities for adversaries to corrupt information system components or products. Finally, organizations can use trusted/controlled distribution, delivery, and warehousing options to reduce supply chain risk (e.g., requiring tamper-evident packaging of information system components during shipping and warehousing).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the following to be employed for the purchase of the information system, system component, or information system service from suppliers:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003etailored acquisition strategies;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003econtract tools;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprocurement methods; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(1)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined tailored acquisition strategies, contract tools, and procurement methods for the purchase of the information system, system component, or information system service from suppliers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of acquisition strategies, contract tools, and procure methods into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for information systems or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003epurchase orders/requisitions for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem component\u003c/p\u003e", + "\u003cp class=\"object\"\u003eor information system service from suppliers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-12_b", + "desc": "organization-defined tailored acquisition strategies, contract tools, and procurement methods", + "value": "organization-defined tailored acquisition strategies, contract tools, and procurement methods" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.2.", + "title": "SUPPLIER REVIEWS", + "props": [ + { + "class": "name", + "value": "SA-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupplier reviews include, for example: (i) analysis of supplier processes used to design, develop, test, implement, verify, deliver, and support information systems, system components, and information system services; and (ii) assessment of supplier training and experience in developing systems, components, or services with the required security capability. These reviews provide organizations with increased levels of visibility into supplier activities during the system development life cycle to promote more effective supply chain risk management. Supplier reviews can also help to determine whether primary suppliers have security safeguards in place and a practice for vetting subordinate suppliers, for example, second- and third-tier suppliers, and any subcontractors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of supplier due diligence reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for conducting supplier reviews\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing supplier reviews\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.3.", + "title": "TRUSTED SHIPPING AND WAREHOUSING", + "props": [ + { + "class": "name", + "value": "SA-12 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-12 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.12.1." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.4.", + "title": "DIVERSITY OF SUPPLIERS", + "props": [ + { + "class": "name", + "value": "SA-12 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-12 (13)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.12.13." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.5.", + "title": "LIMITATION OF HARM", + "props": [ + { + "class": "name", + "value": "SA-12 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sa-12_c\"/\u003e to limit harm from potential adversaries identifying and targeting the organizational supply chain.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupply chain risk is part of the advanced persistent threat (APT). Security safeguards and countermeasures to reduce the probability of adversaries successfully identifying and targeting the supply chain include, for example: (i) avoiding the purchase of custom configurations to reduce the risk of acquiring information systems, components, or products that have been corrupted via supply chain actions targeted at specific organizations; (ii) employing a diverse set of suppliers to limit the potential harm from any given supplier in the supply chain; (iii) employing approved vendor lists with standing reputations in industry, and (iv) using procurement carve outs (i.e., exclusions to commitments or obligations).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to limit harm from potential adversaries identifying and targeting the organizational supply chain; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards to limit harm from potential adversaries identifying and targeting the organizational supply chain.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards to be taken to protect organizational supply chain against potential supply chain threats\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and employing safeguards to limit harm from adversaries of the organizational supply chain\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the definition and employment of safeguards to protect the organizational supply chain\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-12_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.6.", + "title": "MINIMIZING PROCUREMENT TIME", + "props": [ + { + "class": "name", + "value": "SA-12 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-12 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.12.1." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.7.", + "title": "ASSESSMENTS PRIOR TO SELECTION / ACCEPTANCE / UPDATE", + "props": [ + { + "class": "name", + "value": "SA-12 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization conducts an assessment of the information system, system component, or information system service prior to selection, acceptance, or update.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAssessments include, for example, testing, evaluations, reviews, and analyses. Independent, third-party entities or organizational personnel conduct assessments of systems, components, products, tools, and services. Organizations conduct assessments to uncover unintentional vulnerabilities and intentional vulnerabilities including, for example, malicious code, malicious processes, defective software, and counterfeits. Assessments can include, for example, static analyses, dynamic analyses, simulations, white, gray, and black box testing, fuzz testing, penetration testing, and ensuring that components or services are genuine (e.g., using tags, cryptographic hash verifications, or digital signatures). Evidence generated during security assessments is documented for follow-on actions carried out by organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#sa.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization conducts an assessment of the information system, system component, or information system service prior to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eselection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eacceptance; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(7)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.7.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdate.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(7)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity test and evaluation results\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability assessment results\u003c/p\u003e", + "\u003cp class=\"object\"\u003epenetration testing results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational risk assessment results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for conducting assessments prior to selection, acceptance, or update\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the conducting of assessments prior to selection, acceptance, or update\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.8.", + "title": "USE OF ALL-SOURCE INTELLIGENCE", + "props": [ + { + "class": "name", + "value": "SA-12 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization uses all-source intelligence analysis of suppliers and potential suppliers of the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAll-source intelligence analysis is employed by organizations to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of intelligence products and/or organizations and activities that incorporate all sources of information, most frequently including human intelligence, imagery intelligence, measurement and signature intelligence, signals intelligence, and open source data in the production of finished intelligence. Where available, such information is used to analyze the risk of both intentional and unintentional vulnerabilities from development, manufacturing, and delivery processes, people, and the environment. This review is performed on suppliers at multiple tiers in the supply chain sufficient to manage risks.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization uses all-source intelligence analysis of:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esuppliers of the information system, system component, or information system service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003epotential suppliers of the information system, system component, or information system service.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(8)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of all-source intelligence analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for use of an all-source analysis of suppliers and potential suppliers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the use of all-source analysis of suppliers and potential suppliers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.9.", + "title": "OPERATIONS SECURITY", + "props": [ + { + "class": "name", + "value": "SA-12 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sa-12_d\"/\u003e in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupply chain information includes, for example: user identities; uses for information systems, information system components, and information system services; supplier identities; supplier processes; security requirements; design specifications; testing and evaluation results; and system/component configurations. This control enhancement expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process of identifying critical information and subsequently analyzing friendly actions attendant to operations and other activities to: (i) identify those actions that can be observed by potential adversaries; (ii) determine indicators that adversaries might obtain that could be interpreted or pieced together to derive critical information in sufficient time to cause harm to organizations; (iii) implement safeguards or countermeasures to eliminate or reduce to an acceptable level, exploitable vulnerabilities; and (iv) consider how aggregated information may compromise the confidentiality of users or uses of the supply chain. OPSEC may require organizations to withhold critical mission/business information from suppliers and may include the use of intermediaries to hide the end use, or users, of information systems, system components, or information system services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines Operations Security (OPSEC) safeguards to be employed in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined OPSEC safeguards in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of all-source intelligence analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and employing OPSEC safeguards\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the definition and employment of OPSEC safeguards\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-12_d", + "desc": "organization-defined Operations Security (OPSEC) safeguards", + "value": "organization-defined Operations Security (OPSEC) safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.10.", + "title": "VALIDATE AS GENUINE AND NOT ALTERED", + "props": [ + { + "class": "name", + "value": "SA-12 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sa-12_e\"/\u003e to validate that the information system or system component received is genuine and has not been altered.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor some information system components, especially hardware, there are technical means to help determine if the components are genuine or have been altered. Security safeguards used to validate the authenticity of information systems and information system components include, for example, optical/nanotechnology tagging and side-channel analysis. For hardware, detailed bill of material information can highlight the elements with embedded logic complete with component and production location.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to validate that the information system or system component received is genuine and has not been altered; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards to validate that the information system or system components received is genuine and has not been altered.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(10)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures address the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidentiary documentation (including applicable configurations) indicating the information system, system component, or information system service are genuine and have not been altered\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and employing validation safeguards\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the definition and employment of validation safeguards\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-12_e", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.11.", + "title": "PENETRATION TESTING / ANALYSIS OF ELEMENTS, PROCESSES, AND ACTORS", + "props": [ + { + "class": "name", + "value": "SA-12 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs [Selection (one or more): organizational analysis, independent third-party analysis, organizational penetration testing, independent third-party penetration testing] of \u003cinsert param-id=\"sa-12_f\"/\u003e associated with the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses analysis and/or testing of the supply chain, not just delivered items. Supply chain elements are information technology products or product components that contain programmable logic and that are critically important to information system functions. Supply chain processes include, for example: (i) hardware, software, and firmware development processes; (ii) shipping/handling procedures; (iii) personnel and physical security programs; (iv) configuration management tools/measures to maintain provenance; or (v) any other programs, processes, or procedures associated with the production/distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines supply chain:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.11.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eelements to be analyzed and/or tested;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.11.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprocesses to be analyzed and/or tested;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.11.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eactors to be analyzed and/or tested;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys one or more of the following to analyze and/or test organization-defined supply chain elements, processes, and actors associated with the information system, system component, or information system service:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.11.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganizational analysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.11.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eindependent third party analysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.11.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganizational penetration testing; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[2][c]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.11.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eindependent third-party penetration testing.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(11)[2][d]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of organizational analysis, independent third-party analysis, organizational penetration testing, and/or independent third-party penetration testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of supply chain elements, processes, and actors (associated with the information system, system component, or information system service) subject to analysis and/or testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for analyzing and/or testing supply chain elements, processes, and actors\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and employing methods of analysis/testing of supply chain elements, processes, and actors\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the analysis/testing of supply chain elements, processes, and actors\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-12_f", + "desc": "organization-defined supply chain elements, processes, and actors", + "value": "organization-defined supply chain elements, processes, and actors" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.12.", + "title": "INTER-ORGANIZATIONAL AGREEMENTS", + "props": [ + { + "class": "name", + "value": "SA-12 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes inter-organizational agreements and procedures with entities involved in the supply chain for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe establishment of inter-organizational agreements and procedures provides for notification of supply chain compromises. Early notification of supply chain compromises that can potentially adversely affect or have adversely affected organizational information systems, including critical system components, is essential for organizations to provide appropriate responses to such incidents.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization establishes, with entities involved in the supply chain for the information system, system component, or information system service,:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003einter-organizational agreements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003einter-organizational procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(12)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einter-organizational agreements and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for establishing inter-organizational agreements and procedures with supply chain entities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.13.", + "title": "CRITICAL INFORMATION SYSTEM COMPONENTS", + "props": [ + { + "class": "name", + "value": "SA-12 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sa-12_g\"/\u003e to ensure an adequate supply of \u003cinsert param-id=\"sa-12_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAdversaries can attempt to impede organizational operations by disrupting the supply of critical information system components or corrupting supplier operations. Safeguards to ensure adequate supplies of critical information system components include, for example: (i) the use of multiple suppliers throughout the supply chain for the identified critical components; and (ii) stockpiling of spare components to ensure operation during mission-critical times.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines critical information system components for which security safeguards are to be employed to ensure an adequate supply of such components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to ensure an adequate supply of organization-defined critical information components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(13)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.13.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards to ensure an adequate supply of organization-defined critical information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(13)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical inventory of critical information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einventory records of critical information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards ensuring adequate supply of critical information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and employing security safeguards to ensure an adequate supply of critical information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the security safeguards that ensure an adequate supply of critical information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-12_g", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "sa-12_h", + "desc": "organization-defined critical information system components", + "value": "organization-defined critical information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.14.", + "title": "IDENTITY AND TRACEABILITY", + "props": [ + { + "class": "name", + "value": "SA-12 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes and retains unique identification of \u003cinsert param-id=\"sa-12_i\"/\u003e for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eKnowing who and what is in the supply chains of organizations is critical to gaining visibility into what is happening within such supply chains, as well as monitoring and identifying high-risk events and activities. Without reasonable visibility and traceability into supply chains (i.e., elements, processes, and actors), it is very difficult for organizations to understand and therefore manage risk, and to reduce the likelihood of adverse events. Uniquely identifying acquirer and integrator roles, organizations, personnel, mission and element processes, testing and evaluation procedures, delivery mechanisms, support mechanisms, communications/delivery paths, and disposal/final disposition activities as well as the components and tools used, establishes a foundational identity structure for assessment of supply chain activities. For example, labeling (using serial numbers) and tagging (using radio-frequency identification [RFID] tags) individual supply chain elements including software packages, modules, and hardware devices, and processes associated with those elements can be used for this purpose. Identification methods are sufficient to support the provenance in the event of a supply chain issue or adverse supply chain event.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.14.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the following for the establishment and retention of unique identification:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(14)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-12.14.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esupply chain elements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(14)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.14.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003esupply chain processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(14)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.14.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003esupply chain actors; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(14)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-12.14.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes and retains unique identification of organization-defined supply chain elements, processes, and actors for the information system, system component, or information system service.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12(14)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of supply chain elements, processes, and actors (associated with the information system, system component, or information system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques and/or configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for establishing and retaining unique identification of supply chain elements, processes, and actors\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-12_i", + "desc": "organization-defined supply chain elements, processes, and actors", + "value": "organization-defined supply chain elements, processes, and actors" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.15.", + "title": "PROCESSES TO ADDRESS WEAKNESSES OR DEFICIENCIES", + "props": [ + { + "class": "name", + "value": "SA-12 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEvidence generated during independent or organizational assessments of supply chain elements (e.g., penetration testing, audits, verification/validation activities) is documented and used in follow-on processes implemented by organizations to respond to the risks related to the identified weaknesses and deficiencies. Supply chain elements include, for example, supplier development processes and supplier distribution systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing weaknesses or deficiencies in supply chain elements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eresults of independent or organizational assessments of supply chain controls and processes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts, service-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for addressing weaknesses or deficiencies in supply chain elements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the addressing of weaknesses or deficiencies in supply chain elements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-161", + "value": "NIST Special Publication 800-161" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsNISTIRs.html#NIST-IR-7622", + "value": "NIST Interagency Report 7622" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.13", + "title": "TRUSTWORTHINESS", + "params": [ + { + "id": "sa-13_a", + "desc": "organization-defined information system, information system component, or information system service", + "value": "organization-defined information system, information system component, or information system service" + }, + { + "id": "sa-13_b", + "desc": "organization-defined assurance overlay", + "value": "organization-defined assurance overlay" + } + ], + "props": [ + { + "class": "name", + "value": "SA-13" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-13a.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes the trustworthiness required in the \u003cinsert param-id=\"sa-13_a\"/\u003e supporting its critical missions/business functions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-13a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-13b.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements \u003cinsert param-id=\"sa-13_b\"/\u003e to achieve such trustworthiness.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-13b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control helps organizations to make explicit trustworthiness decisions when designing, developing, and implementing information systems that are needed to conduct critical organizational missions/business functions. Trustworthiness is a characteristic/property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information it processes, stores, or transmits. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Trustworthy systems are important to mission/business success. Two factors affecting the trustworthiness of information systems include: (i) security functionality (i.e., the security features, functions, and/or mechanisms employed within the system and its environment of operation); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application). Developers, implementers, operators, and maintainers of organizational information systems can increase the level of assurance (and trustworthiness), for example, by employing well-defined security policy models, structured and rigorous hardware, software, and firmware development techniques, sound system/security engineering principles, and secure configuration settings (defined by a set of assurance-related security controls in Appendix E). Assurance is also based on the assessment of evidence produced during the system development life cycle. Critical missions/business functions are supported by high-impact systems and the associated assurance requirements for such systems. The additional assurance controls in Table E-4 in Appendix E (designated as optional) can be used to develop and implement high-assurance solutions for specific information systems and system components using the concept of overlays described in Appendix I. Organizations select assurance overlays that have been developed, validated, and approved for community adoption (e.g., cross-organization, governmentwide), limiting the development of such overlays on an organization-by-organization basis. Organizations can conduct criticality analyses as described in SA-14, to determine the information systems, system components, or information system services that require high-assurance solutions. Trustworthiness requirements and assurance overlays can be described in the security plans for organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.2" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.14" + }, + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-13.a.", + "props": [ + { + "class": "name", + "value": "SA-13(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-13.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system, system component, or information system service for which the trustworthiness required is to be described;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-13(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-13.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edescribes the trustworthiness required in organization-defined information system, information system component, or information system service supporting its critical mission/business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-13(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-13.b.", + "props": [ + { + "class": "name", + "value": "SA-13(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-13.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines an assurance overlay to be implemented to achieve such trustworthiness; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-13(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-13.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization implements the organization-defined assurance overlay to achieve such trustworthiness.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-13(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing trustworthiness requirements for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity categorization documentation/results\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity authorization package for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorizing official\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#200", + "value": "FIPS Publication 200" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53", + "value": "NIST Special Publication 800-53" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-60", + "value": "NIST Special Publication 800-60" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-64", + "value": "NIST Special Publication 800-64" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.14", + "title": "CRITICALITY ANALYSIS", + "params": [ + { + "id": "sa-14_a", + "desc": "organization-defined information systems, information system components, or information system services", + "value": "organization-defined information systems, information system components, or information system services" + }, + { + "id": "sa-14_b", + "desc": "organization-defined decision points in the system development life cycle", + "value": "organization-defined decision points in the system development life cycle" + } + ], + "props": [ + { + "class": "name", + "value": "SA-14" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization identifies critical information system components and functions by performing a criticality analysis for \u003cinsert param-id=\"sa-14_a\"/\u003e at \u003cinsert param-id=\"sa-14_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCriticality analysis is a key tenet of supply chain risk management and informs the prioritization of supply chain protection activities such as attack surface reduction, use of all-source intelligence, and tailored acquisition strategies. Information system engineers can conduct an end-to-end functional decomposition of an information system to identify mission-critical functions and components. The functional decomposition includes the identification of core organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and beyond the information system boundary. Information system components that allow for unmediated access to critical components or functions are considered critical due to the inherent vulnerabilities such components create. Criticality is assessed in terms of the impact of the function or component failure on the ability of the component to complete the organizational missions supported by the information system. A criticality analysis is performed whenever an architecture or design is being developed or modified, including upgrades.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#pl.2" + }, + { + "href": "#pl.8" + }, + { + "href": "#pm.1" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.13" + }, + { + "href": "#sa.15" + }, + { + "href": "#sa.20" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-14-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems, information system components, or information system services requiring a criticality analysis to identify critical information system components and functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-14[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-14-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines decision points in the system development life cycle when a criticality analysis is to be performed for organization-defined information systems, information system components, or information system services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-14[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-14-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies critical information system components and functions by performing a criticality analysis for organization-defined information systems, information system components, or information system services at organization-defined decisions points in the system development life cycle.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-14[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing criticality analysis requirements for information systems, security plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information systems, information system components, or information system services requiring criticality analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of critical information system components and functions identified by criticality analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecriticality analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness impact analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem development life cycle documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for performing criticality analysis for the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.14.1.", + "title": "CRITICAL COMPONENTS WITH NO VIABLE ALTERNATIVE SOURCING", + "props": [ + { + "class": "name", + "value": "SA-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-20\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.20" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.15", + "title": "DEVELOPMENT PROCESS, STANDARDS, AND TOOLS", + "params": [ + { + "id": "sa-15_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "sa-15_b", + "desc": "organization-defined security requirements", + "value": "organization-defined security requirements" + } + ], + "props": [ + { + "class": "name", + "value": "SA-15" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-15a.", + "prose": [ + "\u003cp class=\"description\"\u003eRequires the developer of the information system, system component, or information system service to follow a documented development process that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_sa-15a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eExplicitly addresses security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a.1." + } + ] + }, + { + "class": "item", + "id": "sms_sa-15a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies the standards and tools used in the development process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a.2." + } + ] + }, + { + "class": "item", + "id": "sms_sa-15a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments the specific tool options and tool configurations used in the development process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a.3." + } + ] + }, + { + "class": "item", + "id": "sms_sa-15a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments, manages, and ensures the integrity of changes to the process and/or tools used in development; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_sa-15b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the development process, standards, tools, and tool options/configurations \u003cinsert param-id=\"sa-15_a\"/\u003e to determine if the process, standards, tools, and tool options/configurations selected and employed can satisfy \u003cinsert param-id=\"sa-15_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopment tools include, for example, programming languages and computer-aided design (CAD) systems. Reviews of development processes can include, for example, the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes enables accurate supply chain risk assessment and mitigation, and requires robust configuration control throughout the life cycle (including design, development, transport, delivery, integration, and maintenance) to track authorized changes and prevent unauthorized changes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.3" + }, + { + "href": "#sa.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-15.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to follow a documented development process that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-15.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eexplicitly addresses security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies the standards and tools used in the development process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.a.3.", + "props": [ + { + "class": "name", + "value": "SA-15(a)(3)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-15.a.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments the specific tool options used in the development process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.a.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments the specific tool configurations used in the development process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)(3)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.a.4.", + "props": [ + { + "class": "name", + "value": "SA-15(a)(4)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-15.a.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments changes to the process and/or tools used in the development;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.a.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emanages changes to the process and/or tools used in the development;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.a.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures the integrity of changes to the process and/or tools used in the development;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(a)(4)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.b.", + "props": [ + { + "class": "name", + "value": "SA-15(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-15.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to review the development process, standards, tools, and tool options/configurations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security requirements to be satisfied by the process, standards, tools, and tool option/configurations selected and employed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.b.3.", + "props": [ + { + "class": "name", + "value": "SA-15(b)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-15.b.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the development process with the organization-defined frequency to determine if the process selected and employed can satisfy organization-defined security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(b)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.b.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the development standards with the organization-defined frequency to determine if the standards selected and employed can satisfy organization-defined security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(b)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.b.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the development tools with the organization-defined frequency to determine if the tools selected and employed can satisfy organization-defined security requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(b)[3][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-15.b.3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the development tool options/configurations with the organization-defined frequency to determine if the tool options/configurations selected and employed can satisfy organization-defined security requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(b)[3][d]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of security requirements during the development process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer documentation listing tool options/configuration guides, configuration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumented reviews of development process, standards, tools, and tool options/configurations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.15.1.", + "title": "QUALITY METRICS", + "props": [ + { + "class": "name", + "value": "SA-15 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-15.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eDefine quality metrics at the beginning of the development process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-15.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvide evidence of meeting the quality metrics [Selection (one or more): \u003cinsert param-id=\"sa-15_c\"/\u003e; \u003cinsert param-id=\"sa-15_d\"/\u003e; upon delivery].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations use quality metrics to establish minimum acceptable levels of information system quality. Metrics may include quality gates which are collections of completion criteria or sufficiency standards representing the satisfactory execution of particular phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or an explicit determination that the warnings have no impact on the effectiveness of required security capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. These metrics can include defining the severity thresholds of vulnerabilities, for example, requiring no known vulnerabilities in the delivered information system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to define quality metrics at the beginning of the development process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(1)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.1.b.", + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to provide evidence of meeting the quality metrics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines program review milestones to provide evidence of meeting the quality metrics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.1.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to provide evidence of meeting the quality metrics one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.1.b.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.1.b.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ein accordance with the organization-defined program review milestones; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.1.b.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eupon delivery of the information system, system component, or information system service.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[3][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of quality metrics\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation evidence of meeting quality metrics\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "sa-15_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "sa-15_d", + "desc": "organization-defined program review milestones", + "value": "organization-defined program review milestones" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.2.", + "title": "SECURITY TRACKING TOOLS", + "props": [ + { + "class": "name", + "value": "SA-15 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system development teams select and deploy security tracking tools, including, for example, vulnerability/work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with system development processes.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of quality metrics\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation evidence of meeting quality metrics\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.3.", + "title": "CRITICALITY ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-15 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to perform a criticality analysis at \u003cinsert param-id=\"sa-15_e\"/\u003e and at \u003cinsert param-id=\"sa-15_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides developer input to the criticality analysis performed by organizations in SA-14. Developer input is essential to such analysis because organizations may not have access to detailed design documentation for information system components that are developed as commercial off-the-shelf (COTS) information technology products (e.g., functional specifications, high-level designs, low-level designs, and source code/hardware schematics).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.4" + }, + { + "href": "#sa.14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the breadth of criticality analysis to be performed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the depth of criticality analysis to be performed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines decision points in the system development life cycle when a criticality analysis is to be performed for the information system, system component, or information system service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(3)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.3.4.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to perform a criticality analysis at the organization-defined breadth/depth and at organization-defined decision points in the system development life cycle.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(3)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing criticality analysis requirements for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecriticality analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness impact analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esoftware development life cycle documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsibility for performing criticality analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for performing criticality analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing criticality analysis\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-15_e", + "desc": "organization-defined breadth/depth", + "value": "organization-defined breadth/depth" + }, + { + "id": "sa-15_f", + "desc": "organization-defined decision points in the system development life cycle", + "value": "organization-defined decision points in the system development life cycle" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.4.", + "title": "THREAT MODELING / VULNERABILITY ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-15 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that developers perform threat modeling and a vulnerability analysis for the information system at \u003cinsert param-id=\"sa-15_g\"/\u003e that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-15.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eUses \u003cinsert param-id=\"sa-15_h\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-15.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"sa-15_i\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-15.4.c.", + "prose": [ + "\u003cp class=\"description\"\u003eProduces evidence that meets \u003cinsert param-id=\"sa-15_j\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (4)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sa.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the breadth of threat modeling and vulnerability analysis to be performed by developers for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the depth of threat modeling and vulnerability analysis to be performed by developers for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels to be used in threat modeling and vulnerability analysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(4)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.4.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines tools and methods to be employed in threat modeling and vulnerability analysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(4)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.4.5.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines acceptance criteria for evidence produced from threat modeling and vulnerability analysis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(4)[5]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.4.6.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that developers perform threat modeling and a vulnerability analysis for the information system at the organization-defined breadth/depth that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(4)[6]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.4.6.a.", + "prose": [ + "\u003cp class=\"decision\"\u003euses organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(4)[6](a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.4.6.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined tools and methods; 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class=\"object\"\u003enetwork diagram\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation establishing/enforcing organization-defined thresholds for reducing attack surfaces\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of restricted ports, protocols, functions and services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsibility for attack surface reduction thresholds\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining attack surface reduction thresholds\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-15_k", + "desc": "organization-defined thresholds", + "value": "organization-defined thresholds" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.6.", + "title": "CONTINUOUS IMPROVEMENT", + "props": [ + { + "class": "name", + "value": "SA-15 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopers of information systems, information system components, and information system services consider the effectiveness/efficiency of current development processes for meeting quality objectives and addressing security capabilities in current threat environments.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition 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"class": "objective", + "id": "s_obj_sa-15.7.a.", + "props": [ + { + "class": "name", + "value": "SA-15(7)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines tools to be used to perform automated vulnerability analysis of the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(7)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to perform an automated vulnerability analysis using organization-defined tools;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(7)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to determine the exploitation potential for discovered vulnerabilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(7)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.7.c.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to determine potential risk mitigations for delivered vulnerabilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(7)(c)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.7.d.", + "props": [ + { + "class": "name", + "value": "SA-15(7)(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.7.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the output of the tools and results of the analysis are to be delivered; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(7)(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.7.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to deliver the outputs of the tools and results of the analysis to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(7)(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability analysis tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability analysis results\u003c/p\u003e", + "\u003cp class=\"object\"\u003evulnerability mitigation reports\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk mitigation strategy documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel performing automated vulnerability analysis on the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for vulnerability analysis of information systems, system components, or information system services under development\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing vulnerability analysis of information systems, system components, or information system services under development\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-15_l", + "desc": "organization-defined tools", + "value": "organization-defined tools" + }, + { + "id": "sa-15_m", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.8.", + "title": "REUSE OF THREAT / VULNERABILITY INFORMATION", + "props": [ + { + "class": "name", + "value": "SA-15 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAnalysis of vulnerabilities found in similar software applications can inform potential design or implementation issues for information systems under development. Similar information systems or system components may exist within developer organizations. Authoritative vulnerability information is available from a variety of public and private sector sources including, for example, the National Vulnerability Database.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethreat modeling and vulnerability analyses from similar information systems, system components, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.9.", + "title": "USE OF LIVE DATA", + "props": [ + { + "class": "name", + "value": "SA-15 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization approves, documents, and controls the use of live data in development and test environments for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of live data in preproduction environments can result in significant risk to organizations. Organizations can minimize such risk by using test or dummy data during the development and testing of information systems, information system components, and information system services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, for the information system, system component, or information system service:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-15.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproves the use of live data in development and test environments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments the use of live data in development and test environments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(9)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-15.9.3.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols the use of live data in development and test environments.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15(9)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation authorizing use of live data in development and test environments\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for approving, documenting, and controlling the use of live data in development and test environments\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the approval, documentation, and control of the use of live data in development and test environments\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.10.", + "title": "INCIDENT RESPONSE PLAN", + "props": [ + { + "class": "name", + "value": "SA-15 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to provide an incident response plan.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe incident response plan for developers of information systems, system components, and information system services is incorporated into organizational incident response plans to provide the type of incident response information not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf (COTS) information technology products.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to provide an incident response plan.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003edeveloper incident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.11.", + "title": "ARCHIVE INFORMATION SYSTEM / COMPONENT", + "props": [ + { + "class": "name", + "value": "SA-15 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eArchiving relevant documentation from the development process can provide a readily available baseline of information that can be helpful during information system/component upgrades or modifications.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003edeveloper incident response plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.16", + "title": "DEVELOPER-PROVIDED TRAINING", + "params": [ + { + "id": "sa-16_a", + "desc": "organization-defined training", + "value": "organization-defined training" + } + ], + "props": [ + { + "class": "name", + "value": "SA-16" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to provide \u003cinsert param-id=\"sa-16_a\"/\u003e on the correct use and operation of the implemented security functions, controls, and/or mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to external and internal (in-house) developers. Training of personnel is an essential element to ensure the effectiveness of security controls implemented within organizational information systems. Training options include, for example, classroom-style training, web-based/computer-based training, and hands-on training. Organizations can also request sufficient training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security functions, controls, or mechanisms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-16-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines training to be provided by the developer of the information system, system component, or information system service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-16[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-16-2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to provide organization-defined training on the correct use and operation of the implemented security functions, controls, and/or mechanisms.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-16[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer-provided training\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003edeveloper-provided training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational or third-party developers with training responsibilities for the information system, system component, or information system service\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.17", + "title": "DEVELOPER SECURITY ARCHITECTURE AND DESIGN", + "props": [ + { + "class": "name", + "value": "SA-17" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-17a.", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with and supportive of the organization�s security architecture which is established within and is an integrated part of the organization�s enterprise architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-17b.", + "prose": [ + "\u003cp class=\"description\"\u003eAccurately and completely describes the required security functionality, and the allocation of security controls among physical and logical components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17b." + } + ] + }, + { + "class": "item", + "id": "smm_sa-17c.", + "prose": [ + "\u003cp class=\"description\"\u003eExpresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control is primarily directed at external developers, although it could also be used for internal (in-house) development. In contrast, PL-8 is primarily directed at internal developers to help ensure that organizations develop an information security architecture and such security architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important if/when organizations outsource the development of information systems, information system components, or information system services to external entities, and there is a requirement to demonstrate consistency with the organization�s enterprise architecture and information security architecture.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.8" + }, + { + "href": "#pm.7" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-17.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eis consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-17.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccurately and completely describes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-17.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe required security functionality;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-17.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe allocation of security controls among physical and logical components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sa-17.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eexpresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003edesign specification and security architecture documentation for the system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.17.1.", + "title": "FORMAL POLICY MODEL", + "props": [ + { + "class": "name", + "value": "SA-17 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-17.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eProduce, as an integral part of the development process, a formal policy model describing the \u003cinsert param-id=\"sa-17_a\"/\u003e to be enforced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eProve that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFormal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors/policies to be formally proven. Not all components of information systems can be modeled, and generally, formal specifications are scoped to specific behaviors or policies of interest (e.g., nondiscretionary access control policies). Organizations choose the particular formal modeling language and approach based on the nature of the behaviors/policies to be described and the available tools. Formal modeling tools include, for example, Gypsy and Zed.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.1.a.", + "props": [ + { + "class": "name", + "value": "SA-17(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines elements of the organizational security policy to be enforced under a formal policy model produced by the developer as an integral part of the development process for the information system, system component, or information system service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to produce, as an integral part of the development process, a formal policy model describing the organization-defined elements of organizational security policy to be enforced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(1)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(1)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003edesign specification and security architecture documentation for the system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "sa-17_a", + "desc": "organization-defined elements of organizational security policy", + "value": "organization-defined elements of organizational security policy" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.2.", + "title": "SECURITY-RELEVANT COMPONENTS", + "props": [ + { + "class": "name", + "value": "SA-17 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-17.2.a.", + "prose": [ + "\u003cp class=\"description\"\u003eDefine security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.2.b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a rationale that the definition for security-relevant hardware, software, and firmware is complete.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity-relevant hardware, software, and firmware represent the portion of the information system, component, or service that must be trusted to perform correctly in order to maintain required security properties.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.2.a.", + "props": [ + { + "class": "name", + "value": "SA-17(2)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefine security-relevant hardware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(2)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefine security-relevant software;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(2)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefine security-relevant firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(2)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovide a rationale that the definition for security-relevant hardware, software, and firmware components is complete.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(2)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security-relevant hardware, software, and firmware components\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumented rationale of completeness regarding definitions provided for security-relevant hardware, software, and firmware\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.3.", + "title": "FORMAL CORRESPONDENCE", + "props": [ + { + "class": "name", + "value": "SA-17 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-17.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eProduce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eShow via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.3.c.", + "prose": [ + "\u003cp class=\"description\"\u003eShow via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.3.d.", + "prose": [ + "\u003cp class=\"description\"\u003eShow that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(d)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.3.e.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrespondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal information system description, and that the formal system description is correctly implemented by a description of some lower level, for example a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Consistency between the formal top-level specification and the implementation may require the use of an informal demonstration due to limitations in the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eproduce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eexceptions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eerror messages;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.3.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eeffects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eshow via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eshow via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(c)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.3.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eshow that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(d)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.3.e.", + "prose": [ + "\u003cp class=\"decision\"\u003edescribe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(3)(e)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eformal policy model\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eformal top-level specification documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture and design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation describing security-relevant hardware, software and firmware mechanisms not addressed in the formal top-level specification documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.4.", + "title": "INFORMAL CORRESPONDENCE", + "props": [ + { + "class": "name", + "value": "SA-17 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-17.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eProduce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eShow via [Selection: informal demonstration, convincing argument with formal methods as feasible] that the descriptive top-level specification is consistent with the formal policy model;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.4.c.", + "prose": [ + "\u003cp class=\"description\"\u003eShow via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.4.d.", + "prose": [ + "\u003cp class=\"description\"\u003eShow that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(d)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.4.e.", + "prose": [ + "\u003cp class=\"description\"\u003eDescribe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrespondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eproduce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eexceptions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eerror messages;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.4.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eeffects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eshow via informal demonstration and/or convincing argument with formal methods as feasible that the descriptive top-level specification is consistent with the formal policy model;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eshow via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(c)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eshow that the descriptive top-level specification is an accurate description of the interfaces to the security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(d)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.4.e.", + "prose": [ + "\u003cp class=\"decision\"\u003edescribe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(4)(e)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eformal policy model\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformal descriptive top-level specification documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture and design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation describing security-relevant hardware, software and firmware mechanisms not addressed in the informal descriptive top-level specification documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.5.", + "title": "CONCEPTUALLY SIMPLE DESIGN", + "props": [ + { + "class": "name", + "value": "SA-17 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sa-17.5.a.", + "prose": [ + "\u003cp class=\"description\"\u003eDesign and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sa-17.5.b.", + "prose": [ + "\u003cp class=\"description\"\u003eInternally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (5)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-17.5.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edesign and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(5)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-17.5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003einternally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17(5)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edeveloper documentation describing design and structure of security-relevant hardware, software, and firmware components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.6.", + "title": "STRUCTURE FOR TESTING", + "props": [ + { + "class": "name", + "value": "SA-17 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sa.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edeveloper documentation describing design and structure of security-relevant hardware, software, and firmware components to facilitate testing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.7.", + "title": "STRUCTURE FOR LEAST PRIVILEGE", + "props": [ + { + "class": "name", + "value": "SA-17 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edeveloper documentation describing design and structure of security-relevant hardware, software, and firmware components to facilitate controlling access with least privilege\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.18", + "title": "TAMPER RESISTANCE AND DETECTION", + "props": [ + { + "class": "name", + "value": "SA-18" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements a tamper protection program for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAnti-tamper technologies and techniques provide a level of protection for critical information systems, system components, and information technology products against a number of related threats including modification, reverse engineering, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting information systems, components, and products during distribution and when in use.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.3" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization implements a tamper protection program for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing tamper resistance and detection\u003c/p\u003e", + "\u003cp class=\"object\"\u003etamper protection program documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etamper protection tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etamper resistance and detection tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the tamper protection program\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for implementation of the tamper protection program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the tamper protection program\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.18.1.", + "title": "MULTIPLE PHASES OF SDLC", + "props": [ + { + "class": "name", + "value": "SA-18 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including design, development, integration, operations, and maintenance.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations employ obfuscation and self-checking, for example, to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. Customization of information systems and system components can make substitutions easier to detect and therefore limit damage.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-18.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edesign;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelopment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegration;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eoperations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(1)[4]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.1.5.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintenance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(1)[5]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing tamper resistance and detection\u003c/p\u003e", + "\u003cp class=\"object\"\u003etamper protection program documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etamper protection tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etamper resistance and detection tools (technologies) and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem development life cycle documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the tamper protection program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with SDLC responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for employing anti-tamper technologies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing anti-tamper technologies\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.18.2.", + "title": "INSPECTION OF INFORMATION SYSTEMS, COMPONENTS, OR DEVICES", + "props": [ + { + "class": "name", + "value": "SA-18 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization inspects \u003cinsert param-id=\"sa-18_a\"/\u003e [Selection (one or more): at random; at \u003cinsert param-id=\"sa-18_b\"/\u003e, upon \u003cinsert param-id=\"sa-18_c\"/\u003e] to detect tampering.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses both physical and logical tampering and is typically applied to mobile devices, notebook computers, or other system components taken out of organization-controlled areas. Indications of need for inspection include, for example, when individuals return from travel to high-risk locations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-18.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems, system components, or devices to be inspected to detect tampering;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to inspect organization-defined information systems, system components, or devices to detect tampering;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines indications of need for inspection of organization-defined information systems, system components, or devices to detect tampering;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003einspects organization-defined information systems, system components, or devices to detect tampering, selecting one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(2)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-18.2.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eat random;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(2)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.2.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(2)[4][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-18.2.4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eupon organization-defined indications of need for inspection.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-18(2)[4][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing tamper resistance and detection\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of random inspections\u003c/p\u003e", + "\u003cp class=\"object\"\u003einspection reports/results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eassessment reports/results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the tamper protection program\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for inspecting information systems, system components, or devices to detect tampering\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing tampering detection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-18_a", + "desc": "organization-defined information systems, system components, or devices", + "value": "organization-defined information systems, system components, or devices" + }, + { + "id": "sa-18_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "sa-18_c", + "desc": "organization-defined indications of need for inspection", + "value": "organization-defined indications of need for inspection" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.19", + "title": "COMPONENT AUTHENTICITY", + "params": [ + { + "id": "sa-19_a", + "desc": "organization-defined external reporting organizations", + "value": "organization-defined external reporting organizations" + }, + { + "id": "sa-19_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SA-19" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-19a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-19b.", + "prose": [ + "\u003cp class=\"description\"\u003eReports counterfeit information system components to [Selection (one or more): source of counterfeit component; \u003cinsert param-id=\"sa-19_a\"/\u003e; \u003cinsert param-id=\"sa-19_b\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSources of counterfeit components include, for example, manufacturers, developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include, for example, US-CERT.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.3" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-19.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-19.b.", + "props": [ + { + "class": "name", + "value": "SA-19(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-19.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external reporting organizations to whom counterfeit information system components are to be reported;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-19.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom counterfeit information system components are to be reported;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-19.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports counterfeit information system components to one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(b)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-19.b.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe source of counterfeit component;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(b)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-19.b.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization-defined external reporting organizations; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(b)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-19.b.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(b)[3][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia disposal policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining materials addressing counterfeit information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records on detection and prevention of counterfeit components from entering the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereports notifying developers/manufacturers/vendors/ contractors and/or external reporting organizations of counterfeit information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for anti-counterfeit policy, procedures, and reporting\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for anti-counterfeit detection, prevention, and reporting\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.19.1.", + "title": "ANTI-COUNTERFEIT TRAINING", + "props": [ + { + "class": "name", + "value": "SA-19 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization trains \u003cinsert param-id=\"sa-19_c\"/\u003e to detect counterfeit information system components (including hardware, software, and firmware).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-19.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be trained to detect counterfeit information system components (including hardware, software, and firmware); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-19.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etrains organization-defined personnel or roles to detect counterfeit information system components (including hardware, software, and firmware).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia disposal policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining materials addressing counterfeit information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records on detection of counterfeit information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for anti-counterfeit policy, procedures, and training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for anti-counterfeit training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-19_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.19.2.", + "title": "CONFIGURATION CONTROL FOR COMPONENT SERVICE / REPAIR", + "props": [ + { + "class": "name", + "value": "SA-19 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization maintains configuration control over \u003cinsert param-id=\"sa-19_d\"/\u003e awaiting service/repair and serviced/repaired components awaiting return to service.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-19.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components requiring configuration control to be maintained when awaiting service/repair;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-19.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components requiring configuration control to be maintained when awaiting return to service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-19.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains configuration control over organization-defined information system components awaiting service/repairs and serviced/repaired components awaiting return to service.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration control records for components awaiting service/repair\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration control records for serviced/repaired components awaiting return to service\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system maintenance records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einventory management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for anti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-19_d", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.19.3.", + "title": "COMPONENT DISPOSAL", + "props": [ + { + "class": "name", + "value": "SA-19 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization disposes of information system components using \u003cinsert param-id=\"sa-19_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProper disposal of information system components helps to prevent such components from entering the gray market.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-19.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines techniques and methods to dispose of information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-19.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edisposes of information system components using organization-defined techniques and methods.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia disposal policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003edisposal records for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation of disposal techniques and methods employed for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for anti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for disposal of information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational techniques and methods for information system component disposal\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing system component disposal\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-19_e", + "desc": "organization-defined techniques and methods", + "value": "organization-defined techniques and methods" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.19.4.", + "title": "ANTI-COUNTERFEIT SCANNING", + "props": [ + { + "class": "name", + "value": "SA-19 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization scans for counterfeit information system components \u003cinsert param-id=\"sa-19_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-19.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to scan for counterfeit information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-19.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003escans for counterfeit information system components with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003escanning tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003escanning results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for anti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for anti-counterfeit scanning\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for anti-counterfeit scanning\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing anti-counterfeit scanning\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-19_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.20", + "title": "CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS", + "params": [ + { + "id": "sa-20_a", + "desc": "organization-defined critical information system components", + "value": "organization-defined critical information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SA-20" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization re-implements or custom develops \u003cinsert param-id=\"sa-20_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine that certain information system components likely cannot be trusted due to specific threats to and vulnerabilities in those components, and for which there are no viable security controls to adequately mitigate the resulting risk. Re-implementation or custom development of such components helps to satisfy requirements for higher assurance. This is accomplished by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to re-implement or custom develop critical information system components, additional safeguards can be employed (e.g., enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-20-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines critical information system components to be re-implemented or custom developed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-20[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-20-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ere-implements or custom develops organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-20[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing customized development of critical information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem development life cycle documentation addressing custom development of critical information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility re-implementation or customized development of critical information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for re-implementing or customized development of critical information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing re-implementation or customized development of critical information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.21", + "title": "DEVELOPER SCREENING", + "params": [ + { + "id": "sa-21_a", + "desc": "organization-defined information system, system component, or information system service", + "value": "organization-defined information system, system component, or information system service" + }, + { + "id": "sa-21_b", + "desc": "organization-defined official government duties", + "value": "organization-defined official government duties" + }, + { + "id": "sa-21_c", + "desc": "organization-defined additional personnel screening criteria", + "value": "organization-defined additional personnel screening criteria" + } + ], + "props": [ + { + "class": "name", + "value": "SA-21" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that the developer of \u003cinsert param-id=\"sa-21_a\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-21a.", + "prose": [ + "\u003cp class=\"description\"\u003eHave appropriate access authorizations as determined by assigned \u003cinsert param-id=\"sa-21_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-21b.", + "prose": [ + "\u003cp class=\"description\"\u003eSatisfy \u003cinsert param-id=\"sa-21_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBecause the information system, system component, or information system service may be employed in critical activities essential to the national and/or economic security interests of the United States, organizations have a strong interest in ensuring that the developer is trustworthy. The degree of trust required of the developer may need to be consistent with that of the individuals accessing the information system/component/service once deployed. Examples of authorization and personnel screening criteria include clearance, satisfactory background checks, citizenship, and nationality. Trustworthiness of developers may also include a review and analysis of company ownership and any relationships the company has with entities potentially affecting the quality/reliability of the systems, components, or services being developed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.3" + }, + { + "href": "#ps.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-21-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the information system, system component, or information system service for which the developer is to be screened;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-21-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines official government duties to be used to determine appropriate access authorizations for the developer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-21-3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines additional personnel screening criteria to be satisfied by the developer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-21-4.", + "props": [ + { + "class": "name", + "value": "SA-21[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-21-4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that the developer of organization-defined information system, system component, or information system service have appropriate access authorizations as determined by assigned organization-defined official government duties; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21[4][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-21-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that the developer of organization-defined information system, system component, or information system service satisfy organization-defined additional personnel screening criteria.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21[4][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel security policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing personnel screening\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of appropriate access authorizations required by developers of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel screening criteria and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for developer screening\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for developer screening\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting developer screening\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.21.1.", + "title": "VALIDATION OF SCREENING", + "props": [ + { + "class": "name", + "value": "SA-21 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires the developer of the information system, system component, or information system service take \u003cinsert param-id=\"sa-21_d\"/\u003e to ensure that the required access authorizations and screening criteria are satisfied.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSatisfying required access authorizations and personnel screening criteria includes, for example, providing a listing of all the individuals authorized to perform development activities on the selected information system, system component, or information system service so that organizations can validate that the developer has satisfied the necessary authorization and screening requirements.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-21.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines actions to be taken by the developer of the information system, system component, or information system service to ensure that the required access authorizations and screening criteria are satisfied; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-21.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires the developer of the information system, system component, or information system service take organization-defined actions to ensure that the required access authorizations and screening criteria are satisfied.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel security policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing personnel screening\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of appropriate access authorizations required by developers of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel screening criteria and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of actions ensuring required access authorizations and screening criteria are satisfied\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for developer screening\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for developer screening\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting developer screening\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-21_d", + "desc": "organization-defined actions", + "value": "organization-defined actions" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.22", + "title": "UNSUPPORTED SYSTEM COMPONENTS", + "props": [ + { + "class": "name", + "value": "SA-22" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sa-22a.", + "prose": [ + "\u003cp class=\"description\"\u003eReplaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22a." + } + ] + }, + { + "class": "item", + "id": "smm_sa-22b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides justification and documents approval for the continued use of unsupported system components required to satisfy mission/business needs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupport for information system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components (e.g., when vendors are no longer providing critical software patches), provide a substantial opportunity for adversaries to exploit new weaknesses discovered in the currently installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission/business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.2" + }, + { + "href": "#sa.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-22.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ereplaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-22.b.", + "props": [ + { + "class": "name", + "value": "SA-22(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sa-22.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides justification for the continued use of unsupported system components required to satisfy mission/business needs; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sa-22.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments approval for the continued use of unsupported system components required to satisfy mission/business needs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing replacement or continued use of unsupported information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumented evidence of replacing unsupported information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumented approvals (including justification) for continued use of unsupported information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility system development life cycle\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for configuration management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for replacing unsupported system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing replacement of unsupported system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.22.1.", + "title": "ALTERNATIVE SOURCES FOR CONTINUED SUPPORT", + "props": [ + { + "class": "name", + "value": "SA-22 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides [Selection (one or more): in-house support; \u003cinsert param-id=\"sa-22_a\"/\u003e] for unsupported information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses the need to provide continued support for selected information system components that are no longer supported by the original developers, vendors, or manufacturers when such components remain essential to mission/business operations. Organizations can establish in-house support, for example, by developing customized patches for critical software components or secure the services of external providers who through contractual relationships, provide ongoing support for the designated unsupported components. Such contractual relationships can include, for example, Open Source Software value-added vendors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-22.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines support from external providers to be provided for unsupported information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-22.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides and/or obtains support for unsupported information system components from one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sa-22.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ein-house support; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sa-22.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined support from external providers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-22(1)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing support for unsupported information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003esolicitation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice-level agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility system development life cycle\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel or third-party external providers supporting information system components no longer supported by original developers, vendors, or manufacturers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for supporting system components no longer supported by original developers, vendors, or manufacturers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms providing support for system components no longer supported by original developers, vendors, or manufacturers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sa-22_a", + "desc": "organization-defined support from external providers", + "value": "organization-defined support from external providers" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "SYSTEM AND COMMUNICATIONS PROTECTION", + "controls": [ + { + "class": "SP800-53", + "id": "sc.1", + "title": "SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES", + "params": [ + { + "id": "sc-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "sc-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "sc-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SC-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"sc-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_sc-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_sc-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_sc-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_sc-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem and communications protection policy \u003cinsert param-id=\"sc-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_sc-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem and communications protection procedures \u003cinsert param-id=\"sc-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-1.a.1.", + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a system and communications protection policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the system and communications protection policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the system and communications protection policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.2.", + "props": [ + { + "class": "name", + "value": "SC-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.b.1.", + "props": [ + { + "class": "name", + "value": "SC-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current system and communications protection policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current system and communications protection policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.b.2.", + "props": [ + { + "class": "name", + "value": "SC-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current system and communications protection procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current system and communications protection procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and communications protection responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.2", + "title": "APPLICATION PARTITIONING", + "props": [ + { + "class": "name", + "value": "SC-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system separates user functionality (including user interface services) from information system management functionality.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical. Organizations implement separation of system management-related functionality from user functionality by using different computers, different central processing units, different instances of operating systems, different network addresses, virtualization techniques, or combinations of these or other methods, as appropriate. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other information system resources. Separation of system and user functionality may include isolating administrative interfaces on different domains and with additional access controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.4" + }, + { + "href": "#sa.8" + }, + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system separates user functionality (including user interface services) from information system management functionality.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing application partitioning\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSeparation of user functionality from information system management functionality\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.2.1.", + "title": "INTERFACES FOR NON-PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SC-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement ensures that administration options (e.g., administrator privileges) are not available to general users (including prohibiting the use of the grey-out option commonly used to eliminate accessibility to such information). Such restrictions include, for example, not presenting administration options until users establish sessions with administrator privileges.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing application partitioning\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003enon-privileged users of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSeparation of user functionality from information system management functionality\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.3", + "title": "SECURITY FUNCTION ISOLATION", + "props": [ + { + "class": "name", + "value": "SC-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system isolates security functions from nonsecurity functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains). Such isolation controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Information systems implement code separation (i.e., separation of security functions from nonsecurity functions) in a number of ways, including, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that serve to protect the code on disk, and address space protections that protect executing code. Information systems restrict access to security functions through the use of access control mechanisms and by implementing least privilege capabilities. While the ideal is for all of the code within the security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.13" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.39" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system isolates security functions from nonsecurity functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security functions to be isolated from nonsecurity functions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSeparation of security functions from nonsecurity functions within the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.3.1.", + "title": "HARDWARE SEPARATION", + "props": [ + { + "class": "name", + "value": "SC-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system utilizes underlying hardware separation mechanisms to implement security function isolation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnderlying hardware separation mechanisms include, for example, hardware ring architectures, commonly implemented within microprocessors, and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system utilizes underlying hardware separation mechanisms to implement security function isolation.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ehardware separation mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSeparation of security functions from nonsecurity functions within the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.3.2.", + "title": "ACCESS / FLOW CONTROL FUNCTIONS", + "props": [ + { + "class": "name", + "value": "SC-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system isolates security functions enforcing access and information flow control from nonsecurity functions and from other security functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity function isolation occurs as a result of implementation; the functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include, for example, auditing, intrusion detection, and anti-virus functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system isolates security functions enforcing: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess control from nonsecurity functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation flow control from nonsecurity functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-3.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess control from other security functions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-3.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation flow control from other security functions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of critical security functions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eIsolation of security functions enforcing access and information flow control\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.3.3.", + "title": "MINIMIZE NONSECURITY FUNCTIONALITY", + "props": [ + { + "class": "name", + "value": "SC-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization minimizes the number of nonsecurity functions included within the isolation boundary containing security functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn those instances where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize the nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or maliciousness in such software, by virtue of being within the boundary, can impact the security functions of organizational information systems. The design objective is that the specific portions of information systems providing information security are of minimal size/complexity. Minimizing the number of nonsecurity functions in the security-relevant components of information systems allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing nonsecurity functions within the isolation boundaries, the amount of code that must be trusted to enforce security policies is reduced, thus contributing to understandability.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing an isolation boundary\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.3.4.", + "title": "MODULE COUPLING AND COHESIVENESS", + "props": [ + { + "class": "name", + "value": "SC-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe reduction in inter-module interactions helps to constrain security functions and to manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between the different functions within a particular module. Good software engineering practices rely on modular decomposition, layering, and minimization to reduce and manage complexity, thus producing software modules that are highly cohesive and loosely coupled.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization implements security functions as largely independent modules that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003emaximize internal cohesiveness within modules; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eminimize coupling between modules.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for maximizing internal cohesiveness within modules and minimizing coupling between modules\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security functions as independent modules\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.3.5.", + "title": "LAYERED STRUCTURES", + "props": [ + { + "class": "name", + "value": "SC-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) further enables the isolation of security functions and management of complexity.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization implements security functions as a layered structure:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-3.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eminimizing interactions between layers of the design; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-3.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eavoiding any dependence by lower layers on the functionality or correctness of higher layers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-3(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for implementing security functions as a layered structure that minimizes interactions between layers and avoids dependence by lower layers on functionality/correctness of higher layers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security functions as a layered structure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.4", + "title": "INFORMATION IN SHARED RESOURCES", + "props": [ + { + "class": "name", + "value": "SC-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents unauthorized and unintended information transfer via shared system resources.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control prevents information, including encrypted representations of information, produced by the actions of prior users/roles (or the actions of processes acting on behalf of prior users/roles) from being available to any current users/roles (or current processes) that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those resources have been released back to information systems. The control of information in shared resources is also commonly referred to as object reuse and residual information protection. This control does not address: (i) information remanence which refers to residual representation of data that has been nominally erased or removed; (ii) covert channels (including storage and/or timing channels) where shared resources are manipulated to violate information flow restrictions; or (iii) components within information systems for which there are only single users/roles.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#mp.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system prevents unauthorized and unintended information transfer via shared system resources.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information protection in shared system resources\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms preventing unauthorized and unintended transfer of information via shared system resources\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.4.1.", + "title": "SECURITY LEVELS", + "props": [ + { + "class": "name", + "value": "SC-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.4.2.", + "title": "PERIODS PROCESSING", + "props": [ + { + "class": "name", + "value": "SC-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents unauthorized information transfer via shared resources in accordance with \u003cinsert param-id=\"sc-4_a\"/\u003e when system processing explicitly switches between different information classification levels or security categories.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies when there are explicit changes in information processing levels during information system operations, for example, during multilevel processing and periods processing with information at different classification levels or security categories. Organization-defined procedures may include, for example, approved sanitization processes for electronically stored information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-4.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines procedures to be employed to ensure unauthorized information transfer via shared resources is prevented when system processing explicitly switches between different information classification levels or security categories; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-4(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-4.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents unauthorized information transfer via shared resources in accordance with organization-defined procedures when system processing explicitly switches between different information classification levels or security categories.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-4(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information protection in shared system resources\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms preventing unauthorized transfer of information via shared system resources\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-4_a", + "desc": "organization-defined procedures", + "value": "organization-defined procedures" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.5", + "title": "DENIAL OF SERVICE PROTECTION", + "params": [ + { + "id": "sc-5_a", + "desc": "organization-defined types of denial of service attacks or references to sources for such information", + "value": "organization-defined types of denial of service attacks or references to sources for such information" + }, + { + "id": "sc-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects against or limits the effects of the following types of denial of service attacks: \u003cinsert param-id=\"sc-5_a\"/\u003e by employing \u003cinsert param-id=\"sc-5_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect information system components on internal organizational networks from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may also reduce the susceptibility to denial of service attacks.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.6" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-5-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines types of denial of service attacks or reference to source of such information for the information system to protect against or limit the effects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-5-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be employed by the information system to protect against or limit the effects of organization-defined types of denial of service attacks; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-5-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system protects against or limits the effects of the organization-defined denial or service attacks (or reference to source for such information) by employing organization-defined security safeguards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing denial of service protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of denial of services attacks requiring employment of security safeguards to protect against or limit effects of such attacks\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards protecting against or limiting the effects of denial of service attacks\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms protecting against or limiting the effects of denial of service attacks\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.5.1.", + "title": "RESTRICT INTERNAL USERS", + "props": [ + { + "class": "name", + "value": "SC-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system restricts the ability of individuals to launch \u003cinsert param-id=\"sc-5_c\"/\u003e against other information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRestricting the ability of individuals to launch denial of service attacks requires that the mechanisms used for such attacks are unavailable. Individuals of concern can include, for example, hostile insiders or external adversaries that have successfully breached the information system and are using the system as a platform to launch cyber attacks on third parties. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., network, wireless spectrum). Organizations can also limit the ability of individuals to use excessive information system resources. Protection against individuals having the ability to launch denial of service attacks may be implemented on specific information systems or on boundary devices prohibiting egress to potential target systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-5.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines denial of service attacks for which the information system is required to restrict the ability of individuals to launch such attacks against other information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-5.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system restricts the ability of individuals to launch organization-defined denial of service attacks against other information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing denial of service protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of denial of service attacks launched by individuals against information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms restricting the ability to launch denial of service attacks against other information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-5_c", + "desc": "organization-defined denial of service attacks", + "value": "organization-defined denial of service attacks" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.5.2.", + "title": "EXCESS CAPACITY / BANDWIDTH / REDUNDANCY", + "props": [ + { + "class": "name", + "value": "SC-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding denial of service attacks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eManaging excess capacity ensures that sufficient capacity is available to counter flooding attacks. Managing excess capacity may include, for example, establishing selected usage priorities, quotas, or partitioning.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system, to limit the effects of information flooding denial of service attacks, manages:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-5.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eexcess capacity;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-5.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ebandwidth; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-5.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eother redundancy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing denial of service protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing management of information system bandwidth, capacity, and redundancy to limit the effects of information flooding denial of service attacks\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.5.3.", + "title": "DETECTION / MONITORING", + "props": [ + { + "class": "name", + "value": "SC-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sc-5.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"sc-5_d\"/\u003e to detect indicators of denial of service attacks against the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sc-5.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors \u003cinsert param-id=\"sc-5_e\"/\u003e to determine if sufficient resources exist to prevent effective denial of service attacks.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider utilization and capacity of information system resources when managing risk from denial of service due to malicious attacks. Denial of service attacks can originate from external or internal sources. Information system resources sensitive to denial of service include, for example, physical disk storage, memory, and CPU cycles. Common safeguards to prevent denial of service attacks related to storage utilization and capacity include, for example, instituting disk quotas, configuring information systems to automatically alert administrators when specific storage capacity thresholds are reached, using file compression technologies to maximize available storage space, and imposing separate partitions for system and user data.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-5.3.a.", + "props": [ + { + "class": "name", + "value": "SC-5(3)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-5.3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines monitoring tools to be employed to detect indicators of denial of service attacks against the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(3)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-5.3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined monitoring tools to detect indicators of denial of service attacks against the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(3)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-5.3.b.", + "props": [ + { + "class": "name", + "value": "SC-5(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-5.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system resources to be monitored to determine if sufficient resources exist to prevent effective denial of service attacks; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(3)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-5.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors organization-defined information system resources to determine if sufficient resources exist to prevent effective denial of service attacks.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5(3)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing denial of service protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with detection and monitoring responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms/tools implementing information system monitoring for denial of service attacks\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-5_d", + "desc": "organization-defined monitoring tools", + "value": "organization-defined monitoring tools" + }, + { + "id": "sc-5_e", + "desc": "organization-defined information system resources", + "value": "organization-defined information system resources" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.6", + "title": "RESOURCE AVAILABILITY", + "params": [ + { + "id": "sc-6_a", + "desc": "organization-defined resources", + "value": "organization-defined resources" + }, + { + "id": "sc-6_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-6" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects the availability of resources by allocating \u003cinsert param-id=\"sc-6_a\"/\u003e by [Selection (one or more); priority; quota; \u003cinsert param-id=\"sc-6_b\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePriority protection helps prevent lower-priority processes from delaying or interfering with the information system servicing any higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to information system components for which there are only single users/roles.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-6-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines resources to be allocated to protect the availability of resources;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-6[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-6-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be employed to protect the availability of resources;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-6[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-6-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system protects the availability of resources by allocating organization-defined resources by one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-6[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-6-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epriority;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-6[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-6-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003equota; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-6[3][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-6-3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined safeguards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-6[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing prioritization of information system resources\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing resource allocation capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003esafeguards employed to protect availability of resources\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.7", + "title": "BOUNDARY PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-7" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-7a.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors and controls communications at the external boundary of the system and at key internal boundaries within the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7a." + } + ] + }, + { + "class": "item", + "id": "smm_sc-7b.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements subnetworks for publicly accessible system components that are [Selection: physically; logically] separated from internal organizational networks; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7b." + } + ] + }, + { + "class": "item", + "id": "smm_sc-7c.", + "prose": [ + "\u003cp class=\"description\"\u003eConnects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eManaged interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#ac.17" + }, + { + "href": "#ca.3" + }, + { + "href": "#cm.7" + }, + { + "href": "#cp.8" + }, + { + "href": "#ir.4" + }, + { + "href": "#ra.3" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-7.a.", + "props": [ + { + "class": "name", + "value": "SC-7(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-7.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors communications at the external boundary of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-7.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors communications at key internal boundaries within the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-7.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols communications at the external boundary of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-7.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols communications at key internal boundaries within the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-7.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements subnetworks for publicly accessible system components that are either:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-7.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ephysically separated from internal organizational networks; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-7.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003elogically separated from internal organizational networks; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-7.c.", + "prose": [ + "\u003cp class=\"decision\"\u003econnects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of key internal boundaries of the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eboundary protection hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise security architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.7.1.", + "title": "PHYSICALLY SEPARATED SUBNETWORKS", + "props": [ + { + "class": "name", + "value": "SC-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.2.", + "title": "PUBLIC ACCESS", + "props": [ + { + "class": "name", + "value": "SC-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.3.", + "title": "ACCESS POINTS", + "props": [ + { + "class": "name", + "value": "SC-7 (3)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization limits the number of external network connections to the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLimiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection (TIC) initiative is an example of limiting the number of external network connections.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization limits the number of external network connections to the information system.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eboundary protection hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecommunications and network traffic monitoring logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms limiting the number of external network connections to the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.4.", + "title": "EXTERNAL TELECOMMUNICATIONS SERVICES", + "props": [ + { + "class": "name", + "value": "SC-7 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sc-7.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements a managed interface for each external telecommunication service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sc-7.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes a traffic flow policy for each managed interface;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sc-7.4.c.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the confidentiality and integrity of the information being transmitted across each interface;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(c)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sc-7.4.d.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments each exception to the traffic flow policy with a supporting mission/business need and duration of that need; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(d)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sc-7.4.e.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews exceptions to the traffic flow policy \u003cinsert param-id=\"sc-7_a\"/\u003e and removes exceptions that are no longer supported by an explicit mission/business need.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#sc.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a managed interface for each external telecommunication service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes a traffic flow policy for each managed interface;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the confidentiality and integrity of the information being transmitted across each interface;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(c)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments each exception to the traffic flow policy with:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.4.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ea supporting mission/business need;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.4.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eduration of that need;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(d)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.4.e.", + "props": [ + { + "class": "name", + "value": "SC-7(4)(e)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.4.e.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to review exceptions to traffic flow policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(e)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.4.e.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews exceptions to the traffic flow policy with the organization-defined frequency; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(e)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.4.e.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves traffic flow policy exceptions that are no longer supported by an explicit mission/business need\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(4)(e)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraffic flow policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation flow control policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eboundary protection hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of traffic flow policy exceptions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for documenting and reviewing exceptions to the traffic flow policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for removing exceptions to the traffic flow policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003emanaged interfaces implementing traffic flow policy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.5.", + "title": "DENY BY DEFAULT / ALLOW BY EXCEPTION", + "props": [ + { + "class": "name", + "value": "SC-7 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system at managed interfaces denies network communications traffic by default and allows network communications traffic by exception (i.e., deny all, permit by exception).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to both inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those connections which are essential and approved are allowed.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system, at managed interfaces:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edenies network traffic by default; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eallows network traffic by exception.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing traffic management at managed interfaces\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.6.", + "title": "RESPONSE TO RECOGNIZED FAILURES", + "props": [ + { + "class": "name", + "value": "SC-7 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-7 (18)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.7.18." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.7.", + "title": "PREVENT SPLIT TUNNELING FOR REMOTE DEVICES", + "props": [ + { + "class": "name", + "value": "SC-7 (7)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is implemented within remote devices (e.g., notebook computers) through configuration settings to disable split tunneling in those devices, and by preventing those configuration settings from being readily configurable by users. This control enhancement is implemented within the information system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local information system resources such as printers/file servers. However, split tunneling would in effect allow unauthorized external connections, making the system more vulnerable to attack and to exfiltration of organizational information. The use of VPNs for remote connections, when adequately provisioned with appropriate security controls, may provide the organization with sufficient assurance that it can effectively treat such connections as non-remote connections from the confidentiality and integrity perspective. VPNs thus provide a means for allowing non-remote communications paths from remote devices. The use of an adequately provisioned VPN does not eliminate the need for preventing split tunneling.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting/restricting non-remote connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.8.", + "title": "ROUTE TRAFFIC TO AUTHENTICATED PROXY SERVERS", + "props": [ + { + "class": "name", + "value": "SC-7 (8)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system routes \u003cinsert param-id=\"sc-7_b\"/\u003e to \u003cinsert param-id=\"sc-7_c\"/\u003e through authenticated proxy servers at managed interfaces.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal networks are networks outside of organizational control. A proxy server is a server (i.e., information system or application) that acts as an intermediary for clients requesting information system resources (e.g., files, connections, web pages, or services) from other organizational servers. Client requests established through an initial connection to the proxy server are evaluated to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers support logging individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#au.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines internal communications traffic to be routed to external networks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines external networks to which organization-defined internal communications traffic is to be routed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.8.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system routes organization-defined internal communications traffic to organization-defined external networks through authenticated proxy servers at managed interfaces.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(8)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing traffic management through authenticated proxy servers at managed interfaces\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_b", + "desc": "organization-defined internal communications traffic", + "value": "organization-defined internal communications traffic" + }, + { + "id": "sc-7_c", + "desc": "organization-defined external networks", + "value": "organization-defined external networks" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.9.", + "title": "RESTRICT THREATENING OUTGOING COMMUNICATIONS TRAFFIC", + "props": [ + { + "class": "name", + "value": "SC-7 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sc-7.9.a.", + "prose": [ + "\u003cp class=\"description\"\u003eDetects and denies outgoing communications traffic posing a threat to external information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (9)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sc-7.9.b.", + "prose": [ + "\u003cp class=\"description\"\u003eAudits the identity of internal users associated with denied communications.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (9)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetecting outgoing communications traffic from internal actions that may pose threats to external information systems is sometimes termed extrusion detection. Extrusion detection at information system boundaries as part of managed interfaces includes the analysis of incoming and outgoing communications traffic searching for indications of internal threats to the security of external systems. Such threats include, for example, traffic indicative of denial of service attacks and traffic containing malicious code.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#sc.38" + }, + { + "href": "#sc.44" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.9.a.", + "props": [ + { + "class": "name", + "value": "SC-7(9)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.9.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edetects outgoing communications traffic posing a threat to external information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(9)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.9.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edenies outgoing communications traffic posing a threat to external information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(9)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.9.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudits the identity of internal users associated with denied communications.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(9)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing detection and denial of threatening outgoing communications traffic\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing auditing of outgoing communications traffic\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.10.", + "title": "PREVENT UNAUTHORIZED EXFILTRATION", + "props": [ + { + "class": "name", + "value": "SC-7 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prevents the unauthorized exfiltration of information across managed interfaces.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSafeguards implemented by organizations to prevent unauthorized exfiltration of information from information systems include, for example: (i) strict adherence to protocol formats; (ii) monitoring for beaconing from information systems; (iii) monitoring for steganography; (iv) disconnecting external network interfaces except when explicitly needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic profile analysis to detect deviations from the volume/types of traffic expected within organizations or call backs to command and control centers. Devices enforcing strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to protocol formats and specification at the application layer and serve to identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. This control enhancement is closely associated with cross-domain solutions and system guards enforcing information flow requirements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization prevents the unauthorized exfiltration of information across managed interfaces.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003epreventing unauthorized exfiltration of information across managed interfaces\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.11.", + "title": "RESTRICT INCOMING COMMUNICATIONS TRAFFIC", + "props": [ + { + "class": "name", + "value": "SC-7 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system only allows incoming communications from \u003cinsert param-id=\"sc-7_d\"/\u003e to be routed to \u003cinsert param-id=\"sc-7_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides determinations that source and destination address pairs represent authorized/allowed communications. Such determinations can be based on several factors including, for example, the presence of source/destination address pairs in lists of authorized/allowed communications, the absence of address pairs in lists of unauthorized/disallowed pairs, or meeting more general rules for authorized/allowed source/destination pairs.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines internal communications traffic to be routed to external networks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines authorized destinations only to which that incoming communications from organization-defined authorized sources may be routed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(11)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.11.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system only allows incoming communications from organization-defined authorized sources to be routed to organization-defined authorized destinations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(11)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing boundary protection capabilities with respect to source/destination address pairs\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_d", + "desc": "organization-defined authorized sources", + "value": "organization-defined authorized sources" + }, + { + "id": "sc-7_e", + "desc": "organization-defined authorized destinations", + "value": "organization-defined authorized destinations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.12.", + "title": "HOST-BASED PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-7 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"sc-7_f\"/\u003e at \u003cinsert param-id=\"sc-7_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHost-based boundary protection mechanisms include, for example, host-based firewalls. Information system components employing host-based boundary protection mechanisms include, for example, servers, workstations, and mobile devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines host-based boundary protection mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components where organization-defined host-based boundary protection mechanisms are to be implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(12)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.12.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined host-based boundary protection mechanisms at organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(12)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eboundary protection hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system users\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing host-based boundary protection capabilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_f", + "desc": "organization-defined host-based boundary protection mechanisms", + "value": "organization-defined host-based boundary protection mechanisms" + }, + { + "id": "sc-7_g", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.13.", + "title": "ISOLATION OF SECURITY TOOLS / MECHANISMS / SUPPORT COMPONENTS", + "props": [ + { + "class": "name", + "value": "SC-7 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization isolates \u003cinsert param-id=\"sc-7_h\"/\u003e from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysically separate subnetworks with managed interfaces are useful, for example, in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques of organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.8" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information security tools, mechanisms, and support components to be isolated from other internal information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eisolates organization-defined information security tools, mechanisms, and support components from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(13)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security tools and support components to be isolated from other internal information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing isolation of information security tools, mechanisms, and support components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_h", + "desc": "organization-defined information security tools, mechanisms, and support components", + "value": "organization-defined information security tools, mechanisms, and support components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.14.", + "title": "PROTECTS AGAINST UNAUTHORIZED PHYSICAL CONNECTIONS", + "props": [ + { + "class": "name", + "value": "SC-7 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects against unauthorized physical connections at \u003cinsert param-id=\"sc-7_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems operating at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within organizational facilities. In practice, it is possible that these separate information systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.4" + }, + { + "href": "#pe.19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.14.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines managed interfaces to be protected against unauthorized physical connections; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(14)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.14.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects against unauthorized physical connections at organization-defined managed interfaces.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(14)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility communications and wiring diagram\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing protection against unauthorized physical connections\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_i", + "desc": "organization-defined managed interfaces", + "value": "organization-defined managed interfaces" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.15.", + "title": "ROUTE PRIVILEGED NETWORK ACCESSES", + "props": [ + { + "class": "name", + "value": "SC-7 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system routes all networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#au.2" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system routes all networked, privileged accesses through a dedicated, managed interface for the purposes of:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.15.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess control; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(15)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.15.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eauditing.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(15)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaudit logs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the routing of networked, privileged access through dedicated managed interfaces\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.16.", + "title": "PREVENT DISCOVERY OF COMPONENTS / DEVICES", + "props": [ + { + "class": "name", + "value": "SC-7 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system prevents discovery of specific system components composing a managed interface.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects network addresses of information system components that are part of managed interfaces from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery (e.g., network address not published or entered in domain name systems), requiring prior knowledge for access. Another obfuscation technique is to periodically change network addresses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system prevents discovery of specific system components composing a managed interface.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the prevention of discovery of system components at managed interfaces\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.17.", + "title": "AUTOMATED ENFORCEMENT OF PROTOCOL FORMATS", + "props": [ + { + "class": "name", + "value": "SC-7 (17)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system enforces adherence to protocol formats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system components that enforce protocol formats include, for example, deep packet inspection firewalls and XML gateways. Such system components verify adherence to protocol formats/specifications (e.g., IEEE) at the application layer and identify significant vulnerabilities that cannot be detected by devices operating at the network or transport layers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system enforces adherence to protocol formats.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing enforcement of adherence to protocol formats\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.18.", + "title": "FAIL SECURE", + "props": [ + { + "class": "name", + "value": "SC-7 (18)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system fails securely in the event of an operational failure of a boundary protection device.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFail secure is a condition achieved by employing information system mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces (e.g., routers, firewalls, guards, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones), information systems do not enter into unsecure states where intended security properties no longer hold. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#sc.24" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system fails securely in the event of an operational failure of a boundary protection device.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing secure failure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.19.", + "title": "BLOCKS COMMUNICATION FROM NON-ORGANIZATIONALLY CONFIGURED HOSTS", + "props": [ + { + "class": "name", + "value": "SC-7 (19)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system blocks both inbound and outbound communications traffic between \u003cinsert param-id=\"sc-7_j\"/\u003e that are independently configured by end users and external service providers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCommunication clients independently configured by end users and external service providers include, for example, instant messaging clients. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.19.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines communication clients that are independently configured by end users and external service providers; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(19)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.19.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eblocks, between organization-defined communication clients that are independently configured by end users and external service providers,:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(19)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.19.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einbound communications traffic; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(19)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.19.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eoutbound communications traffic.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(19)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of communication clients independently configured by end users and external service providers\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the blocking of inbound and outbound communications traffic between communication clients independently configured by end users and external service providers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_j", + "desc": "organization-defined communication clients", + "value": "organization-defined communication clients" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.20.", + "title": "DYNAMIC ISOLATION / SEGREGATION", + "props": [ + { + "class": "name", + "value": "SC-7 (20)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides the capability to dynamically isolate/segregate \u003cinsert param-id=\"sc-7_k\"/\u003e from other components of the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe capability to dynamically isolate or segregate certain internal components of organizational information systems is useful when it is necessary to partition or separate certain components of dubious origin from those components possessing greater trustworthiness. Component isolation reduces the attack surface of organizational information systems. Isolation of selected information system components is also a means of limiting the damage from successful cyber attacks when those attacks occur.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.20.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system components to be dynamically isolated/segregated from other components of the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(20)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.20.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides the capability to dynamically isolate/segregate organization-defined information system components from other components of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(20)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system components to be dynamically isolated/segregated from other components of the system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the capability to dynamically isolate/segregate information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_k", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.21.", + "title": "ISOLATION OF INFORMATION SYSTEM COMPONENTS", + "props": [ + { + "class": "name", + "value": "SC-7 (21)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs boundary protection mechanisms to separate \u003cinsert param-id=\"sc-7_l\"/\u003e supporting \u003cinsert param-id=\"sc-7_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can isolate information system components performing different missions and/or business functions. Such isolation limits unauthorized information flows among system components and also provides the opportunity to deploy greater levels of protection for selected components. Separating system components with boundary protection mechanisms provides the capability for increased protection of individual components and to more effectively control information flows between those components. This type of enhanced protection limits the potential harm from cyber attacks and errors. The degree of separation provided varies depending upon the mechanisms chosen. Boundary protection mechanisms include, for example, routers, gateways, and firewalls separating system components into physically separate networks or subnetworks, cross-domain devices separating subnetworks, virtualization techniques, and encrypting information flows among system components using distinct encryption keys.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.9" + }, + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-7.21.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components to be separated by boundary protection mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(21)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.21.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines missions and/or business functions to be supported by organization-defined information system components separated by boundary protection mechanisms; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(21)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-7.21.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys boundary protection mechanisms to separate organization-defined information system components supporting organization-defined missions and/or business functions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7(21)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the capability to separate information system components supporting organizational missions and/or business functions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-7_l", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "sc-7_m", + "desc": "organization-defined missions and/or business functions", + "value": "organization-defined missions and/or business functions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.22.", + "title": "SEPARATE SUBNETS FOR CONNECTING TO DIFFERENT SECURITY DOMAINS", + "props": [ + { + "class": "name", + "value": "SC-7 (22)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDecomposition of information systems into subnets helps to provide the appropriate level of protection for network connections to different security domains containing information with different security categories or classification levels.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing separate network addresses/different subnets\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.23.", + "title": "DISABLE SENDER FEEDBACK ON PROTOCOL VALIDATION FAILURE", + "props": [ + { + "class": "name", + "value": "SC-7 (23)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system disables feedback to senders on protocol format validation failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDisabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information which would otherwise be unavailable.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system disables feedback to senders on protocol format validation failure.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the disabling of feedback to senders on protocol format validation failure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-41", + "value": "NIST Special Publication 800-41" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-77", + "value": "NIST Special Publication 800-77" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.8", + "title": "TRANSMISSION CONFIDENTIALITY AND INTEGRITY", + "props": [ + { + "class": "name", + "value": "SC-8" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects the [Selection (one or more): confidentiality; integrity] of transmitted information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to both internal and external networks and all types of information system components from which information can be transmitted (e.g., servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication paths outside the physical protection of a controlled boundary are exposed to the possibility of interception and modification. Protecting the confidentiality and/or integrity of organizational information can be accomplished by physical means (e.g., by employing protected distribution systems) or by logical means (e.g., employing encryption techniques). Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services (i.e., services which can be highly specialized to individual customer needs), may find it difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality/integrity. In such situations, organizations determine what types of confidentiality/integrity services are available in standard, commercial telecommunication service packages. If it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, organizations implement appropriate compensating security controls or explicitly accept the additional risk.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#pe.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system protects one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-8-1.", + "prose": [ + "\u003cp class=\"decision\"\u003econfidentiality of transmitted information; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-8-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegrity of transmitted information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing transmission confidentiality and/or integrity\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.8.1.", + "title": "CRYPTOGRAPHIC OR ALTERNATE PHYSICAL PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-8 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to [Selection (one or more): prevent unauthorized disclosure of information; detect changes to information] during transmission unless otherwise protected by \u003cinsert param-id=\"sc-8_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEncrypting information for transmission protects information from unauthorized disclosure and modification. Cryptographic mechanisms implemented to protect information integrity include, for example, cryptographic hash functions which have common application in digital signatures, checksums, and message authentication codes. Alternative physical security safeguards include, for example, protected distribution systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-8.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines physical safeguards to be implemented to protect information during transmission when cryptographic mechanisms are not implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements cryptographic mechanisms to do one or more of the following during transmission unless otherwise protected by organization-defined alternative physical safeguards:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-8.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprevent unauthorized disclosure of information; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edetect changes to information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(1)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alternative physical safeguards\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for defining and implementing alternative physical safeguards\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-8_a", + "desc": "organization-defined alternative physical safeguards", + "value": "organization-defined alternative physical safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.8.2.", + "title": "PRE / POST TRANSMISSION HANDLING", + "props": [ + { + "class": "name", + "value": "SC-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system maintains the [Selection (one or more): confidentiality; integrity] of information during preparation for transmission and during reception.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation can be either unintentionally or maliciously disclosed or modified during preparation for transmission or during reception including, for example, during aggregation, at protocol transformation points, and during packing/unpacking. These unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system maintains one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-8.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003econfidentiality of information during preparation for transmission;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econfidentiality of information during reception; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegrity of information during preparation for transmission;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegrity of information during reception.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing transmission confidentiality and/or integrity\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.8.3.", + "title": "CRYPTOGRAPHIC PROTECTION FOR MESSAGE EXTERNALS", + "props": [ + { + "class": "name", + "value": "SC-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to protect message externals unless otherwise protected by \u003cinsert param-id=\"sc-8_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses protection against unauthorized disclosure of information. Message externals include, for example, message headers/routing information. This control enhancement prevents the exploitation of message externals and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Header/routing information is sometimes transmitted unencrypted because the information is not properly identified by organizations as having significant value or because encrypting the information can result in lower network performance and/or higher costs. Alternative physical safeguards include, for example, protected distribution systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-8.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines alternative physical safeguards to be implemented to protect message externals; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements cryptographic mechanisms to protect message externals unless otherwise protected by organization-defined alternative physical safeguards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity for message externals\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alternative physical safeguards\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for defining and implementing alternative physical safeguards\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-8_b", + "desc": "organization-defined alternative physical safeguards", + "value": "organization-defined alternative physical safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.8.4.", + "title": "CONCEAL / RANDOMIZE COMMUNICATIONS", + "props": [ + { + "class": "name", + "value": "SC-8 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by \u003cinsert param-id=\"sc-8_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses protection against unauthorized disclosure of information. Communication patterns include, for example, frequency, periods, amount, and predictability. Changes to communications patterns can reveal information having intelligence value especially when combined with other available information related to missions/business functions supported by organizational information systems. This control enhancement prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed/random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical safeguards include, for example, protected distribution systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-8.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines alternative physical safeguards to be implemented to protect against unauthorized disclosure of communication patterns;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, unless otherwise protected by organization-defined alternative physical safeguards, implements cryptographic mechanisms to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(4)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-8.4.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003econceal communication patterns; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(4)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-8.4.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erandomize communication patterns.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-8(4)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms supporting and/or implementing concealment or randomization of communications patterns\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alternative physical safeguards\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for defining and implementing alternative physical safeguards\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-8_c", + "desc": "organization-defined alternative physical safeguards", + "value": "organization-defined alternative physical safeguards" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#197", + "value": "FIPS Publication 197" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-52", + "value": "NIST Special Publication 800-52" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-77", + "value": "NIST Special Publication 800-77" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-81", + "value": "NIST Special Publication 800-81" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-113", + "value": "NIST Special Publication 800-113" + } + ] + }, + { + "citations": [ + { + "href": "https://www.cnss.gov/policies.html", + "value": "CNSS Policy 15" + } + ] + }, + { + "citations": [ + { + "href": "http://www.cnss.gov/Assets/pdf/nstissi_7003.pdf", + "value": "NSTISSI No. 7003" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.9", + "title": "TRANSMISSION CONFIDENTIALITY", + "props": [ + { + "class": "name", + "value": "SC-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.8" + } + ] + }, + { + "class": "SP800-53", + "id": "sc.10", + "title": "NETWORK DISCONNECT", + "params": [ + { + "id": "sc-10_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "SC-10" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system terminates the network connection associated with a communications session at the end of the session or after \u003cinsert param-id=\"sc-10_a\"/\u003e of inactivity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. Time periods of inactivity may be established by organizations and include, for example, time periods by type of network access or for specific network accesses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-10-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a time period of inactivity after which the information system terminates a network connection associated with a communications session; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-10[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-10-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system terminates the network connection associated with a communication session at the end of the session or after the organization-defined time period of inactivity.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-10[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing network disconnect\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing network disconnect capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.11", + "title": "TRUSTED PATH", + "params": [ + { + "id": "sc-11_a", + "desc": "organization-defined security functions to include at a minimum, information system authentication and re-authentication", + "value": "organization-defined security functions to include at a minimum, information system authentication and re-authentication" + } + ], + "props": [ + { + "class": "name", + "value": "SC-11" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system establishes a trusted communications path between the user and the following security functions of the system: \u003cinsert param-id=\"sc-11_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTrusted paths are mechanisms by which users (through input devices) can communicate directly with security functions of information systems with the requisite assurance to support information security policies. The mechanisms can be activated only by users or the security functions of organizational information systems. User responses via trusted paths are protected from modifications by or disclosure to untrusted applications. Organizations employ trusted paths for high-assurance connections between security functions of information systems and users (e.g., during system logons). Enforcement of trusted communications paths is typically provided via an implementation that meets the reference monitor concept.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#ac.25" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-11-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security functions of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-11[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-11-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization-defined security functions include at a minimum, information system authentication and re-authentication; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-11[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-11-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system establishes a trusted communications path between the user and the organization-defined security functions of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-11[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing trusted communications paths\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eassessment results from independent, testing organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing trusted communications paths\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.11.1.", + "title": "LOGICAL ISOLATION", + "props": [ + { + "class": "name", + "value": "SC-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides a trusted communications path that is logically isolated and distinguishable from other paths.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides a trusted communications path that is:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-11.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003elogically isolated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-11(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-11.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edistinguishable from other paths.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-11(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing trusted communications paths\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eassessment results from independent, testing organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing trusted communications paths\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.12", + "title": "CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT", + "params": [ + { + "id": "sc-12_a", + "desc": "organization-defined requirements for key generation, distribution, storage, access, and destruction", + "value": "organization-defined requirements for key generation, distribution, storage, access, and destruction" + } + ], + "props": [ + { + "class": "name", + "value": "SC-12" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with \u003cinsert param-id=\"sc-12_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance, specifying appropriate options, levels, and parameters. Organizations manage trust stores to ensure that only approved trust anchors are in such trust stores. This includes certificates with visibility external to organizational information systems and certificates related to the internal operations of systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + }, + { + "href": "#sc.17" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-12-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines requirements for cryptographic key:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-12-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003egeneration;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-12-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edistribution;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-12-1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003estorage;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-12-1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-12-1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003edestruction; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12[1][e]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-12-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes and manages cryptographic keys for required cryptography employed within the information system in accordance with organization-defined requirements for key generation, distribution, storage, access, and destruction.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cryptographic key establishment and management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for cryptographic key establishment and/or management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing cryptographic key establishment and management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.12.1.", + "title": "AVAILABILITY", + "props": [ + { + "class": "name", + "value": "SC-12 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization maintains availability of information in the event of the loss of cryptographic keys by users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEscrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys (e.g., due to forgotten passphrase).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization maintains availability of information in the event of the loss of cryptographic keys by users.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cryptographic key establishment, management, and recovery\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for cryptographic key establishment or management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing cryptographic key establishment and management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.12.2.", + "title": "SYMMETRIC KEYS", + "props": [ + { + "class": "name", + "value": "SC-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization produces, controls, and distributes symmetric cryptographic keys using [Selection: NIST FIPS-compliant; NSA-approved] key management technology and processes.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization produces, controls, and distributes symmetric cryptographic keys using one of the following: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-12.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eNIST FIPS-compliant key management technology and processes; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-12.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eNSA-approved key management technology and processes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cryptographic key establishment and management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of FIPS validated cryptographic products\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of NSA-approved cryptographic products\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for cryptographic key establishment or management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing symmetric cryptographic key establishment and management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.12.3.", + "title": "ASYMMETRIC KEYS", + "props": [ + { + "class": "name", + "value": "SC-12 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization produces, controls, and distributes asymmetric cryptographic keys using [Selection: NSA-approved key management technology and processes; approved PKI Class 3 certificates or prepositioned keying material; approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user�s private key].\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization produces, controls, and distributes asymmetric cryptographic keys using one of the following: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-12.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eNSA-approved key management technology and processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-12.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproved PKI Class 3 certificates or prepositioned keying material; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-12.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eapproved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user’s private key.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-12(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cryptographic key establishment and management\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of NSA-approved cryptographic products\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of approved PKI Class 3 and Class 4 certificates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for cryptographic key establishment or management\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for PKI certificates\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing asymmetric cryptographic key establishment and management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.12.4.", + "title": "PKI CERTIFICATES", + "props": [ + { + "class": "name", + "value": "SC-12 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.12" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.12.5.", + "title": "PKI CERTIFICATES / HARDWARE TOKENS", + "props": [ + { + "class": "name", + "value": "SC-12 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-56", + "value": "NIST Special Publication 800-56" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-57", + "value": "NIST Special Publication 800-57" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.13", + "title": "CRYPTOGRAPHIC PROTECTION", + "params": [ + { + "id": "sc-13_a", + "desc": "organization-defined cryptographic uses and type of cryptography required for each use", + "value": "organization-defined cryptographic uses and type of cryptography required for each use" + } + ], + "props": [ + { + "class": "name", + "value": "SC-13" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"sc-13_a\"/\u003e in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptography can be employed to support a variety of security solutions including, for example, the protection of classified and Controlled Unclassified Information, the provision of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances for such information but lack the necessary formal access approvals. Cryptography can also be used to support random number generation and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. This control does not impose any requirements on organizations to use cryptography. However, if cryptography is required based on the selection of other security controls, organizations define each type of cryptographic use and the type of cryptography required (e.g., protection of classified information: NSA-approved cryptography; provision of digital signatures: FIPS-validated cryptography).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.7" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#au.9" + }, + { + "href": "#au.10" + }, + { + "href": "#cm.11" + }, + { + "href": "#cp.9" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.7" + }, + { + "href": "#ma.4" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#sa.4" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.28" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-13-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines cryptographic uses; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-13[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-13-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the type of cryptography required for each use; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-13[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-13-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements the organization-defined cryptographic uses and type of cryptography required for each use in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-13[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing cryptographic protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic module validation certificates\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of FIPS validated cryptographic modules\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for cryptographic protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing cryptographic protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.13.1.", + "title": "FIPS-VALIDATED CRYPTOGRAPHY", + "props": [ + { + "class": "name", + "value": "SC-13 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.13.2.", + "title": "NSA-APPROVED CRYPTOGRAPHY", + "props": [ + { + "class": "name", + "value": "SC-13 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.13.3.", + "title": "INDIVIDUALS WITHOUT FORMAL ACCESS APPROVALS", + "props": [ + { + "class": "name", + "value": "SC-13 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.13.4.", + "title": "DIGITAL SIGNATURES", + "props": [ + { + "class": "name", + "value": "SC-13 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.13" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html", + "value": "FIPS Publication 140" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/cryptval", + "value": "http://csrc.nist.gov/cryptval" + } + ] + }, + { + "citations": [ + { + "href": "http://www.cnss.gov", + "value": "http://www.cnss.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.14", + "title": "PUBLIC ACCESS PROTECTIONS", + "props": [ + { + "class": "name", + "value": "SC-14" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eCapability provided by AC-2, AC-3, AC-5, AC-6, SI-3, SI-4, SI-5, SI-7, SI-10\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.5" + }, + { + "href": "#si.7" + }, + { + "href": "#si.10" + } + ] + }, + { + "class": "SP800-53", + "id": "sc.15", + "title": "COLLABORATIVE COMPUTING DEVICES", + "params": [ + { + "id": "sc-15_a", + "desc": "organization-defined exceptions where remote activation is to be allowed", + "value": "organization-defined exceptions where remote activation is to be allowed" + } + ], + "props": [ + { + "class": "name", + "value": "SC-15" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-15a.", + "prose": [ + "\u003cp class=\"description\"\u003eProhibits remote activation of collaborative computing devices with the following exceptions: \u003cinsert param-id=\"sc-15_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15a." + } + ] + }, + { + "class": "item", + "id": "smm_sc-15b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides an explicit indication of use to users physically present at the devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCollaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.21" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-15.a.", + "props": [ + { + "class": "name", + "value": "SC-15(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-15.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines exceptions where remote activation of collaborative computing devices is to be allowed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-15.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prohibits remote activation of collaborative computing devices, except for organization-defined exceptions where remote activation is to be allowed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-15.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides an explicit indication of use to users physically present at the devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing collaborative computing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing management of remote activation of collaborative computing devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms providing an indication of use of collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.15.1.", + "title": "PHYSICAL DISCONNECT", + "props": [ + { + "class": "name", + "value": "SC-15 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailing to physically disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to physically disconnect from such devices after a collaborative computing session helps to ensure that participants actually carry out the disconnect activity without having to go through complex and tedious procedures.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing collaborative computing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing physical disconnect of collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.15.2.", + "title": "BLOCKING INBOUND / OUTBOUND COMMUNICATIONS TRAFFIC", + "props": [ + { + "class": "name", + "value": "SC-15 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.15.3.", + "title": "DISABLING / REMOVAL IN SECURE WORK AREAS", + "props": [ + { + "class": "name", + "value": "SC-15 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization disables or removes collaborative computing devices from \u003cinsert param-id=\"sc-15_b\"/\u003e in \u003cinsert param-id=\"sc-15_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailing to disable or remove collaborative computing devices from information systems or information system components can result in subsequent compromises of organizational information including, for example, eavesdropping on conversations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-15.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems or information system components from which collaborative computing devices are to be disabled or removed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-15.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines secure work areas where collaborative computing devices are to be disabled or removed from information systems or information system components placed in such work areas; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-15.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisables or removes collaborative computing devices from organization-defined information systems or information system components in organization-defined secure work areas.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing collaborative computing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of secure work areas\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation systems or information system components in secured work areas where collaborative computing devices are to be disabled or removed\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the capability to disable collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-15_b", + "desc": "organization-defined information systems or information system components", + "value": "organization-defined information systems or information system components" + }, + { + "id": "sc-15_c", + "desc": "organization-defined secure work areas", + "value": "organization-defined secure work areas" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.15.4.", + "title": "EXPLICITLY INDICATE CURRENT PARTICIPANTS", + "props": [ + { + "class": "name", + "value": "SC-15 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system provides an explicit indication of current participants in \u003cinsert param-id=\"sc-15_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement helps to prevent unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-15.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines online meetings and teleconferences for which an explicit indication of current participants is to be provided; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-15.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides an explicit indication of current participants in organization-defined meetings and teleconferences.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing collaborative computing\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of types of meetings and teleconferences requiring explicit indication of current participants\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the capability to indicate participants on collaborative computing devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-15_d", + "desc": "organization-defined online meetings and teleconferences", + "value": "organization-defined online meetings and teleconferences" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.16", + "title": "TRANSMISSION OF SECURITY ATTRIBUTES", + "params": [ + { + "id": "sc-16_a", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + } + ], + "props": [ + { + "class": "name", + "value": "SC-16" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system associates \u003cinsert param-id=\"sc-16_a\"/\u003e with information exchanged between information systems and between system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity attributes can be explicitly or implicitly associated with the information contained in organizational information systems or system components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-16-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security attributes to be associated with information exchanged:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-16[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-16-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ebetween information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-16[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-16-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ebetween system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-16[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-16-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system associates organization-defined security attributes with information exchanged:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-16[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-16-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ebetween information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-16[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-16-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ebetween system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-16[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transmission of security attributes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing transmission of security attributes between information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.16.1.", + "title": "INTEGRITY VALIDATION", + "props": [ + { + "class": "name", + "value": "SC-16 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system validates the integrity of transmitted security attributes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement ensures that the verification of the integrity of transmitted information includes security attributes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.10" + }, + { + "href": "#sc.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system validates the integrity of transmitted security attributes.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing transmission of security attributes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing validation of the integrity of transmitted security attributes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.17", + "title": "PUBLIC KEY INFRASTRUCTURE CERTIFICATES", + "params": [ + { + "id": "sc-17_a", + "desc": "organization-defined certificate policy", + "value": "organization-defined certificate policy" + } + ], + "props": [ + { + "class": "name", + "value": "SC-17" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization issues public key certificates under an \u003cinsert param-id=\"sc-17_a\"/\u003e or obtains public key certificates from an approved service provider.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor all certificates, organizations manage information system trust stores to ensure only approved trust anchors are in the trust stores. This control addresses both certificates with visibility external to organizational information systems and certificates related to the internal operations of systems, for example, application-specific time services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-17-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a certificate policy for issuing public key certificates;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-17[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-17-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eissues public key certificates:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-17[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-17-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eunder an organization-defined certificate policy: or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-17[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-17-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtains public key certificates from an approved service provider.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-17[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing public key infrastructure certificates\u003c/p\u003e", + "\u003cp class=\"object\"\u003epublic key certificate policy or policies\u003c/p\u003e", + "\u003cp class=\"object\"\u003epublic key issuing process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for issuing public key certificates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eservice providers\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing the management of public key infrastructure certificates\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2005/m05-24.pdf", + "value": "OMB Memorandum 05-24" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-32", + "value": "NIST Special Publication 800-32" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.18", + "title": "MOBILE CODE", + "props": [ + { + "class": "name", + "value": "SC-18" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-18a.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines acceptable and unacceptable mobile code and mobile code technologies;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18a." + } + ] + }, + { + "class": "item", + "id": "smm_sc-18b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18b." + } + ] + }, + { + "class": "item", + "id": "smm_sc-18c.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes, monitors, and controls the use of mobile code within the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDecisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices (e.g., smart phones). Mobile code policy and procedures address preventing the development, acquisition, or introduction of unacceptable mobile code within organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + }, + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-18.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines acceptable and unacceptable mobile code and mobile code technologies;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-18.b.", + "props": [ + { + "class": "name", + "value": "SC-18(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-18.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes usage restrictions for acceptable mobile code and mobile code technologies;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-18.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes implementation guidance for acceptable mobile code and mobile code technologies;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-18.c.", + "props": [ + { + "class": "name", + "value": "SC-18(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-18.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes the use of mobile code within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-18.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors the use of mobile code within the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-18.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols the use of mobile code within the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(c)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing mobile code\u003c/p\u003e", + "\u003cp class=\"object\"\u003emobile code usage restrictions, mobile code implementation policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of acceptable mobile code and mobile code technologies\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of unacceptable mobile code and mobile technologies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing mobile code\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for controlling, authorizing, monitoring, and restricting mobile code\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the management of mobile code\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the monitoring of mobile code\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.18.1.", + "title": "IDENTIFY UNACCEPTABLE CODE / TAKE CORRECTIVE ACTIONS", + "props": [ + { + "class": "name", + "value": "SC-18 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system identifies \u003cinsert param-id=\"sc-18_a\"/\u003e and takes \u003cinsert param-id=\"sc-18_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrective actions when unacceptable mobile code is detected include, for example, blocking, quarantine, or alerting administrators. Blocking includes, for example, preventing transmission of word processing files with embedded macros when such macros have been defined to be unacceptable mobile code.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-18.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines unacceptable mobile code to be identified by the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines correctives actions to be taken when the information system identifies organization-defined unacceptable mobile code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(1)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-18.1.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies organization-defined unacceptable mobile code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(1)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.1.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003etakes organization-defined corrective actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(1)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing mobile code\u003c/p\u003e", + "\u003cp class=\"object\"\u003emobile code usage restrictions, mobile code implementation policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of unacceptable mobile code\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of corrective actions to be taken when unacceptable mobile code is identified\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing mobile code\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing mobile code detection, inspection, and corrective capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-18_a", + "desc": "organization-defined unacceptable mobile code", + "value": "organization-defined unacceptable mobile code" + }, + { + "id": "sc-18_b", + "desc": "organization-defined corrective actions", + "value": "organization-defined corrective actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.18.2.", + "title": "ACQUISITION / DEVELOPMENT / USE", + "props": [ + { + "class": "name", + "value": "SC-18 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets \u003cinsert param-id=\"sc-18_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-18.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines requirements for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(2)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-18.2.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe acquisition of mobile code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(2)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.2.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe development of mobile code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(2)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.2.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe use of mobile code; 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Preventing automatic execution of mobile code includes, for example, disabling auto execute features on information system components employing portable storage devices such as Compact Disks (CDs), Digital Video Disks (DVDs), and Universal Serial Bus (USB) devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-18.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines software applications in which the automatic execution of mobile code is to be prohibited;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines actions to be enforced by the information system prior to executing mobile code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(4)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.4.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prevents the automatic execution of mobile code in the organization-defined software applications; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(4)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-18.4.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system enforces organization-defined actions prior to executing the code.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18(4)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing mobile code\u003c/p\u003e", + "\u003cp class=\"object\"\u003emobile code usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003emobile code 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Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. Additional artifacts include, for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples of authoritative data. The means to indicate the security status of child zones includes, for example, the use of delegation signer resource records in the DNS. The DNS security controls reflect (and are referenced from) OMB Memorandum 08-23. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.10" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.21" + }, + { + "href": "#sc.22" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-20.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides additional data origin and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-20(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-20.b.", + "prose": [ 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Information systems that provide name and address resolution services for local clients include, for example, recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.20" + }, + { + "href": "#sc.22" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-21-1.", + "prose": [ + "\u003cp class=\"decision\"\u003erequests data origin authentication on the name/address resolution responses the system receives from authoritative sources;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-21[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-21-2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequests data integrity verification on the name/address resolution responses the system receives from authoritative sources;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-21[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-21-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms data origin authentication on the name/address resolution responses the system receives from authoritative sources; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-21[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-21-4.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms data integrity verification on the name/address resolution responses the system receives from authoritative sources.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-21[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing secure name/address resolution service (recursive or caching resolver)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing DNS\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.21.1.", + "title": "DATA ORIGIN / INTEGRITY", + "props": [ + { + "class": "name", + "value": "SC-21 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-21\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.21" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-81", + "value": "NIST Special Publication 800-81" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.22", + "title": "ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE", + "props": [ + { + "class": "name", + "value": "SC-22" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems that provide name and address resolution services include, for example, domain name system (DNS) servers. To eliminate single points of failure and to enhance redundancy, organizations employ at least two authoritative domain name system servers, one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in particular roles (e.g., by address ranges, explicit lists).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.2" + }, + { + "href": "#sc.20" + }, + { + "href": "#sc.21" + }, + { + "href": "#sc.24" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information systems that collectively provide name/address resolution service for an organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-22-1.", + "prose": [ + "\u003cp class=\"decision\"\u003eare fault tolerant; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-22[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-22-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplement internal/external role separation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-22[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing architecture and provisioning for name/address resolution service\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eassessment results from independent, testing organizations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for managing DNS\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing name/address resolution service for fault tolerance and role separation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-81", + "value": "NIST Special Publication 800-81" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.23", + "title": "SESSION AUTHENTICITY", + "props": [ + { + "class": "name", + "value": "SC-23" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects the authenticity of communications sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses communications protection at the session, versus packet level (e.g., sessions in service-oriented architectures providing web-based services) and establishes grounds for confidence at both ends of communications sessions in ongoing identities of other parties and in the validity of information transmitted. Authenticity protection includes, for example, protecting against man-in-the-middle attacks/session hijacking and the insertion of false information into sessions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.10" + }, + { + "href": "#sc.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system protects the authenticity of communications sessions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session authenticity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing session authenticity\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.23.1.", + "title": "INVALIDATE SESSION IDENTIFIERS AT LOGOUT", + "props": [ + { + "class": "name", + "value": "SC-23 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system invalidates session identifiers upon user logout or other session termination.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement curtails the ability of adversaries from capturing and continuing to employ previously valid session IDs.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system invalidates session identifiers upon user logout or other session termination.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session authenticity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing session identifier invalidation upon session termination\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.23.2.", + "title": "USER-INITIATED LOGOUTS / MESSAGE DISPLAYS", + "props": [ + { + "class": "name", + "value": "SC-23 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-12 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.12.1." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.23.3.", + "title": "UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION", + "props": [ + { + "class": "name", + "value": "SC-23 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system generates a unique session identifier for each session with \u003cinsert param-id=\"sc-23_a\"/\u003e and recognizes only session identifiers that are system-generated.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement curtails the ability of adversaries from reusing previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers helps to protect against brute-force attacks to determine future session identifiers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-23.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines randomness requirements for generating a unique session identifier for each session;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-23(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-23.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system generates a unique session identifier for each session with organization-defined randomness requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-23(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-23.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system recognizes only session identifiers that are system-generated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-23(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session authenticity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing generating and monitoring unique session identifiers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing randomness requirements\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-23_a", + "desc": "organization-defined randomness requirements", + "value": "organization-defined randomness requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.23.4.", + "title": "UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION", + "props": [ + { + "class": "name", + "value": "SC-23 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-23 (3)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.23.3." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.23.5.", + "title": "ALLOWED CERTIFICATE AUTHORITIES", + "props": [ + { + "class": "name", + "value": "SC-23 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system only allows the use of \u003cinsert param-id=\"sc-23_b\"/\u003e for verification of the establishment of protected sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eReliance on certificate authorities (CAs) for the establishment of secure sessions includes, for example, the use of Secure Socket Layer (SSL) and/or Transport Layer Security (TLS) certificates. These certificates, after verification by the respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-23.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines certificate authorities to be allowed for verification of the establishment of protected sessions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-23(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-23.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system only allows the use of organization-defined certificate authorities for verification of the establishment of protected sessions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-23(5)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing session authenticity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of certificate authorities allowed for verification of the establishment of protected sessions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing management of certificate authorities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-23_b", + "desc": "organization-defined certificate authorities", + "value": "organization-defined certificate authorities" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-52", + "value": "NIST Special Publication 800-52" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-77", + "value": "NIST Special Publication 800-77" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-95", + "value": "NIST Special Publication 800-95" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.24", + "title": "FAIL IN KNOWN STATE", + "params": [ + { + "id": "sc-24_a", + "desc": "organization-defined known-state", + "value": "organization-defined known-state" + }, + { + "id": "sc-24_b", + "desc": "organization-defined types of failures", + "value": "organization-defined types of failures" + }, + { + "id": "sc-24_c", + "desc": "organization-defined system state information", + "value": "organization-defined system state information" + } + ], + "props": [ + { + "class": "name", + "value": "SC-24" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system fails to a \u003cinsert param-id=\"sc-24_a\"/\u003e for \u003cinsert param-id=\"sc-24_b\"/\u003e preserving \u003cinsert param-id=\"sc-24_c\"/\u003e in failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailure in a known state addresses security concerns in accordance with the mission/business needs of organizations. Failure in a known secure state helps to prevent the loss of confidentiality, integrity, or availability of information in the event of failures of organizational information systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission/business processes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.10" + }, + { + "href": "#cp.12" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.22" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-24-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a known-state to which the information system is to fail in the event of a system failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-24[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-24-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines types of failures for which the information system is to fail to an organization-defined known-state;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-24[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-24-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines system state information to be preserved in the event of a system failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-24[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-24-4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system fails to the organization-defined known-state for organization-defined types of failures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-24[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-24-5.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system preserves the organization-defined system state information in the event of a system failure.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-24[5]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system failure to known state\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of failures requiring information system to fail in a known state\u003c/p\u003e", + "\u003cp class=\"object\"\u003estate information to be preserved in system failure\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing fail-in-known state capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms preserving system state information in the event of a system failure\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.25", + "title": "THIN NODES", + "params": [ + { + "id": "sc-25_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-25" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-25_a\"/\u003e with minimal functionality and information storage.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe deployment of information system components with reduced/minimal functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every user endpoint, and may reduce the exposure of information, information systems, and services to cyber attacks.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.30" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-25-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components to be employed with minimal functionality and information storage; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-25[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-25-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined information system components with minimal functionality and information storage.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-25[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing use of thin nodes\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing thin nodes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.26", + "title": "HONEYPOTS", + "props": [ + { + "class": "name", + "value": "SC-26" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA honeypot is set up as a decoy to attract adversaries and to deflect their attacks away from the operational systems supporting organizational missions/business function. Depending upon the specific usage of the honeypot, consultation with the Office of the General Counsel before deployment may be needed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.30" + }, + { + "href": "#sc.44" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing use of honeypots\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing honey pots\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.26.1.", + "title": "DETECTION OF MALICIOUS CODE", + "props": [ + { + "class": "name", + "value": "SC-26 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-35\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.35" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.27", + "title": "PLATFORM-INDEPENDENT APPLICATIONS", + "params": [ + { + "id": "sc-27_a", + "desc": "organization-defined platform-independent applications", + "value": "organization-defined platform-independent applications" + } + ], + "props": [ + { + "class": "name", + "value": "SC-27" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system includes: \u003cinsert param-id=\"sc-27_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlatforms are combinations of hardware and software used to run software applications. Platforms include: (i) operating systems; (ii) the underlying computer architectures, or (iii) both. Platform-independent applications are applications that run on multiple platforms. Such applications promote portability and reconstitution on different platforms, increasing the availability of critical functions within organizations while information systems with specific operating systems are under attack.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.29" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-27-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines platform-independent applications; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-27[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-27-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system includes organization-defined platform-independent applications.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-27[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing platform-independent applications\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of platform-independent applications\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing platform-independent applications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.28", + "title": "PROTECTION OF INFORMATION AT REST", + "params": [ + { + "id": "sc-28_a", + "desc": "organization-defined information at rest", + "value": "organization-defined information at rest" + } + ], + "props": [ + { + "class": "name", + "value": "SC-28" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects the [Selection (one or more): confidentiality; integrity] of \u003cinsert param-id=\"sc-28_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the confidentiality and integrity of information at rest and covers user information and system information. Information at rest refers to the state of information when it is located on storage devices as specific components of information systems. System-related information requiring protection includes, for example, configurations or rule sets for firewalls, gateways, intrusion detection/prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. Organizations may also employ other security controls including, for example, secure off-line storage in lieu of online storage when adequate protection of information at rest cannot otherwise be achieved and/or continuous monitoring to identify malicious code at rest.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#pe.3" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + }, + { + "href": "#si.3" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-28-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information at rest requiring one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-28-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003econfidentiality protection; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-28-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eintegrity protection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-28-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system protects:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-28-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe confidentiality of organization-defined information at rest; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-28-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe integrity of organization-defined information at rest.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of information at rest\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information at rest requiring confidentiality and integrity protections\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.28.1.", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-28 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to prevent unauthorized disclosure and modification of \u003cinsert param-id=\"sc-28_b\"/\u003e on \u003cinsert param-id=\"sc-28_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSelection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to significant concentrations of digital media in organizational areas designated for media storage and also to limited quantities of media generally associated with information system components in operational environments (e.g., portable storage devices, mobile devices). Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields). Organizations employing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#sc.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-28.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information requiring cryptographic protection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-28.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system components with organization-defined information requiring cryptographic protection; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-28.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system employs cryptographic mechanisms to prevent unauthorized disclosure and modification of organization-defined information on organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28(1)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of information at rest\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms implementing confidentiality and integrity protections for information at rest\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-28_b", + "desc": "organization-defined information", + "value": "organization-defined information" + }, + { + "id": "sc-28_c", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.28.2.", + "title": "OFF-LINE STORAGE", + "props": [ + { + "class": "name", + "value": "SC-28 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization removes from online storage and stores off-line in a secure location \u003cinsert param-id=\"sc-28_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRemoving organizational information from online information system storage to off-line storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to off-line storage in lieu of protecting such information in online storage.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-28.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information to be removed from online storage and stored off-line in a secure location; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-28.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves organization-defined information from online storage; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-28.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003estores such information off-line in a secure location.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-28(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing protection of information at rest\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms and associated configuration documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eoff-line storage locations for information at rest\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing removal of information from online storage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing storage of information off-line\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-28_d", + "desc": "organization-defined information", + "value": "organization-defined information" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-56", + "value": "NIST Special Publication 800-56" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-57", + "value": "NIST Special Publication 800-57" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-111", + "value": "NIST Special Publication 800-111" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.29", + "title": "HETEROGENEITY", + "params": [ + { + "id": "sc-29_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-29" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs a diverse set of information technologies for \u003cinsert param-id=\"sc-29_a\"/\u003e in the implementation of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncreasing the diversity of information technologies within organizational information systems reduces the impact of potential exploitations of specific technologies and also defends against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one information system component will be equally effective against other system components, thus further increasing the adversary work factor to successfully complete planned cyber attacks. An increase in diversity may add complexity and management overhead which could ultimately lead to mistakes and unauthorized configurations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + }, + { + "href": "#sa.14" + }, + { + "href": "#sc.27" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-29-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components requiring a diverse set of information technologies to be employed in the implementation of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-29[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-29-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys a diverse set of information technologies for organization-defined information system components in the implementation of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-29[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of technologies deployed in the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for information system components or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information system acquisition, development, and implementation responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing employment of a diverse set of information technologies\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.29.1.", + "title": "VIRTUALIZATION TECHNIQUES", + "props": [ + { + "class": "name", + "value": "SC-29 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed \u003cinsert param-id=\"sc-29_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhile frequent changes to operating systems and applications pose configuration management challenges, the changes can result in an increased work factor for adversaries in order to carry out successful cyber attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems/applications, provide virtual changes that impede attacker success while reducing configuration management efforts. In addition, virtualization techniques can assist organizations in isolating untrustworthy software and/or software of dubious provenance into confined execution environments.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-29.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to change the diversity of operating systems and applications deployed using virtualization techniques; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-29(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-29.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-29(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of operating systems and applications deployed using virtualization techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for implementing approved virtualization techniques to the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing employment of a diverse set of information technologies\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing virtualization techniques\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-29_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.30", + "title": "CONCEALMENT AND MISDIRECTION", + "params": [ + { + "id": "sc-30_a", + "desc": "organization-defined concealment and misdirection techniques", + "value": "organization-defined concealment and misdirection techniques" + }, + { + "id": "sc-30_b", + "desc": "organization-defined information systems", + "value": "organization-defined information systems" + }, + { + "id": "sc-30_c", + "desc": "organization-defined time periods", + "value": "organization-defined time periods" + } + ], + "props": [ + { + "class": "name", + "value": "SC-30" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-30_a\"/\u003e for \u003cinsert param-id=\"sc-30_b\"/\u003e at \u003cinsert param-id=\"sc-30_c\"/\u003e to confuse and mislead adversaries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConcealment and misdirection techniques can significantly reduce the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. For example, virtualization techniques provide organizations with the ability to disguise information systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. Increased use of concealment/misdirection techniques including, for example, randomness, uncertainty, and virtualization, may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment/misdirection techniques may also provide organizations additional time to successfully perform core missions and business functions. Because of the time and effort required to support concealment/misdirection techniques, it is anticipated that such techniques would be used by organizations on a very limited basis.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.26" + }, + { + "href": "#sc.29" + }, + { + "href": "#si.14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-30-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines concealment and misdirection techniques to be employed to confuse and mislead adversaries potentially targeting organizational information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-30-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems for which organization-defined concealment and misdirection techniques are to be employed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-30-3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines time periods to employ organization-defined concealment and misdirection techniques for organization-defined information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-30-4.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined concealment and misdirection techniques for organization-defined information systems at organization-defined time periods to confuse and mislead adversaries.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of concealment and misdirection techniques to be employed for organizational information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for implementing concealment and misdirection techniques for information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing concealment and misdirection techniques\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.30.1.", + "title": "VIRTUALIZATION TECHNIQUES", + "props": [ + { + "class": "name", + "value": "SC-30 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-29 (1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.29.1." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.30.2.", + "title": "RANDOMNESS", + "props": [ + { + "class": "name", + "value": "SC-30 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-30_d\"/\u003e to introduce randomness into organizational operations and assets.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRandomness introduces increased levels of uncertainty for adversaries regarding the actions organizations take in defending against cyber attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations supporting critical missions/business functions. Uncertainty may also cause adversaries to hesitate before initiating or continuing attacks. Misdirection techniques involving randomness include, for example, performing certain routine actions at different times of day, employing different information technologies (e.g., browsers, search engines), using different suppliers, and rotating roles and responsibilities of organizational personnel.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-30.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines techniques to be employed to introduce randomness into organizational operations and assets; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-30.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined techniques to introduce randomness into organizational operations and assets.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of techniques to be employed to introduce randomness into organizational operations and assets\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for implementing concealment and misdirection techniques for information systems\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing randomness as a concealment and misdirection technique\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-30_d", + "desc": "organization-defined techniques", + "value": "organization-defined techniques" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.30.3.", + "title": "CHANGE PROCESSING / STORAGE LOCATIONS", + "props": [ + { + "class": "name", + "value": "SC-30 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization changes the location of \u003cinsert param-id=\"sc-30_e\"/\u003e [Selection: \u003cinsert param-id=\"sc-30_f\"/\u003e; at random time intervals]].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAdversaries target critical organizational missions/business functions and the information resources supporting those missions and functions while at the same time, trying to minimize exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational information systems targeted by adversaries, make such systems more susceptible to cyber attacks with less adversary cost and effort to be successful. Changing organizational processing and storage locations (sometimes referred to as moving target defense) addresses the advanced persistent threat (APT) using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the information resources (i.e., processing and/or storage) supporting critical missions and business functions. Changing locations of processing activities and/or storage sites introduces uncertainty into the targeting activities by adversaries. This uncertainty increases the work factor of adversaries making compromises or breaches to organizational information systems much more difficult and time-consuming, and increases the chances that adversaries may inadvertently disclose aspects of tradecraft while attempting to locate critical organizational resources.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-30.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines processing and/or storage locations to be changed at time intervals specified by the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-30.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to change the location of organization-defined processing and/or storage; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-30.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges the location of organization-defined processing and/or storage at one of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(3)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-30.3.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined time intervals; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(3)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-30.3.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erandom time intervals.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(3)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of processing/storage locations to be changed at organizational time intervals\u003c/p\u003e", + "\u003cp class=\"object\"\u003echange control records\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for changing processing and/or storage locations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing changing processing and/or storage locations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-30_e", + "desc": "organization-defined processing and/or storage", + "value": "organization-defined processing and/or storage" + }, + { + "id": "sc-30_f", + "desc": "organization-defined time frequency", + "value": "organization-defined time frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.30.4.", + "title": "MISLEADING INFORMATION", + "props": [ + { + "class": "name", + "value": "SC-30 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs realistic, but misleading information in \u003cinsert param-id=\"sc-30_g\"/\u003e with regard to its security state or posture.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement misleads potential adversaries regarding the nature and extent of security safeguards deployed by organizations. As a result, adversaries may employ incorrect (and as a result ineffective) attack techniques. One way of misleading adversaries is for organizations to place misleading information regarding the specific security controls deployed in external information systems that are known to be accessed or targeted by adversaries. Another technique is the use of deception nets (e.g., honeynets, virtualized environments) that mimic actual aspects of organizational information systems but use, for example, out-of-date software configurations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-30.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components in which to employ realistic, but misleading information regarding its security state or posture; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-30.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys realistic, but misleading information in organization-defined information system components with regard to its security state or posture.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for defining and employing realistic, but misleading information about the security posture of information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing employment of realistic, but misleading information about the security posture of information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-30_g", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.30.5.", + "title": "CONCEALMENT OF SYSTEM COMPONENTS", + "props": [ + { + "class": "name", + "value": "SC-30 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-30_h\"/\u003e to hide or conceal \u003cinsert param-id=\"sc-30_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBy hiding, disguising, or otherwise concealing critical information system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means for organizations to hide and/or conceal information system components include, for example, configuration of routers or the use of honeynets or virtualization techniques.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-30.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines techniques to be employed to hide or conceal information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-30.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components to be hidden or concealed using organization-defined techniques; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-30.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined techniques to hide or conceal organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-30(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of techniques employed to hide or conceal information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system components to be hidden or concealed\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for concealment of system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing techniques for concealment of system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-30_h", + "desc": "organization-defined techniques", + "value": "organization-defined techniques" + }, + { + "id": "sc-30_i", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.31", + "title": "COVERT CHANNEL ANALYSIS", + "props": [ + { + "class": "name", + "value": "SC-31" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-31a.", + "prose": [ + "\u003cp class=\"description\"\u003ePerforms a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for covert [Selection (one or more): storage; timing] channels; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31a." + } + ] + }, + { + "class": "item", + "id": "smm_sc-31b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstimates the maximum bandwidth of those channels.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of information systems containing export-controlled information and having connections to external networks (i.e., networks not controlled by organizations). Covert channel analysis is also meaningful for multilevel secure (MLS) information systems, multiple security level (MSL) systems, and cross-domain systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#pl.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-31.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-31.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ecovert storage channels; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-31.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecovert timing channels; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-31.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eestimates the maximum bandwidth of those channels.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecovert channel analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with covert channel analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for conducting covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the capability to estimate the bandwidth of covert channels\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.31.1.", + "title": "TEST COVERT CHANNELS FOR EXPLOITABILITY", + "props": [ + { + "class": "name", + "value": "SC-31 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests a subset of the identified covert channels to determine which channels are exploitable.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization tests a subset of identified covert channels to determine which channels are exploitable.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of covert channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecovert channel analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with covert channel analysis responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for testing covert channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing testing of covert channels analysis\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.31.2.", + "title": "MAXIMUM BANDWIDTH", + "props": [ + { + "class": "name", + "value": "SC-31 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reduces the maximum bandwidth for identified covert [Selection (one or more); storage; timing] channels to \u003cinsert param-id=\"sc-31_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system developers are in the best position to reduce the maximum bandwidth for identified covert storage and timing channels.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-31.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines values to be employed as the maximum bandwidth allowed for identified covert channels; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-31.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereduces the maximum bandwidth to organization-defined values for one or more of the following identified:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(2)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-31.2.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ecovert storage channels; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(2)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-31.2.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ecovert timing channels.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(2)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition contracts for information systems or services\u003c/p\u003e", + "\u003cp class=\"object\"\u003eacquisition documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecovert channel analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with covert channel analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for conducting covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the capability to reduce the bandwidth of covert channels\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-31_a", + "desc": "organization-defined values", + "value": "organization-defined values" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.31.3.", + "title": "MEASURE BANDWIDTH IN OPERATIONAL ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "SC-31 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization measures the bandwidth of \u003cinsert param-id=\"sc-31_b\"/\u003e in the operational environment of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses covert channel bandwidth in operational environments versus developmental environments. Measuring covert channel bandwidth in operational environments helps organizations to determine how much information can be covertly leaked before such leakage adversely affects organizational missions/business functions. Covert channel bandwidth may be significantly different when measured in those settings that are independent of the particular environments of operation (e.g., laboratories or development environments).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-31.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines subset of identified covert channels whose bandwidth is to be measured in the operational environment of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-31.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emeasures the bandwidth of the organization-defined subset of identified covert channels in the operational environment of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecovert channel analysis documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with covert channel analysis responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for conducting covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing covert channel analysis\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the capability to measure the bandwidth of covert channels\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-31_b", + "desc": "organization-defined subset of identified covert channels", + "value": "organization-defined subset of identified covert channels" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.32", + "title": "INFORMATION SYSTEM PARTITIONING", + "params": [ + { + "id": "sc-32_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "sc-32_b", + "desc": "organization-defined circumstances for physical separation of components", + "value": "organization-defined circumstances for physical separation of components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-32" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization partitions the information system into \u003cinsert param-id=\"sc-32_a\"/\u003e residing in separate physical domains or environments based on \u003cinsert param-id=\"sc-32_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system partitioning is a part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components from physically distinct components in separate racks in the same room, to components in separate rooms for the more critical components, to more significant geographical separation of the most critical components. Security categorization can guide the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned information system components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#sa.8" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-32-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines circumstances for physical separation of information system components into information system partitions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-32[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-32-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components to reside in separate physical domains or environments based on organization-defined circumstances for physical separation of components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-32[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-32-3.", + "prose": [ + "\u003cp class=\"decision\"\u003epartitions the information system into organization-defined information system components residing in separate physical domains or environments based on organization-defined circumstances for physical separation of components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-32[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system partitioning\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system physical domains (or environments)\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system facility diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system network diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing physical separation of information system components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.33", + "title": "TRANSMISSION PREPARATION INTEGRITY", + "props": [ + { + "class": "name", + "value": "SC-33" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.8" + } + ] + }, + { + "class": "SP800-53", + "id": "sc.34", + "title": "NON-MODIFIABLE EXECUTABLE PROGRAMS", + "params": [ + { + "id": "sc-34_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "sc-34_b", + "desc": "organization-defined applications", + "value": "organization-defined applications" + } + ], + "props": [ + { + "class": "name", + "value": "SC-34" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system at \u003cinsert param-id=\"sc-34_a\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-34a.", + "prose": [ + "\u003cp class=\"description\"\u003eLoads and executes the operating environment from hardware-enforced, read-only media; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34a." + } + ] + }, + { + "class": "item", + "id": "smm_sc-34b.", + "prose": [ + "\u003cp class=\"description\"\u003eLoads and executes \u003cinsert param-id=\"sc-34_b\"/\u003e from hardware-enforced, read-only media.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe term operating environment is defined as the specific code that hosts applications, for example, operating systems, executives, or monitors including virtual machine monitors (i.e., hypervisors). It can also include certain applications running directly on hardware platforms. Hardware-enforced, read-only media include, for example, Compact Disk-Recordable (CD-R)/Digital Video Disk-Recordable (DVD-R) disk drives and one-time programmable read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. The use of reprogrammable read-only memory can be accepted as read-only media provided: (i) integrity can be adequately protected from the point of initial writing to the insertion of the memory into the information system; and (ii) there are reliable hardware protections against reprogramming the memory while installed in organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-34-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system components for which the operating environment and organization-defined applications are to be loaded and executed from hardware-enforced, read-only media;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-34-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines applications to be loaded and executed from hardware-enforced, read-only media;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-34-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, at organization-defined information system components:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-34-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eloads and executes the operating environment from hardware-enforced, read-only media; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34[3](a)" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-34-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eloads and executes organization-defined applications from hardware-enforced, read-only media.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34[3](b)" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-modifiable executable programs\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of operating system components to be loaded from hardware-enforced, read-only media\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of applications to be loaded from hardware-enforced, read-only media\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia used to load and execute information system operating environment\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia used to load and execute information system applications\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing loading and executing the operating environment from hardware-enforced, read-only media\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing loading and executing applications from hardware-enforced, read-only media\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.34.1.", + "title": "NO WRITABLE STORAGE", + "props": [ + { + "class": "name", + "value": "SC-34 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-34_c\"/\u003e with no writeable storage that is persistent across component restart or power on/off.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement: (i) eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated information system components; and (ii) applies to both fixed and removable storage, with the latter being addressed directly or as specific restrictions imposed through access controls for mobile devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#mp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-34.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components to be employed with no writeable storage; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-34.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined information system components with no writeable storage that is persistent across component restart or power on/off.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-modifiable executable programs\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system components to be employed without writeable storage capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing employment of components with no writeable storage\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing persistent non-writeable storage across component restart and power on/off\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-34_c", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.34.2.", + "title": "INTEGRITY PROTECTION / READ-ONLY MEDIA", + "props": [ + { + "class": "name", + "value": "SC-34 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization protects the integrity of information prior to storage on read-only media and controls the media after such information has been recorded onto the media.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity safeguards prevent the substitution of media into information systems or the reprogramming of programmable read-only media prior to installation into the systems. Security safeguards include, for example, a combination of prevention, detection, and response.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.5" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.9" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#sa.12" + }, + { + "href": "#sc.28" + }, + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-34.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the integrity of the information prior to storage on read-only media; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-34.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols the media after such information has been recorded onto the media.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-modifiable executable programs\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing capability for protecting information integrity on read-only media prior to storage and after information has been recorded onto the media\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.34.3.", + "title": "HARDWARE-BASED PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-34 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_sc-34.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys hardware-based, write-protect for \u003cinsert param-id=\"sc-34_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_sc-34.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements specific procedures for \u003cinsert param-id=\"sc-34_e\"/\u003e to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34 (3)(b)" + } + ] + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-34.3.a.", + "props": [ + { + "class": "name", + "value": "SC-34(3)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-34.3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system firmware components for which hardware-based, write-protection is to be employed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(3)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-34.3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys hardware-based, write-protection for organization-defined information system firmware components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(3)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-34.3.b.", + "props": [ + { + "class": "name", + "value": "SC-34(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-34.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines individuals authorized to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(3)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-34.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements specific procedures for organization-defined authorized individuals to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34(3)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing firmware modifications\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for modifying firmware\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing hardware-based, write-protection for firmware\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-34_d", + "desc": "organization-defined information system firmware components", + "value": "organization-defined information system firmware components" + }, + { + "id": "sc-34_e", + "desc": "organization-defined authorized individuals", + "value": "organization-defined authorized individuals" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.35", + "title": "HONEYCLIENTS", + "props": [ + { + "class": "name", + "value": "SC-35" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHoneyclients differ from honeypots in that the components actively probe the Internet in search of malicious code (e.g., worms) contained on external websites. As with honeypots, honeyclients require some supporting isolation measures (e.g., virtualization) to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.26" + }, + { + "href": "#sc.44" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing honeyclients\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system components deployed to identify malicious websites and/or web-based malicious code\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing honeyclients\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.36", + "title": "DISTRIBUTED PROCESSING AND STORAGE", + "params": [ + { + "id": "sc-36_a", + "desc": "organization-defined processing and storage", + "value": "organization-defined processing and storage" + } + ], + "props": [ + { + "class": "name", + "value": "SC-36" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization distributes \u003cinsert param-id=\"sc-36_a\"/\u003e across multiple physical locations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDistributing processing and storage across multiple physical locations provides some degree of redundancy or overlap for organizations, and therefore increases the work factor of adversaries to adversely impact organizational operations, assets, and individuals. This control does not assume a single primary processing or storage location, and thus allows for parallel processing and storage.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-36-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines processing and storage to be distributed across multiple physical locations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-36[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-36-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edistributes organization-defined processing and storage across multiple physical locations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-36[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency planning policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003econtingency plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system physical locations (or environments) with distributed processing and storage\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system facility diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocessing site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003estorage site agreements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for distributing processing and storage across multiple physical locations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing capability for distributing processing and storage across multiple physical locations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.36.1.", + "title": "POLLING TECHNIQUES", + "props": [ + { + "class": "name", + "value": "SC-36 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs polling techniques to identify potential faults, errors, or compromises to \u003cinsert param-id=\"sc-36_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDistributed processing and/or storage may be employed to reduce opportunities for adversaries to successfully compromise the confidentiality, integrity, or availability of information and information systems. However, distribution of processing and/or storage components does not prevent adversaries from compromising one (or more) of the distributed components. Polling compares the processing results and/or storage content from the various distributed components and subsequently voting on the outcomes. Polling identifies potential faults, errors, or compromises in distributed processing and/or storage components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-36.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines distributed processing and storage components for which polling techniques are to be employed to identify potential faults, errors, or compromises; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-36(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-36.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys polling techniques to identify potential faults, errors, or compromises to organization-defined distributed processing and storage components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-36(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of distributed processing and storage components subject to polling\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system polling techniques and associated documentation or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing polling techniques\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-36_b", + "desc": "organization-defined distributed processing and storage components", + "value": "organization-defined distributed processing and storage components" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.37", + "title": "OUT-OF-BAND CHANNELS", + "params": [ + { + "id": "sc-37_a", + "desc": "organization-defined out-of-band channels", + "value": "organization-defined out-of-band channels" + }, + { + "id": "sc-37_b", + "desc": "organization-defined information, information system components, or devices", + "value": "organization-defined information, information system components, or devices" + }, + { + "id": "sc-37_c", + "desc": "organization-defined individuals or information systems", + "value": "organization-defined individuals or information systems" + } + ], + "props": [ + { + "class": "name", + "value": "SC-37" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-37_a\"/\u003e for the physical delivery or electronic transmission of \u003cinsert param-id=\"sc-37_b\"/\u003e to \u003cinsert param-id=\"sc-37_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOut-of-band channels include, for example, local (nonnetwork) accesses to information systems, network paths physically separate from network paths used for operational traffic, or nonelectronic paths such as the US Postal Service. This is in contrast with using the same channels (i.e., in-band channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability/exposure as in-band channels, and hence the confidentiality, integrity, or availability compromises of in-band channels will not compromise the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of many organizational items including, for example, identifiers/authenticators, configuration management changes for hardware, firmware, or software, cryptographic key management information, security updates, system/data backups, maintenance information, and malicious code protection updates.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.7" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ma.4" + }, + { + "href": "#sc.12" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-37-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines out-of-band channels to be employed for the physical delivery or electronic transmission of information, information system components, or devices to individuals or information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-37-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information, information system components, or devices for which physical delivery or electronic transmission of such information, information system components, or devices to individuals or information systems requires employment of organization-defined out-of-band channels;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-37-3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines individuals or information systems to which physical delivery or electronic transmission of organization-defined information, information system components, or devices is to be achieved via employment of organization-defined out-of-band channels; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-37-4.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined out-of-band channels for the physical delivery or electronic transmission of organization-defined information, information system components, or devices to organization-defined individuals or information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing use of out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eidentification and authentication policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003etypes of information, information system components, or devices requiring use of out-of-band channels for physical delivery or electronic transmission to authorized individuals or information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003ephysical delivery records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eelectronic transmission records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for use of out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing use of out-of-band channels\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.37.1.", + "title": "ENSURE DELIVERY / TRANSMISSION", + "props": [ + { + "class": "name", + "value": "SC-37 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-37_d\"/\u003e to ensure that only \u003cinsert param-id=\"sc-37_e\"/\u003e receive the \u003cinsert param-id=\"sc-37_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTechniques and/or methods employed by organizations to ensure that only designated information systems or individuals receive particular information, system components, or devices include, for example, sending authenticators via courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-37.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security safeguards to be employed to ensure that only designated individuals or information systems receive specific information, information system components, or devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-37.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines individuals or information systems designated to receive specific information, information system components, or devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-37.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information, information system components, or devices that only organization-defined individuals or information systems are designated to receive; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-37.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined security safeguards to ensure that only organization-defined individuals or information systems receive the organization-defined information, information system components, or devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-37(1)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing use of out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eidentification and authentication policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards to be employed to ensure designated individuals or information systems receive organization-defined information, information system components, or devices\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards for delivering designated information, information system components, or devices to designated individuals or information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information, information system components, or devices to be delivered to designated individuals or information systems\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for use of out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing use of out-of-band channels\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting/implementing safeguards to ensure delivery of designated information, system components, or devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-37_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "sc-37_e", + "desc": "organization-defined individuals or information systems", + "value": "organization-defined individuals or information systems" + }, + { + "id": "sc-37_f", + "desc": "organization-defined information, information system components, or devices", + "value": "organization-defined information, information system components, or devices" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.38", + "title": "OPERATIONS SECURITY", + "params": [ + { + "id": "sc-38_a", + "desc": "organization-defined operations security safeguards", + "value": "organization-defined operations security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-38" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs \u003cinsert param-id=\"sc-38_a\"/\u003e to protect key organizational information throughout the system development life cycle.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOperations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: (i) identification of critical information (e.g., the security categorization process); (ii) analysis of threats; (iii) analysis of vulnerabilities; (iv) assessment of risks; and (v) the application of appropriate countermeasures. OPSEC safeguards are applied to both organizational information systems and the environments in which those systems operate. OPSEC safeguards help to protect the confidentiality of key information including, for example, limiting the sharing of information with suppliers and potential suppliers of information system components, information technology products and services, and with other non-organizational elements and individuals. Information critical to mission/business success includes, for example, user identities, element uses, suppliers, supply chain processes, functional and security requirements, system design specifications, testing protocols, and security control implementation details.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.2" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-38-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines operations security safeguards to be employed to protect key organizational information throughout the system development life cycle; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-38[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-38-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined operations security safeguards to protect key organizational information throughout the system development life cycle.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-38[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing operations security\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of operations security safeguards\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity control assessments\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessments\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethreat and vulnerability assessments\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplans of action and milestones\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem development life cycle documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for protecting organizational information throughout the SDLC\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing safeguards to protect organizational information throughout the SDLC\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.39", + "title": "PROCESS ISOLATION", + "props": [ + { + "class": "name", + "value": "SC-39" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system maintains a separate execution domain for each executing process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each information system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. This capability is available in most commercial operating systems that employ multi-state processor technologies.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.6" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.8" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system maintains a separate execution domain for each executing process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification and validation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etesting and evaluation documentation, other relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system developers/integrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system security architect\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing separate execution domains for each executing process\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.39.1.", + "title": "HARDWARE SEPARATION", + "props": [ + { + "class": "name", + "value": "SC-39 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements underlying hardware separation mechanisms to facilitate process separation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHardware-based separation of information system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Underlying hardware separation mechanisms include, for example, hardware memory management.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements underlying hardware separation mechanisms to facilitate process separation.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system documentation for hardware separation mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system documentation from vendors, manufacturers or developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification and validation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system capability implementing underlying hardware separation mechanisms for process separation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.39.2.", + "title": "THREAD ISOLATION", + "props": [ + { + "class": "name", + "value": "SC-39 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system maintains a separate execution domain for each thread in \u003cinsert param-id=\"sc-39_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-39.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines multi-threaded processing for which a separate execution domain is to be maintained for each thread in multi-threaded processing; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-39(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-39.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains a separate execution domain for each thread in organization-defined multi-threaded processing.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-39(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system execution domains for each thread in multi-threaded processing\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system documentation for multi-threaded processing\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system documentation from vendors, manufacturers or developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eindependent verification and validation documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system developers/integrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation system capability implementing a separate execution domain for each thread in multi-threaded processing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-39_a", + "desc": "organization-defined multi-threaded processing", + "value": "organization-defined multi-threaded processing" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.40", + "title": "WIRELESS LINK PROTECTION", + "params": [ + { + "id": "sc-40_a", + "desc": "organization-defined wireless links", + "value": "organization-defined wireless links" + }, + { + "id": "sc-40_b", + "desc": "organization-defined types of signal parameter attacks or references to sources for such attacks", + "value": "organization-defined types of signal parameter attacks or references to sources for such attacks" + } + ], + "props": [ + { + "class": "name", + "value": "SC-40" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system protects external and internal \u003cinsert param-id=\"sc-40_a\"/\u003e from \u003cinsert param-id=\"sc-40_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to internal and external wireless communication links that may be visible to individuals who are not authorized information system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or to spoof users of organizational information systems. This control reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement this control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#sc.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-40-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-40-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einternal wireless links to be protected from particular types of signal parameter attacks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-40-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eexternal wireless links to be protected from particular types of signal parameter attacks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-40-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines types of signal parameter attacks or references to sources for such attacks that are based upon exploiting the signal parameters of organization-defined internal and external wireless links; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-40-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system protects internal and external organization-defined wireless links from organization-defined types of signal parameter attacks or references to sources for such attacks.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless link protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist or internal and external wireless links\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of signal parameter attacks or references to sources for attacks\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing protection of wireless links\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.40.1.", + "title": "ELECTROMAGNETIC INTERFERENCE", + "props": [ + { + "class": "name", + "value": "SC-40 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms that achieve \u003cinsert param-id=\"sc-40_c\"/\u003e against the effects of intentional electromagnetic interference.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The control enhancement may also coincidentally help to mitigate the effects of unintentional jamming due to interference from legitimate transmitters sharing the same spectrum. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine levels of wireless link availability and performance/cryptography needed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-40.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines level of protection to be employed against the effects of intentional electromagnetic interference; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-40.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system employs cryptographic mechanisms that achieve organization-defined level of protection against the effects of intentional electromagnetic interference.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless link protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system communications hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity categorization results\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms enforcing protections against effects of intentional electromagnetic interference\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-40_c", + "desc": "organization-defined level of protection", + "value": "organization-defined level of protection" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.40.2.", + "title": "REDUCE DETECTION POTENTIAL", + "props": [ + { + "class": "name", + "value": "SC-40 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to reduce the detection potential of wireless links to \u003cinsert param-id=\"sc-40_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is needed for covert communications and protecting wireless transmitters from being geo-located by their transmissions. The control enhancement ensures that spread spectrum waveforms used to achieve low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine the levels to which wireless links should be undetectable.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-40.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines level of reduction to be achieved to reduce the detection potential of wireless links; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-40.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements cryptographic mechanisms to reduce the detection potential of wireless links to organization-defined level of reduction.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing wireless link protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system communications hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity categorization results\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms enforcing protections to reduce detection of wireless links\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-40_d", + "desc": "organization-defined level of reduction", + "value": "organization-defined level of reduction" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.40.3.", + "title": "IMITATIVE OR MANIPULATIVE COMMUNICATIONS DECEPTION", + "props": [ + { + "class": "name", + "value": "SC-40 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based upon signal parameters alone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements cryptographic mechanisms to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-40.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentify wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-40.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system communications hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms enforcing wireless link protections against imitative or manipulative communications deception\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.40.4.", + "title": "SIGNAL PARAMETER IDENTIFICATION", + "props": [ + { + "class": "name", + "value": "SC-40 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to prevent the identification of \u003cinsert param-id=\"sc-40_e\"/\u003e by using the transmitter signal parameters.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRadio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission/user identification. This control enhancement protects against the unique identification of wireless transmitters for purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. This control enhancement helps assure mission success when anonymity is required.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-40.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines wireless transmitters for which cryptographic mechanisms are to be implemented to prevent identification of such transmitters by using the transmitter signal parameters; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-40.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements cryptographic mechanisms to prevent the identification of organization-defined wireless transmitters by using the transmitter signal parameters.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-40(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system communications hardware and software\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms preventing the identification of wireless transmitters\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-40_e", + "desc": "organization-defined wireless transmitters", + "value": "organization-defined wireless transmitters" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.41", + "title": "PORT AND I/O DEVICE ACCESS", + "params": [ + { + "id": "sc-41_a", + "desc": "organization-defined connection ports or input/output devices", + "value": "organization-defined connection ports or input/output devices" + }, + { + "id": "sc-41_b", + "desc": "organization-defined information systems or information system components", + "value": "organization-defined information systems or information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-41" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization physically disables or removes \u003cinsert param-id=\"sc-41_a\"/\u003e on \u003cinsert param-id=\"sc-41_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConnection ports include, for example, Universal Serial Bus (USB) and Firewire (IEEE 1394). Input/output (I/O) devices include, for example, Compact Disk (CD) and Digital Video Disk (DVD) drives. Physically disabling or removing such connection ports and I/O devices helps prevent exfiltration of information from information systems and the introduction of malicious code into systems from those ports/devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-41-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines connection ports or input/output devices to be physically disabled or removed on information systems or information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-41[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-41-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information systems or information system components with organization-defined connection ports or input/output devices that are to be physically disabled or removed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-41[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-41-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ephysically disables or removes organization-defined connection ports or input/output devices on organization-defined information systems or information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-41[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing port and input/output device access\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation systems or information system components list of connection ports or input/output devices to be physically disabled or removed on information systems or information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing disabling of connection ports or input/output devices\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.42", + "title": "SENSOR CAPABILITY AND DATA", + "params": [ + { + "id": "sc-42_a", + "desc": "organization-defined exceptions where remote activation of sensors is allowed", + "value": "organization-defined exceptions where remote activation of sensors is allowed" + }, + { + "id": "sc-42_b", + "desc": "organization-defined class of users", + "value": "organization-defined class of users" + } + ], + "props": [ + { + "class": "name", + "value": "SC-42" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-42a.", + "prose": [ + "\u003cp class=\"description\"\u003eProhibits the remote activation of environmental sensing capabilities with the following exceptions: \u003cinsert param-id=\"sc-42_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42a." + } + ] + }, + { + "class": "item", + "id": "smm_sc-42b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides an explicit indication of sensor use to \u003cinsert param-id=\"sc-42_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control often applies to types of information systems or system components characterized as mobile devices, for example, smart phones, tablets, and E-readers. These systems often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include, for example, cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the specific movements of an individual.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-42.a.", + "props": [ + { + "class": "name", + "value": "SC-42(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-42.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines exceptions where remote activation of sensors is to be allowed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-42.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system prohibits the remote activation of sensors, except for organization-defined exceptions where remote activation of sensors is to be allowed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-42.b.", + "props": [ + { + "class": "name", + "value": "SC-42(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-42.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines the class of users to whom an explicit indication of sensor use is to be provided; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-42.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides an explicit indication of sensor use to the organization-defined class of users.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing sensor capability and data collection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for sensor capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing access controls for remote activation of information system sensor capabilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing capability to indicate sensor use\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.42.1.", + "title": "REPORTING TO AUTHORIZED INDIVIDUALS OR ROLES", + "props": [ + { + "class": "name", + "value": "SC-42 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that the information system is configured so that data or information collected by the \u003cinsert param-id=\"sc-42_c\"/\u003e is only reported to authorized individuals or roles.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn situations where sensors are activated by authorized individuals (e.g., end users), it is still possible that the data/information collected by the sensors will be sent to unauthorized entities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-42.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines sensors to be used to collect data or information only reported to authorized individuals or roles; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-42.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the information system is configured so that data or information collected by the organization-defined sensors is only reported to authorized individuals or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing sensor capability and data collection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for sensor capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms restricting reporting of sensor information only to those authorized\u003c/p\u003e", + "\u003cp class=\"object\"\u003esensor data collection and reporting capability for the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-42_c", + "desc": "organization-defined sensors", + "value": "organization-defined sensors" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.42.2.", + "title": "AUTHORIZED USE", + "props": [ + { + "class": "name", + "value": "SC-42 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs the following measures: \u003cinsert param-id=\"sc-42_d\"/\u003e, so that data or information collected by \u003cinsert param-id=\"sc-42_e\"/\u003e is only used for authorized purposes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation collected by sensors for a specific authorized purpose potentially could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track movements of individuals. Measures to mitigate such activities include, for example, additional training to ensure that authorized parties do not abuse their authority, or (in the case where sensor data/information is maintained by external parties) contractual restrictions on the use of the data/information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-42.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines measures to be employed so that data or information collected by sensors is only used for authorized purposes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-42.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines sensors to be used to collect data or information for authorized purposes only; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-42.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined measures so that data or information collected by organization-defined sensors is only used for authorized purposes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(2)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003esensor capability and data collection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of measures to be employed to ensure data or information collected by sensors is only used for authorized purposes\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for sensor capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing measures to ensure sensor information is only used for authorized purposes\u003c/p\u003e", + "\u003cp class=\"object\"\u003esensor information collection capability for the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "sc-42_d", + "desc": "organization-defined measures", + "value": "organization-defined measures" + }, + { + "id": "sc-42_e", + "desc": "organization-defined sensors", + "value": "organization-defined sensors" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.42.3.", + "title": "PROHIBIT USE OF DEVICES", + "props": [ + { + "class": "name", + "value": "SC-42 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization prohibits the use of devices possessing \u003cinsert param-id=\"sc-42_f\"/\u003e in \u003cinsert param-id=\"sc-42_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor example, organizations may prohibit individuals from bringing cell phones or digital cameras into certain facilities or specific controlled areas within facilities where classified information is stored or sensitive conversations are taking place.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_sc-42.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines environmental sensing capabilities to be prohibited from use in facilities, areas, or systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-42.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines facilities, areas, or systems where the use of devices possessing organization-defined environmental sensing capabilities is to be prohibited; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_sc-42.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the use of devices possessing organization-defined environmental sensing capabilities in organization-defined facilities, areas, or systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing sensor capability and data collection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system architecture\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacilities, areas, or systems where use of devices possessing environmental sensing capabilities is prohibited\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of devices possessing environmental sensing capabilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for sensor capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "sc-42_f", + "desc": "organization-defined environmental sensing capabilities", + "value": "organization-defined environmental sensing capabilities" + }, + { + "id": "sc-42_g", + "desc": "organization-defined facilities, areas, or systems", + "value": "organization-defined facilities, areas, or systems" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.43", + "title": "USAGE RESTRICTIONS", + "params": [ + { + "id": "sc-43_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-43" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_sc-43a.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes usage restrictions and implementation guidance for \u003cinsert param-id=\"sc-43_a\"/\u003e based on the potential to cause damage to the information system if used maliciously; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43a." + } + ] + }, + { + "class": "item", + "id": "smm_sc-43b.", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes, monitors, and controls the use of such components within the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system components include hardware, software, or firmware components (e.g., Voice Over Internet Protocol, mobile code, digital copiers, printers, scanners, optical devices, wireless technologies, mobile devices).\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#sc.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-43.a.", + "props": [ + { + "class": "name", + "value": "SC-43(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-43.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components for which usage restrictions and implementation guidance are to be established;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-43.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes, for organization-defined information system components:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-43.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eusage restrictions based on the potential to cause damage to the information system if used maliciously;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-43.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplementation guidance based on the potential to cause damage to the information system if used maliciously;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43(a)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_sc-43.b.", + "props": [ + { + "class": "name", + "value": "SC-43(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-43.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eauthorizes the use of such components within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-43.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors the use of such components within the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-43.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003econtrols the use of such components within the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43(b)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eusage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eimplementation policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorization records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for authorizing, monitoring, and controlling use of components with usage restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing authorizing, monitoring, and controlling use of components with usage restrictions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.44", + "title": "DETONATION CHAMBERS", + "params": [ + { + "id": "sc-44_a", + "desc": "organization-defined information system, system component, or location", + "value": "organization-defined information system, system component, or location" + } + ], + "props": [ + { + "class": "name", + "value": "SC-44" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs a detonation chamber capability within \u003cinsert param-id=\"sc-44_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator (URL) requests in the safety of an isolated environment or virtualized sandbox. These protected and isolated execution environments provide a means of determining whether the associated attachments/applications contain malicious code. While related to the concept of deception nets, the control is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, it is intended to quickly identify malicious code and reduce the likelihood that the code is propagated to user environments of operation (or prevent such propagation completely).\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.7" + }, + { + "href": "#sc.25" + }, + { + "href": "#sc.26" + }, + { + "href": "#sc.30" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_sc-44-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system, system component, or location where a detonation chamber capability is to be employed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-44[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_sc-44-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys a detonation chamber capability within organization-defined information system, system component, or location.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-44[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing detonation chambers\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing detonation chamber capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "SYSTEM AND INFORMATION INTEGRITY", + "controls": [ + { + "class": "SP800-53", + "id": "si.1", + "title": "SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES", + "params": [ + { + "id": "si-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "si-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"si-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_si-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem and information integrity policy \u003cinsert param-id=\"si-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem and information integrity procedures \u003cinsert param-id=\"si-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.a.1.", + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a system and information integrity policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the system and information integrity policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the system and information integrity policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.2.", + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.b.1.", + "props": [ + { + "class": "name", + "value": "SI-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current system and information integrity policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current system and information integrity policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.b.2.", + "props": [ + { + "class": "name", + "value": "SI-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current system and information integrity procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current system and information integrity procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and information integrity responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.2", + "title": "FLAW REMEDIATION", + "params": [ + { + "id": "si-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "SI-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies, reports, and corrects information system flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2a." + } + ] + }, + { + "class": "item", + "id": "smm_si-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eTests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2b." + } + ] + }, + { + "class": "item", + "id": "smm_si-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eInstalls security-relevant software and firmware updates within \u003cinsert param-id=\"si-2_a\"/\u003e of the release of the updates; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2c." + } + ] + }, + { + "class": "item", + "id": "smm_si-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eIncorporates flaw remediation into the organizational configuration management process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.8" + }, + { + "href": "#ma.2" + }, + { + "href": "#ir.4" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.10" + }, + { + "href": "#sa.11" + }, + { + "href": "#si.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-2.a.", + "props": [ + { + "class": "name", + "value": "SI-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies information system flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports information system flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ecorrects information system flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.b.", + "props": [ + { + "class": "name", + "value": "SI-2(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003etests software updates related to flaw remediation for effectiveness and potential side effects before installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests firmware updates related to flaw remediation for effectiveness and potential side effects before installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.c.", + "props": [ + { + "class": "name", + "value": "SI-2(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which to install security-relevant software updates after the release of the updates;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which to install security-relevant firmware updates after the release of the updates;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003einstalls software updates within the organization-defined time period of the release of the updates;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(c)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.c.4.", + "prose": [ + "\u003cp class=\"decision\"\u003einstalls firmware updates within the organization-defined time period of the release of the updates; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(c)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eincorporates flaw remediation into the organizational configuration management process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of flaws and vulnerabilities potentially affecting the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of recent security flaw remediation actions performed on the information system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct information system flaws)\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest results from the installation of software and firmware updates to correct information system flaws\u003c/p\u003e", + "\u003cp class=\"object\"\u003einstallation/change control records for security-relevant software and firmware updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibility\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for identifying, reporting, and correcting information system flaws\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for installing software and firmware updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing reporting, and correcting information system flaws\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing testing software and firmware updates\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.2.1.", + "title": "CENTRAL MANAGEMENT", + "props": [ + { + "class": "name", + "value": "SI-2 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization centrally manages the flaw remediation process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management is the organization-wide management and implementation of flaw remediation processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation security controls.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization centrally manages the flaw remediation process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting centralized management of flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for central management of the flaw remediation process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing central management of the flaw remediation process\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.2.", + "title": "AUTOMATED FLAW REMEDIATION STATUS", + "props": [ + { + "class": "name", + "value": "SI-2 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms \u003cinsert param-id=\"si-2_b\"/\u003e to determine the state of information system components with regard to flaw remediation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to employ automated mechanisms to determine the state of information system components with regard to flaw remediation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms with the organization-defined frequency to determine the state of information system components with regard to flaw remediation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting centralized management of flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms used to determine the state of information system components with regard to flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.3.", + "title": "TIME TO REMEDIATE FLAWS / BENCHMARKS FOR CORRECTIVE ACTIONS", + "props": [ + { + "class": "name", + "value": "SI-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-2.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eMeasures the time between flaw identification and flaw remediation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-2.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes \u003cinsert param-id=\"si-2_c\"/\u003e for taking corrective actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires organizations to determine the current time it takes on the average to correct information system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by type of flaw and/or severity of the potential vulnerability if the flaw can be exploited.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emeasures the time between flaw identification and flaw remediation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(3)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.3.b.", + "props": [ + { + "class": "name", + "value": "SI-2(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines benchmarks for taking corrective actions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(3)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes organization-defined benchmarks for taking corrective actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(3)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of benchmarks for taking corrective action on flaws identified\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords providing time stamps of flaw identification and subsequent flaw remediation activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for identifying, reporting, and correcting information system flaws\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms used to measure the time between flaw identification and flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-2_c", + "desc": "organization-defined benchmarks", + "value": "organization-defined benchmarks" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.4.", + "title": "AUTOMATED PATCH MANAGEMENT TOOLS", + "props": [ + { + "class": "name", + "value": "SI-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.2" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.5.", + "title": "AUTOMATIC SOFTWARE / FIRMWARE UPDATES", + "props": [ + { + "class": "name", + "value": "SI-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization installs \u003cinsert param-id=\"si-2_d\"/\u003e automatically to \u003cinsert param-id=\"si-2_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDue to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates. Organizations must balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and with any mission or operational impacts that automatic updates might impose.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.5.1.", + "props": [ + { + "class": "name", + "value": "SI-2(5)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.5.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components requiring security-relevant software updates to be automatically installed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components requiring security-relevant firmware updates to be automatically installed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.2.", + "props": [ + { + "class": "name", + "value": "SI-2(5)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.5.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security-relevant software updates to be automatically installed to organization-defined information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security-relevant firmware updates to be automatically installed to organization-defined information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[2][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.3.", + "props": [ + { + "class": "name", + "value": "SI-2(5)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.5.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einstalls organization-defined security-relevant software updates automatically to organization-defined information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003einstalls organization-defined security-relevant firmware updates automatically to organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting flaw remediation and automatic software/firmware updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of recent security-relevant software and firmware updates automatically installed to information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing automatic software/firmware updates\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-2_d", + "desc": "organization-defined security-relevant software and firmware updates", + "value": "organization-defined security-relevant software and firmware updates" + }, + { + "id": "si-2_e", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.6.", + "title": "REMOVAL OF PREVIOUS VERSIONS OF SOFTWARE / FIRMWARE", + "props": [ + { + "class": "name", + "value": "SI-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization removes \u003cinsert param-id=\"si-2_f\"/\u003e after updated versions have been installed.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrevious versions of software and/or firmware components that are not removed from the information system after updates have been installed may be exploited by adversaries. Some information technology products may remove older versions of software and/or firmware automatically from the information system.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.6.1.", + "props": [ + { + "class": "name", + "value": "SI-2(6)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.6.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines software components to be removed after updated versions have been installed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(6)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.6.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines firmware components to be removed after updated versions have been installed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(6)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.6.2.", + "props": [ + { + "class": "name", + "value": "SI-2(6)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.6.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves organization-defined software components after updated versions have been installed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(6)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.6.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves organization-defined firmware components after updated versions have been installed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(6)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of software and firmware component removals after updated versions are installed\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing removal of previous versions of software/firmware\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-2_f", + "desc": "organization-defined software and firmware components", + "value": "organization-defined software and firmware components" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-40", + "value": "NIST Special Publication 800-40" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.3", + "title": "MALICIOUS CODE PROTECTION", + "params": [ + { + "id": "si-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "si-3_b", + "desc": "organization-defined action", + "value": "organization-defined action" + } + ], + "props": [ + { + "class": "name", + "value": "SI-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3a." + } + ] + }, + { + "class": "item", + "id": "smm_si-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3b." + } + ] + }, + { + "class": "item", + "id": "smm_si-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eConfigures malicious code protection mechanisms to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3c." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-3c.1.", + "prose": [ + "\u003cp class=\"description\"\u003ePerform periodic scans of the information system \u003cinsert param-id=\"si-3_a\"/\u003e and real-time scans of files from external sources at [Selection (one or more); endpoint; network entry/exit points] as the files are downloaded, opened, or executed in accordance with organizational security policy; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3c.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-3c.2.", + "prose": [ + "\u003cp class=\"description\"\u003e[Selection (one or more): block malicious code; quarantine malicious code; send alert to administrator; \u003cinsert param-id=\"si-3_b\"/\u003e] in response to malicious code detection; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_si-3d.", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden in files using steganography. Malicious code can be transported by different means including, for example, web accesses, electronic mail, electronic mail attachments, and portable storage devices. Malicious code insertions occur through the exploitation of information system vulnerabilities. Malicious code protection mechanisms include, for example, anti-virus signature definitions and reputation-based technologies. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Pervasive configuration management and comprehensive software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions/business functions. Traditional malicious code protection mechanisms cannot always detect such code. In these situations, organizations rely instead on other safeguards including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, and/or actions in response to detection of maliciousness when attempting to open or execute files.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#mp.2" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.13" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.26" + }, + { + "href": "#sc.44" + }, + { + "href": "#si.2" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys malicious code protection mechanisms to detect and eradicate malicious code at information system:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eentry points;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eexit points;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures (as identified in CM-1);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.", + "props": [ + { + "class": "name", + "value": "SI-3(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency for malicious code protection mechanisms to perform periodic scans of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines action to be initiated by malicious protection mechanisms in response to malicious code detection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.", + "props": [ + { + "class": "name", + "value": "SI-3(c)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.c.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003econfigures malicious code protection mechanisms to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.c.3.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eperform periodic scans of the information system with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](1)[a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eperform real-time scans of files from external sources at endpoint and/or network entry/exit points as the files are downloaded, opened, or executed in accordance with organizational security policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](1)[b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econfigures malicious code protection mechanisms to do one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.c.3.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eblock malicious code in response to malicious code detection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003equarantine malicious code in response to malicious code detection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003esend alert to administrator in response to malicious code detection; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[c]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003einitiate organization-defined action in response to malicious code detection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[d]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.d.", + "props": [ + { + "class": "name", + "value": "SI-3(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses the receipt of false positives during malicious code detection and eradication; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses the resulting potential impact on the availability of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of malicious code protection updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003escan results from malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecord of actions initiated by malicious code protection mechanisms in response to malicious code detection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibility\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for employing, updating, and configuring malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for addressing false positives and resulting potential impact\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing employing, updating, and configuring malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing malicious code scanning and subsequent actions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.3.1.", + "title": "CENTRAL MANAGEMENT", + "props": [ + { + "class": "name", + "value": "SI-3 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization centrally manages malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management is the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw malicious code protection security controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#si.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization centrally manages malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting centralized management of malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for central management of malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing central management of malicious code protection mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.2.", + "title": "AUTOMATIC UPDATES", + "props": [ + { + "class": "name", + "value": "SI-3 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically updates malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMalicious code protection mechanisms include, for example, signature definitions. Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system automatically updates malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting centralized management of malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing automatic updates to malicious code protection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.3.", + "title": "NON-PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-6 (10)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.6.10." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.4.", + "title": "UPDATES ONLY BY PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system updates malicious code protection mechanisms only when directed by a privileged user.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement may be appropriate for situations where for reasons of security or operational continuity, updates are only applied when selected/approved by designated organizational personnel.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#cm.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system updates malicious code protection mechanisms only when directed by a privileged user.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of malicious code protection updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.5.", + "title": "PORTABLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "SI-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.6.", + "title": "TESTING / VERIFICATION", + "props": [ + { + "class": "name", + "value": "SI-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-3.6.a.", + "prose": [ + "\u003cp class=\"description\"\u003eTests malicious code protection mechanisms \u003cinsert param-id=\"si-3_c\"/\u003e by introducing a known benign, non-spreading test case into the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (6)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-3.6.b.", + "prose": [ + "\u003cp class=\"description\"\u003eVerifies that both detection of the test case and associated incident reporting occur.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (6)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.6.a.", + "props": [ + { + "class": "name", + "value": "SI-3(6)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.6.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to test malicious code protection mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(6)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.6.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests malicious code protection mechanisms with the organization-defined frequency by introducing a known benign, non-spreading test case into the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(6)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.6.b.", + "props": [ + { + "class": "name", + "value": "SI-3(6)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003everifies that detection of the test case occurs; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(6)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003everifies that associated incident reporting occurs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(6)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest cases\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords providing evidence of test cases executed on malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing testing and verification of malicious code protection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.7.", + "title": "NONSIGNATURE-BASED DETECTION", + "props": [ + { + "class": "name", + "value": "SI-3 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements nonsignature-based malicious code detection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNonsignature-based detection mechanisms include, for example, the use of heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide safeguards against malicious code for which signatures do not yet exist or for which existing signatures may not be effective. This includes polymorphic malicious code (i.e., code that changes signatures when it replicates). This control enhancement does not preclude the use of signature-based detection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements non signature-based malicious code detection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of malicious code protection updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing nonsignature-based malicious code protection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.8.", + "title": "DETECT UNAUTHORIZED COMMANDS", + "props": [ + { + "class": "name", + "value": "SI-3 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system detects \u003cinsert param-id=\"si-3_d\"/\u003e through the kernel application programming interface at \u003cinsert param-id=\"si-3_e\"/\u003e and [Selection (one or more): issues a warning; audits the command execution; prevents the execution of the command].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement can also be applied to critical interfaces other than kernel-based interfaces, including for example, interfaces with virtual machines and privileged applications. Unauthorized operating system commands include, for example, commands for kernel functions from information system processes that are not trusted to initiate such commands, or commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can define hardware components by specific component, component type, location in the network, or combination therein. Organizations may select different actions for different types/classes/specific instances of potentially malicious commands.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines unauthorized operating system commands to be detected by the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system hardware components for which organization-defined unauthorized operating system commands are to be detected through the kernel application programming interface;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.8.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system detects organization-defined unauthorized operating system commands through the kernel application programming interface at organization-defined information system hardware components, and does one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.8.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eissues a warning;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.8.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudits the command execution; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.8.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprevents the execution of the command.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewarning messages sent upon detection of unauthorized operating system command execution\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing detection of unauthorized operating system commands through the kernel application programming interface\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-3_d", + "desc": "organization-defined unauthorized operating system commands", + "value": "organization-defined unauthorized operating system commands" + }, + { + "id": "si-3_e", + "desc": "organization-defined information system hardware components", + "value": "organization-defined information system hardware components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.9.", + "title": "AUTHENTICATE REMOTE COMMANDS", + "props": [ + { + "class": "name", + "value": "SI-3 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"si-3_f\"/\u003e to authenticate \u003cinsert param-id=\"si-3_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects against unauthorized commands and replay of authorized commands. This capability is important for those remote information systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or serious consequences (e.g., injury or death, property damage, loss of high-valued assets or sensitive information, or failure of important missions/business functions). Authentication safeguards for remote commands help to ensure that information systems accept and execute in the order intended, only authorized commands, and that unauthorized commands are rejected. Cryptographic mechanisms can be employed, for example, to authenticate remote commands.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.23" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be implemented by the information system to authenticate organization-defined remote commands;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines remote commands to be authenticated by organization-defined security safeguards; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(9)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.9.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined security safeguards to authenticate organization-defined remote commands.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(9)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewarning messages sent upon detection of unauthorized operating system command execution\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing authentication of remote commands\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security safeguards to authenticate remote commands\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-3_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "si-3_g", + "desc": "organization-defined remote commands", + "value": "organization-defined remote commands" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.10.", + "title": "MALICIOUS CODE ANALYSIS", + "props": [ + { + "class": "name", + "value": "SI-3 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-3.10.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"si-3_h\"/\u003e to analyze the characteristics and behavior of malicious code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (10)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-3.10.b.", + "prose": [ + "\u003cp class=\"description\"\u003eIncorporates the results from malicious code analysis into organizational incident response and flaw remediation processes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (10)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe application of selected malicious code analysis tools and techniques provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates more effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by using reverse engineering techniques or by monitoring the behavior of executing code.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.10.a.", + "props": [ + { + "class": "name", + "value": "SI-3(10)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.10.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines tools and techniques to be employed to analyze the characteristics and behavior of malicious code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(10)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.10.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined tools and techniques to analyze the characteristics and behavior of malicious code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(10)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.10.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eincorporates the results from malicious code analysis into incident response and flaw remediate processes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(10)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms, tools, and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eresults from malicious code analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of flaw remediation events resulting from malicious code analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for incident response/management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for incident response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003etools and techniques for analysis of malicious code characteristics and behavior\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-3_h", + "desc": "organization-defined tools and techniques", + "value": "organization-defined tools and techniques" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-83", + "value": "NIST Special Publication 800-83" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.4", + "title": "INFORMATION SYSTEM MONITORING", + "params": [ + { + "id": "si-4_a", + "desc": "organization-defined monitoring objectives", + "value": "organization-defined monitoring objectives" + }, + { + "id": "si-4_b", + "desc": "organization-defined techniques and methods", + "value": "organization-defined techniques and methods" + }, + { + "id": "si-4_c", + "desc": "organization-defined information system monitoring information", + "value": "organization-defined information system monitoring information" + }, + { + "id": "si-4_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-4_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors the information system to detect:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-4a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAttacks and indicators of potential attacks in accordance with \u003cinsert param-id=\"si-4_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4a.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-4a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eUnauthorized local, network, and remote connections;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_si-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies unauthorized use of the information system through \u003cinsert param-id=\"si-4_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4b." + } + ] + }, + { + "class": "item", + "id": "smm_si-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eDeploys monitoring devices:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4c." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-4c.1.", + "prose": [ + "\u003cp class=\"description\"\u003eStrategically within the information system to collect organization-determined essential information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4c.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-4c.2.", + "prose": [ + "\u003cp class=\"description\"\u003eAt ad hoc locations within the system to track specific types of transactions of interest to the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_si-4d.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4d." + } + ] + }, + { + "class": "item", + "id": "smm_si-4e.", + "prose": [ + "\u003cp class=\"description\"\u003eHeightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4e." + } + ] + }, + { + "class": "item", + "id": "smm_si-4f.", + "prose": [ + "\u003cp class=\"description\"\u003eObtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4f." + } + ] + }, + { + "class": "item", + "id": "smm_si-4g.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides \u003cinsert param-id=\"si-4_c\"/\u003e to \u003cinsert param-id=\"si-4_d\"/\u003e [Selection (one or more): as needed; \u003cinsert param-id=\"si-4_e\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.8" + }, + { + "href": "#ac.17" + }, + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#au.9" + }, + { + "href": "#au.12" + }, + { + "href": "#ca.7" + }, + { + "href": "#ir.4" + }, + { + "href": "#pe.3" + }, + { + "href": "#ra.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.26" + }, + { + "href": "#sc.35" + }, + { + "href": "#si.3" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.", + "props": [ + { + "class": "name", + "value": "SI-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.1.", + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines monitoring objectives to detect attacks and indicators of potential attacks on the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors the information system to detect, in accordance with organization-defined monitoring objectives,:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eattacks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eindicators of potential attacks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors the information system to detect unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003elocal connections;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003enetwork connections;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eremote connections;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.b.", + "props": [ + { + "class": "name", + "value": "SI-4(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines techniques and methods to identify unauthorized use of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(b)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies unauthorized use of the information system through organization-defined techniques and methods;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(b)(2)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edeploys monitoring devices:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003estrategically within the information system to collect organization-determined essential information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eat ad hoc locations within the system to track specific types of transactions of interest to the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects information obtained from intrusion-monitoring tools from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edeletion;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(d)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eheightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(e)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.f.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(f)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.", + "props": [ + { + "class": "name", + "value": "SI-4(g)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.g.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom information system monitoring information is to be provided;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system monitoring information to be provided to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to provide organization-defined information system monitoring to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides organization-defined information system monitoring information to organization-defined personnel or roles one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.g.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eas needed; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[4][b]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContinuous monitoring strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility diagram/layout\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elocations within information system where monitoring devices are deployed\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility monitoring the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.4.1.", + "title": "SYSTEM-WIDE INTRUSION DETECTION SYSTEM", + "props": [ + { + "class": "name", + "value": "SI-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization connects and configures individual intrusion detection tools into an information system-wide intrusion detection system.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003econnects individual intrusion detection tools into an information system-wide intrusion detection system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econfigures individual intrusion detection tools into an information system-wide intrusion detection system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.2.", + "title": "AUTOMATED TOOLS FOR REAL-TIME ANALYSIS", + "props": [ + { + "class": "name", + "value": "SI-4 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated tools to support near real-time analysis of events.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated tools include, for example, host-based, network-based, transport-based, or storage-based event monitoring tools or Security Information and Event Management (SIEM) technologies that provide real time analysis of alerts and/or notifications generated by organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated tools to support near real-time analysis of events.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for incident response/management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for near real-time analysis of events\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing analysis of events\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.3.", + "title": "AUTOMATED TOOL INTEGRATION", + "props": [ + { + "class": "name", + "value": "SI-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, for rapid response to attacks by enabling reconfiguration of intrusion detection tools in support of attack isolation and elimination, employs automated tools to integrate intrusion detection tools into:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess control mechanisms; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eflow control mechanisms.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing access/flow control capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing integration of intrusion detection tools into access/flow control mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.4.", + "title": "INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC", + "props": [ + { + "class": "name", + "value": "SI-4 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system monitors inbound and outbound communications traffic \u003cinsert param-id=\"si-4_f\"/\u003e for unusual or unauthorized activities or conditions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnusual/unauthorized activities or conditions related to information system inbound and outbound communications traffic include, for example, internal traffic that indicates the presence of malicious code within organizational information systems or propagating among system components, the unauthorized exporting of information, or signaling to external information systems. Evidence of malicious code is used to identify potentially compromised information systems or information system components.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to monitor:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.4.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einbound communications traffic for unusual or unauthorized activities or conditions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.4.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eoutbound communications traffic for unusual or unauthorized activities or conditions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors, with the organization-defined frequency:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.4.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einbound communications traffic for unusual or unauthorized activities or conditions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.4.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eoutbound communications traffic for unusual or unauthorized activities or conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection capability/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing monitoring of inbound/outbound communications traffic\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.5.", + "title": "SYSTEM-GENERATED ALERTS", + "props": [ + { + "class": "name", + "value": "SI-4 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system alerts \u003cinsert param-id=\"si-4_g\"/\u003e when the following indications of compromise or potential compromise occur: \u003cinsert param-id=\"si-4_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlerts may be generated from a variety of sources, including, for example, audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the notification list can include, for example, system administrators, mission/business owners, system owners, or information system security officers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.5" + }, + { + "href": "#pe.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines compromise indicators for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be alerted when indications of compromise or potential compromise occur; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system alerts organization-defined personnel or roles when organization-defined compromise indicators occur.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications generated based on compromise indicators\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003e\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alerts for compromise indicators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-4_h", + "desc": "organization-defined compromise indicators", + "value": "organization-defined compromise indicators" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.6.", + "title": "RESTRICT NON-PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-6 (10)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.6.10." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.7.", + "title": "AUTOMATED RESPONSE TO SUSPICIOUS EVENTS", + "props": [ + { + "class": "name", + "value": "SI-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system notifies \u003cinsert param-id=\"si-4_i\"/\u003e of detected suspicious events and takes \u003cinsert param-id=\"si-4_j\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLeast-disruptive actions may include, for example, initiating requests for human responses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines incident response personnel (identified by name and/or by role) to be notified of detected suspicious events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines least-disruptive actions to be taken by the information system to terminate suspicious events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(7)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.7.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system notifies organization-defined incident response personnel of detected suspicious events; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(7)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.7.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system takes organization-defined least-disruptive actions to terminate suspicious events.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(7)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications generated based on detected suspicious events\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of actions taken to terminate suspicious events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing notifications to incident response personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing actions to terminate suspicious events\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_i", + "desc": "organization-defined incident response personnel (identified by name and/or by role)", + "value": "organization-defined incident response personnel (identified by name and/or by role)" + }, + { + "id": "si-4_j", + "desc": "organization-defined least-disruptive actions to terminate suspicious events", + "value": "organization-defined least-disruptive actions to terminate suspicious events" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.8.", + "title": "PROTECTION OF MONITORING INFORMATION", + "props": [ + { + "class": "name", + "value": "SI-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.9.", + "title": "TESTING OF MONITORING TOOLS", + "props": [ + { + "class": "name", + "value": "SI-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests intrusion-monitoring tools \u003cinsert param-id=\"si-4_k\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTesting intrusion-monitoring tools is necessary to ensure that the tools are operating correctly and continue to meet the monitoring objectives of organizations. The frequency of testing depends on the types of tools used by organizations and methods of deployment.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to test intrusion-monitoring tools; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests intrusion-monitoring tools with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing testing of information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation providing evidence of testing intrusion-monitoring tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing testing of intrusion-monitoring tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_k", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.10.", + "title": "VISIBILITY OF ENCRYPTED COMMUNICATIONS", + "props": [ + { + "class": "name", + "value": "SI-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization makes provisions so that \u003cinsert param-id=\"si-4_l\"/\u003e is visible to \u003cinsert param-id=\"si-4_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations balance the potentially conflicting needs for encrypting communications traffic and for having insight into such traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of communications traffic is paramount; for others, mission-assurance is of greater concern. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines encrypted communications traffic required to be visible to information system monitoring tools;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system monitoring tools to be provided access to organization-defined encrypted communications traffic; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(10)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.10.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emakes provisions so that organization-defined encrypted communications traffic is visible to organization-defined information system monitoring tools.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(10)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing visibility of encrypted communications traffic to monitoring tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_l", + "desc": "organization-defined encrypted communications traffic", + "value": "organization-defined encrypted communications traffic" + }, + { + "id": "si-4_m", + "desc": "organization-defined information system monitoring tools", + "value": "organization-defined information system monitoring tools" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.11.", + "title": "ANALYZE COMMUNICATIONS TRAFFIC ANOMALIES", + "props": [ + { + "class": "name", + "value": "SI-4 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization analyzes outbound communications traffic at the external boundary of the information system and selected \u003cinsert param-id=\"si-4_n\"/\u003e to discover anomalies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAnomalies within organizational information systems include, for example, large file transfers, long-time persistent connections, unusual protocols and ports in use, and attempted communications with suspected malicious external addresses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines interior points within the system (e.g., subnetworks, subsystems) where communications traffic is to be analyzed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalyzes outbound communications traffic to discover anomalies at:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(11)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.11.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe external boundary of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(11)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.11.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eselected organization-defined interior points within the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(11)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork diagram\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing analysis of communications traffic\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_n", + "desc": "organization-defined interior points within the system (e.g., subnetworks, subsystems)", + "value": "organization-defined interior points within the system (e.g., subnetworks, subsystems)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.12.", + "title": "AUTOMATED ALERTS", + "props": [ + { + "class": "name", + "value": "SI-4 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: \u003cinsert param-id=\"si-4_o\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by information systems in SI-4 (5), which tend to focus on information sources internal to the systems (e.g., audit records), the sources of information for this enhancement can include other entities as well (e.g., suspicious activity reports, reports on potential insider threats).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#ia.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines activities that trigger alerts to security personnel based on inappropriate or unusual activities with security implications; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to alert security personnel of organization-defined activities that trigger alerts based on inappropriate or unusual activities with security implications.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(12)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of inappropriate or unusual activities (with security implications) that trigger alerts\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications provided to security personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing automated alerts to security personnel\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_o", + "desc": "organization-defined activities that trigger alerts", + "value": "organization-defined activities that trigger alerts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.13.", + "title": "ANALYZE TRAFFIC / EVENT PATTERNS", + "props": [ + { + "class": "name", + "value": "SI-4 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-4.13.a.", + "prose": [ + "\u003cp class=\"description\"\u003eAnalyzes communications traffic/event patterns for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4 (13)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-4.13.b.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops profiles representing common traffic patterns and/or events; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4 (13)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-4.13.c.", + "prose": [ + "\u003cp class=\"description\"\u003eUses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and the number of false negatives.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4 (13)(c)" + } + ] + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.13.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalyzes communications traffic/event patterns for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(13)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.13.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops profiles representing common traffic patterns and/or events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(13)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.13.c.", + "prose": [ + "\u003cp class=\"decision\"\u003euses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and false negatives.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(13)(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of profiles representing common traffic patterns and/or events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of acceptable thresholds for false positives and false negatives\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing analysis of communications traffic/event patterns\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.14.", + "title": "WIRELESS INTRUSION DETECTION", + "props": [ + { + "class": "name", + "value": "SI-4 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWireless signals may radiate beyond the confines of organization-controlled facilities. Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. Scans are not limited to those areas within facilities containing information systems, but also include areas outside of facilities as needed, to verify that unauthorized wireless access points are not connected to the systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#ia.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs a wireless intrusion detection system to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.14.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentify rogue wireless devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(14)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.14.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetect attack attempts to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(14)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.14.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edetect potential compromises/breaches to the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(14)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing wireless intrusion detection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.15.", + "title": "WIRELESS TO WIRELINE COMMUNICATIONS", + "props": [ + { + "class": "name", + "value": "SI-4 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.18" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing wireless intrusion detection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.16.", + "title": "CORRELATE MONITORING INFORMATION", + "props": [ + { + "class": "name", + "value": "SI-4 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization correlates information from monitoring tools employed throughout the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrelating information from different monitoring tools can provide a more comprehensive view of information system activity. The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns. Understanding the capabilities/limitations of diverse monitoring tools and how to maximize the utility of information generated by those tools can help organizations to build, operate, and maintain effective monitoring programs.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization correlates information from monitoring tools employed throughout the information system.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevent correlation logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing correlation of information from monitoring tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.17.", + "title": "INTEGRATED SITUATIONAL AWARENESS", + "props": [ + { + "class": "name", + "value": "SI-4 (17)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization correlates information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement correlates monitoring information from a more diverse set of information sources to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated cyber attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4 (16) which correlates the various cyber monitoring information, this control enhancement correlates monitoring beyond just the cyber domain. Such monitoring may help reveal attacks on organizations that are operating across multiple attack vectors.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, to achieve integrated, organization-wide situational awareness, correlates information from monitoring:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.17.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ephysical activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(17)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.17.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecyber activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(17)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.17.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esupply chain activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(17)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevent correlation logs or records resulting from physical, cyber, and supply chain activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing correlation of information from monitoring tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.18.", + "title": "ANALYZE TRAFFIC / COVERT EXFILTRATION", + "props": [ + { + "class": "name", + "value": "SI-4 (18)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization analyzes outbound communications traffic at the external boundary of the information system (i.e., system perimeter) and at \u003cinsert param-id=\"si-4_p\"/\u003e to detect covert exfiltration of information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCovert means that can be used for the unauthorized exfiltration of organizational information include, for example, steganography.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.18.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines interior points within the system (e.g., subsystems, subnetworks) where communications traffic is to be analyzed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(18)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.18.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eto detect covert exfiltration of information, analyzes outbound communications traffic at:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(18)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.18.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe external boundary of the information system (i.e., system perimeter); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(18)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.18.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined interior points within the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(18)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork diagram\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing analysis of outbound communications traffic\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_p", + "desc": "organization-defined interior points within the system (e.g., subsystems, subnetworks)", + "value": "organization-defined interior points within the system (e.g., subsystems, subnetworks)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.19.", + "title": "INDIVIDUALS POSING GREATER RISK", + "props": [ + { + "class": "name", + "value": "SI-4 (19)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"si-4_q\"/\u003e of individuals who have been identified by \u003cinsert param-id=\"si-4_r\"/\u003e as posing an increased level of risk.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndications of increased risk from individuals can be obtained from a variety of sources including, for example, human resource records, intelligence agencies, law enforcement organizations, and/or other credible sources. The monitoring of individuals is closely coordinated with management, legal, security, and human resources officials within organizations conducting such monitoring and complies with federal legislation, Executive Orders, policies, directives, regulations, and standards.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.19.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines sources that identify individuals who pose an increased level of risk;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(19)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.19.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines additional monitoring to be implemented on individuals who have been identified by organization-defined sources as posing an increased level of risk; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(19)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.19.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined additional monitoring of individuals who have been identified by organization-defined sources as posing an increased level of risk.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(19)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of individuals who have been identified as posing an increased level of risk\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_q", + "desc": "organization-defined additional monitoring", + "value": "organization-defined additional monitoring" + }, + { + "id": "si-4_r", + "desc": "organization-defined sources", + "value": "organization-defined sources" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.20.", + "title": "PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-4 (20)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"si-4_s\"/\u003e of privileged users.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.20.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines additional monitoring to be implemented on privileged users; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(20)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.20.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined additional monitoring of privileged users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(20)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of privileged users\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_s", + "desc": "organization-defined additional monitoring", + "value": "organization-defined additional monitoring" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.21.", + "title": "PROBATIONARY PERIODS", + "props": [ + { + "class": "name", + "value": "SI-4 (21)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"si-4_t\"/\u003e of individuals during \u003cinsert param-id=\"si-4_u\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.21.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines additional monitoring to be implemented on individuals during probationary periods;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(21)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.21.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines probationary period during which organization-defined additional monitoring of individuals is to be performed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(21)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.21.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined additional monitoring of individuals during organization-defined probationary period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(21)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_t", + "desc": "organization-defined additional monitoring", + "value": "organization-defined additional monitoring" + }, + { + "id": "si-4_u", + "desc": "organization-defined probationary period", + "value": "organization-defined probationary period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.22.", + "title": "UNAUTHORIZED NETWORK SERVICES", + "props": [ + { + "class": "name", + "value": "SI-4 (22)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system detects network services that have not been authorized or approved by \u003cinsert param-id=\"si-4_v\"/\u003e and [Selection (one or more): audits; alerts \u003cinsert param-id=\"si-4_w\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnauthorized or unapproved network services include, for example, services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#cm.7" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.22.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines authorization or approval processes for network services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(22)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.22.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be alerted upon detection of network services that have not been authorized or approved by organization-defined authorization or approval processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(22)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.22.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system detects network services that have not been authorized or approved by organization-defined authorization or approval processes and does one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(22)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.22.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudits; 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Organizations consider employing host-based monitoring mechanisms from multiple information technology product developers.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.23.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines host-based monitoring mechanisms to be implemented;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(23)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.23.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components where organization-defined host-based monitoring is to be implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(23)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.23.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined host-based monitoring mechanisms at organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(23)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ehost-based monitoring mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system components requiring host-based monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring information system hosts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing host-based monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_x", + "desc": "organization-defined host-based monitoring mechanisms", + "value": "organization-defined host-based monitoring mechanisms" + }, + { + "id": "si-4_y", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.24.", + "title": "INDICATORS OF COMPROMISE", + "props": [ + { + "class": "name", + "value": "SI-4 (24)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system discovers, collects, distributes, and uses indicators of compromise.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational information systems (at the host or network level). 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The rapid distribution and adoption of IOCs can improve information security by reducing the time that information systems and organizations are vulnerable to the same exploit or attack.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.24.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ediscovers indicators of compromise;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(24)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.24.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecollects indicators of compromise;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(24)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.24.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edistributes indicators of compromise; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(24)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.24.4.", + "prose": [ + "\u003cp class=\"decision\"\u003euses indicators of compromise.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(24)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation 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monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for discovery, collection, distribution, and use of indicators of compromise\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-83", + "value": "NIST Special Publication 800-83" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-92", + "value": "NIST Special Publication 800-92" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-94", + "value": "NIST Special Publication 800-94" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.5", + "title": "SECURITY ALERTS, ADVISORIES, AND DIRECTIVES", + "params": [ + { + "id": "si-5_a", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "id": "si-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-5_c", + "desc": "organization-defined elements within the organization", + "value": "organization-defined elements within the organization" + }, + { + "id": "si-5_d", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + } + ], + "props": [ + { + "class": "name", + "value": "SI-5" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-5a.", + "prose": [ + "\u003cp class=\"description\"\u003eReceives information system security alerts, advisories, and directives from \u003cinsert param-id=\"si-5_a\"/\u003e on an ongoing basis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5a." + } + ] + }, + { + "class": "item", + "id": "smm_si-5b.", + "prose": [ + "\u003cp class=\"description\"\u003eGenerates internal security alerts, advisories, and directives as deemed necessary;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5b." + } + ] + }, + { + "class": "item", + "id": "smm_si-5c.", + "prose": [ + "\u003cp class=\"description\"\u003eDisseminates security alerts, advisories, and directives to: [Selection (one or more): \u003cinsert param-id=\"si-5_b\"/\u003e; \u003cinsert param-id=\"si-5_c\"/\u003e; \u003cinsert param-id=\"si-5_d\"/\u003e]; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5c." + } + ] + }, + { + "class": "item", + "id": "smm_si-5d.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe United States Computer Emergency Readiness Team (US-CERT) generates security alerts and advisories to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include, for example, external mission/business partners, supply chain partners, external service providers, and other peer/supporting organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-5.a.", + "props": [ + { + "class": "name", + "value": "SI-5(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-5.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external organizations from whom information system security alerts, advisories and directives are to be received;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereceives information system security alerts, advisories, and directives from organization-defined external organizations on an ongoing basis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.b.", + "prose": [ + "\u003cp class=\"decision\"\u003egenerates internal security alerts, advisories, and directives as deemed necessary;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.c.", + "props": [ + { + "class": "name", + "value": "SI-5(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-5.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom security alerts, advisories, and directives are to be provided;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines elements within the organization to whom security alerts, advisories, and directives are to be provided;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines external organizations to whom security alerts, advisories, and directives are to be provided;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(c)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.c.4.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates security alerts, advisories, and directives to one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(c)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-5.c.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(c)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.c.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined elements within the organization; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(c)[4][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.c.4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined external organizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(c)[4][c]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.d.", + "props": [ + { + "class": "name", + "value": "SI-5(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-5.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements security directives in accordance with established time frames; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-5.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003enotifies the issuing organization of the degree of noncompliance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security alerts, advisories, and directives\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of security alerts and advisories\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security alert and advisory responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel implementing, operating, maintaining, and using the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing definition, receipt, generation, and dissemination of security alerts, advisories, and directives\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security directives\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.5.1.", + "title": "AUTOMATED ALERTS AND ADVISORIES", + "props": [ + { + "class": "name", + "value": "SI-5 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to make security alert and advisory information available throughout the organization.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe significant number of changes to organizational information systems and the environments in which those systems operate requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational missions and business functions. Based on the information provided by the security alerts and advisories, changes may be required at one or more of the three tiers related to the management of information security risk including the governance level, mission/business process/enterprise architecture level, and the information system level.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated mechanisms to make security alert and advisory information available throughout the organization.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security alerts, advisories, and directives\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the distribution of security alert and advisory information\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of security alerts and advisories\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security alert and advisory responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel implementing, operating, maintaining, and using the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel, organizational elements, and/or external organizations to whom alerts and advisories are to be disseminated\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining, receiving, generating, and disseminating security alerts and advisories\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing dissemination of security alerts and advisories\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-40", + "value": "NIST Special Publication 800-40" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.6", + "title": "SECURITY FUNCTION VERIFICATION", + "params": [ + { + "id": "si-6_a", + "desc": "organization-defined security functions", + "value": "organization-defined security functions" + }, + { + "id": "si-6_b", + "desc": "organization-defined system transitional states", + "value": "organization-defined system transitional states" + }, + { + "id": "si-6_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "si-6_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-6_e", + "desc": "organization-defined alternative action(s)", + "value": "organization-defined alternative action(s)" + } + ], + "props": [ + { + "class": "name", + "value": "SI-6" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-6a.", + "prose": [ + "\u003cp class=\"description\"\u003eVerifies the correct operation of \u003cinsert param-id=\"si-6_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6a." + } + ] + }, + { + "class": "item", + "id": "smm_si-6b.", + "prose": [ + "\u003cp class=\"description\"\u003ePerforms this verification [Selection (one or more): \u003cinsert param-id=\"si-6_b\"/\u003e; upon command by user with appropriate privilege; \u003cinsert param-id=\"si-6_c\"/\u003e];\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6b." + } + ] + }, + { + "class": "item", + "id": "smm_si-6c.", + "prose": [ + "\u003cp class=\"description\"\u003eNotifies \u003cinsert param-id=\"si-6_d\"/\u003e of failed security verification tests; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6c." + } + ] + }, + { + "class": "item", + "id": "smm_si-6d.", + "prose": [ + "\u003cp class=\"description\"\u003e[Selection (one or more): shuts the information system down; restarts the information system; \u003cinsert param-id=\"si-6_e\"/\u003e] when anomalies are discovered.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTransitional states for information systems include, for example, system startup, restart, shutdown, and abort. Notifications provided by information systems include, for example, electronic alerts to system administrators, messages to local computer consoles, and/or hardware indications such as lights.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#cm.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-6.a.", + "props": [ + { + "class": "name", + "value": "SI-6(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-6.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security functions to be verified for correct operation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system verifies the correct operation of organization-defined security functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.b.", + "props": [ + { + "class": "name", + "value": "SI-6(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines system transitional states requiring verification of organization-defined security functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a frequency to verify the correct operation of organization-defined security functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system performs this verification one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(b)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-6.b.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eat organization-defined system transitional states;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(b)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.b.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eupon command by user with appropriate privilege; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(b)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.b.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(b)[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.c.", + "props": [ + { + "class": "name", + "value": "SI-6(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-6.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be notified of failed security verification tests;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system notifies organization-defined personnel or roles of failed security verification tests;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.d.", + "props": [ + { + "class": "name", + "value": "SI-6(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-6.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines alternative action(s) to be performed when anomalies are discovered;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system performs one or more of the following actions when anomalies are discovered:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(d)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-6.d.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eshuts the information system down;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(d)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.d.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erestarts the information system; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(d)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-6.d.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eperforms organization-defined alternative action(s).\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(d)[2][c]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function verification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications of failed security verification tests\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of system transition states requiring security functionality verification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security function verification responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel implementing, operating, and maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security function verification\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security function verification capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.6.1.", + "title": "NOTIFICATION OF FAILED SECURITY TESTS", + "props": [ + { + "class": "name", + "value": "SI-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.6.2.", + "title": "AUTOMATION SUPPORT FOR DISTRIBUTED TESTING", + "props": [ + { + "class": "name", + "value": "SI-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements automated mechanisms to support the management of distributed security testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#si.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements automated mechanisms to support the management of distributed security testing.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function verification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security function verification responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel implementing, operating, and maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security function verification\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the management of distributed security testing\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.6.3.", + "title": "REPORT VERIFICATION RESULTS", + "props": [ + { + "class": "name", + "value": "SI-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization reports the results of security function verification to \u003cinsert param-id=\"si-6_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational personnel with potential interest in security function verification results include, for example, senior information security officers, information system security managers, and information systems security officers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + }, + { + "href": "#si.4" + }, + { + "href": "#si.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-6.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles designated to receive the results of security function verification; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-6.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports the results of security function verification to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security function verification\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of security function verification results\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security function verification responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for reporting security function verification results\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the reporting of security function verification results\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-6_f", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.7", + "title": "SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY", + "params": [ + { + "id": "si-7_a", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs integrity verification tools to detect unauthorized changes to \u003cinsert param-id=\"si-7_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnauthorized changes to software, firmware, and information can occur due to errors or malicious activity (e.g., tampering). Software includes, for example, operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes, for example, the Basic Input Output System (BIOS). Information includes metadata such as security attributes associated with information. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + }, + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-7-1.", + "props": [ + { + "class": "name", + "value": "SI-7[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-7-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines software requiring integrity verification tools to be employed to detect unauthorized changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-7-1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines firmware requiring integrity verification tools to be employed to detect unauthorized changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-7-1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information requiring integrity verification tools to be employed to detect unauthorized changes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-7-2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys integrity verification tools to detect unauthorized changes to organization-defined:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-7-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-7-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7[2][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-7-2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords generated/triggered from integrity verification tools regarding unauthorized software, firmware, and information changes\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.7.1.", + "title": "INTEGRITY CHECKS", + "props": [ + { + "class": "name", + "value": "SI-7 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system performs an integrity check of \u003cinsert param-id=\"si-7_b\"/\u003e [Selection (one or more): at startup; at \u003cinsert param-id=\"si-7_c\"/\u003e; \u003cinsert param-id=\"si-7_d\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity-relevant events include, for example, the identification of a new threat to which organizational information systems are susceptible, and the installation of new hardware, software, or firmware. Transitional states include, for example, system startup, restart, shutdown, and abort.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware requiring integrity checks to be performed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware requiring integrity checks to be performed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation requiring integrity checks to be performed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[1][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines transitional states or security-relevant events requiring integrity checks of organization-defined:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[2][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines a frequency with which to perform an integrity check of organization-defined:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.1.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[3][c]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system performs an integrity check of organization-defined software, firmware, and information one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.1.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eat startup;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eat organization-defined transitional states or security-relevant events; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[4][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.1.4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(1)[4][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_b", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + }, + { + "id": "si-7_c", + "desc": "organization-defined transitional states or security-relevant events", + "value": "organization-defined transitional states or security-relevant events" + }, + { + "id": "si-7_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.2.", + "title": "AUTOMATED NOTIFICATIONS OF INTEGRITY VIOLATIONS", + "props": [ + { + "class": "name", + "value": "SI-7 (2)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated tools that provide notification to \u003cinsert param-id=\"si-7_e\"/\u003e upon discovering discrepancies during integrity verification.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of automated tools to report integrity violations and to notify organizational personnel in a timely matter is an essential precursor to effective risk response. Personnel having an interest in integrity violations include, for example, mission/business owners, information system owners, systems administrators, software developers, systems integrators, and information security officers.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom notification is to be provided upon discovering discrepancies during integrity verification; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated tools that provide notification to organization-defined personnel or roles upon discovering discrepancies during integrity verification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated tools supporting alerts and notifications for integrity discrepancies\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications provided upon discovering discrepancies during integrity verifications\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms providing integrity discrepancy notifications\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.3.", + "title": "CENTRALLY-MANAGED INTEGRITY TOOLS", + "props": [ + { + "class": "name", + "value": "SI-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs centrally managed integrity verification tools.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#au.3" + }, + { + "href": "#si.2" + }, + { + "href": "#si.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs centrally managed integrity verification tools.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for central management of integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing central management of integrity verification tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.4.", + "title": "TAMPER-EVIDENT PACKAGING", + "props": [ + { + "class": "name", + "value": "SI-7 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.12" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.5.", + "title": "AUTOMATED RESPONSE TO INTEGRITY VIOLATIONS", + "props": [ + { + "class": "name", + "value": "SI-7 (5)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically [Selection (one or more): shuts the information system down; restarts the information system; implements \u003cinsert param-id=\"si-7_f\"/\u003e] when integrity violations are discovered.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may define different integrity checking and anomaly responses: (i) by type of information (e.g., firmware, software, user data); (ii) by specific information (e.g., boot firmware, boot firmware for a specific types of machines); or (iii) a combination of both. Automatic implementation of specific safeguards within organizational information systems includes, for example, reversing the changes, halting the information system, or triggering audit alerts when unauthorized modifications to critical security files occur.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be implemented when integrity violations are discovered;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system automatically performs one or more of the following actions when integrity violations are discovered:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(5)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.5.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eshuts the information system down;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(5)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003erestarts the information system; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(5)[2][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.5.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements the organization-defined security safeguards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(5)[2][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity checks and responses to integrity violations\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms providing an automated response to integrity violations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security safeguards to be implemented when integrity violations are discovered\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.6.", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "SI-7 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to detect unauthorized changes to software, firmware, and information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic mechanisms used for the protection of integrity include, for example, digital signatures and the computation and application of signed hashes using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system employs cryptographic mechanism to detect unauthorized changes to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.6.1.", + "prose": [ + "\u003cp class=\"decision\"\u003esoftware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(6)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.6.2.", + "prose": [ + "\u003cp class=\"decision\"\u003efirmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(6)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.6.3.", + "prose": [ + "\u003cp class=\"decision\"\u003einformation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(6)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of detected unauthorized changes to software, firmware, and information\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms implementing software, firmware, and information integrity\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.7.", + "title": "INTEGRATION OF DETECTION AND RESPONSE", + "props": [ + { + "class": "name", + "value": "SI-7 (7)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization incorporates the detection of unauthorized \u003cinsert param-id=\"si-7_g\"/\u003e into the organizational incident response capability.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended period of time and for possible legal actions. Security-relevant changes include, for example, unauthorized changes to established configuration settings or unauthorized elevation of information system privileges.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.4" + }, + { + "href": "#ir.5" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines unauthorized security-relevant changes to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eincorporates the detection of unauthorized organization-defined security-relevant changes to the information system into the organizational incident response capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(7)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for incorporating detection of unauthorized security-relevant changes into the incident response capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003esoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing incorporation of detection of unauthorized security-relevant changes into the incident response capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_g", + "desc": "organization-defined security-relevant changes to the information system", + "value": "organization-defined security-relevant changes to the information system" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.8.", + "title": "AUDITING CAPABILITY FOR SIGNIFICANT EVENTS", + "props": [ + { + "class": "name", + "value": "SI-7 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system, upon detection of a potential integrity violation, provides the capability to audit the event and initiates the following actions: [Selection (one or more): generates an audit record; alerts current user; alerts \u003cinsert param-id=\"si-7_h\"/\u003e; \u003cinsert param-id=\"si-7_i\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations select response actions based on types of software, specific software, or information for which there are potential integrity violations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be alerted upon detection of a potential integrity violation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines other actions to be taken upon detection of a potential integrity violation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.8.3.", + "props": [ + { + "class": "name", + "value": "SI-7(8)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.8.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, upon detection of a potential integrity violation, provides the capability to audit the event;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.8.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system, upon detection of a potential integrity violation, initiates one or more of the following actions:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.8.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003egenerates an audit record;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b][1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.8.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ealerts current user;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b][2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.8.3.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ealerts organization-defined personnel or roles; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b][3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.8.3.b.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined other actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b][4]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp class=\"object\"\u003eincident response records, list of security-relevant changes to the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated tools supporting alerts and notifications if unauthorized security changes are detected\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the capability to audit potential integrity violations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alerts about potential integrity violations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_h", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-7_i", + "desc": "organization-defined other actions", + "value": "organization-defined other actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.9.", + "title": "VERIFY BOOT PROCESS", + "props": [ + { + "class": "name", + "value": "SI-7 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system verifies the integrity of the boot process of \u003cinsert param-id=\"si-7_j\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEnsuring the integrity of boot processes is critical to starting devices in known/trustworthy states. Integrity verification mechanisms provide organizational personnel with assurance that only trusted code is executed during boot processes.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines devices requiring integrity verification of the boot process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system verifies the integrity of the boot process of organization-defined devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity verification scans\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing integrity verification of the boot process\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_j", + "desc": "organization-defined devices", + "value": "organization-defined devices" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.10.", + "title": "PROTECTION OF BOOT FIRMWARE", + "props": [ + { + "class": "name", + "value": "SI-7 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"si-7_k\"/\u003e to protect the integrity of boot firmware in \u003cinsert param-id=\"si-7_l\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnauthorized modifications to boot firmware may be indicative of a sophisticated, targeted cyber attack. These types of cyber attacks can result in a permanent denial of service (e.g., if the firmware is corrupted) or a persistent malicious code presence (e.g., if code is embedded within the firmware). Devices can protect the integrity of the boot firmware in organizational information systems by: (i) verifying the integrity and authenticity of all updates to the boot firmware prior to applying changes to the boot devices; and (ii) preventing unauthorized processes from modifying the boot firmware.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be implemented to protect the integrity of boot firmware in devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines devices requiring organization-defined security safeguards to be implemented to protect the integrity of boot firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(10)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.10.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined security safeguards to protect the integrity of boot firmware in organization-defined devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(10)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of integrity verification scans\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing protection of the integrity of boot firmware\u003c/p\u003e", + "\u003cp class=\"object\"\u003esafeguards implementing protection of the integrity of boot firmware\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_k", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "si-7_l", + "desc": "organization-defined devices", + "value": "organization-defined devices" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.11.", + "title": "CONFINED ENVIRONMENTS WITH LIMITED PRIVILEGES", + "props": [ + { + "class": "name", + "value": "SI-7 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that \u003cinsert param-id=\"si-7_m\"/\u003e execute in a confined physical or virtual machine environment with limited privileges.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations identify software that may be of greater concern with regard to origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines user-installed software to be executed in a confined physical or virtual machine environment with limited privileges; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that organization-defined user-installed software execute in a confined physical or virtual machine environment with limited privileges.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(11)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing execution of software in a confined environment (physical and/or virtual)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing limited privileges in the confined environment\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_m", + "desc": "organization-defined user-installed software", + "value": "organization-defined user-installed software" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.12.", + "title": "INTEGRITY VERIFICATION", + "props": [ + { + "class": "name", + "value": "SI-7 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization requires that the integrity of \u003cinsert param-id=\"si-7_n\"/\u003e be verified prior to execution.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or code that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity including, for example, availability of checksums of adequate trustworthiness from software developers or vendors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines user-installed software requiring integrity verification prior to execution; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erequires that the integrity of organization-defined user-installed software be verified prior to execution.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(12)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eintegrity verification records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing verification of the integrity of user-installed software prior to execution\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_n", + "desc": "organization-defined user-installed software", + "value": "organization-defined user-installed software" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.13.", + "title": "CODE EXECUTION IN PROTECTED ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "SI-7 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization allows execution of binary or machine-executable code obtained from sources with limited or no warranty and without the provision of source code only in confined physical or virtual machine environments and with the explicit approval of \u003cinsert param-id=\"si-7_o\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.13.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eallows execution of binary or machine-executable code obtained from sources with limited or no warranty;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(13)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.13.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eallows execution of binary or machine-executable code without the provision of source code only in confined physical or virtual machines;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(13)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.13.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles required to provide explicit approval to allow execution of binary or machine-executable code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(13)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.13.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eallows execution of binary or machine-executable code with the explicit approval of organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(13)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapproval records for execution of binary and machine-executable code\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing approvals for execution of binary or machine-executable code\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_o", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.14.", + "title": "BINARY OR MACHINE EXECUTABLE CODE", + "props": [ + { + "class": "name", + "value": "SI-7 (14)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-7.14.a.", + "prose": [ + "\u003cp class=\"description\"\u003eProhibits the use of binary or machine-executable code from sources with limited or no warranty and without the provision of source code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7 (14)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-7.14.b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides exceptions to the source code requirement only for compelling mission/operational requirements and with the approval of the authorizing official.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7 (14)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software. Organizations assess software products without accompanying source code from sources with limited or no warranty for potential security impacts. The assessments address the fact that these types of software products may be very difficult to review, repair, or extend, given that organizations, in most cases, do not have access to the original source code, and there may be no owners who could make such repairs on behalf of organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.14.a.", + "props": [ + { + "class": "name", + "value": "SI-7(14)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.14.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the use of binary or machine-executable code from sources with limited or no warranty;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(14)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.14.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprohibits the use of binary or machine-executable code without the provision of source code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(14)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.14.b.", + "props": [ + { + "class": "name", + "value": "SI-7(14)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.14.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides exceptions to the source code requirement only for compelling mission/operational requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(14)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.14.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides exceptions to the source code requirement only with the approval of the authorizing official.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(14)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eapproval records for execution of binary and machine-executable code\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorizing official\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing prohibition of the execution of binary or machine-executable code\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.15.", + "title": "CODE AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "SI-7 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements cryptographic mechanisms to authenticate \u003cinsert param-id=\"si-7_p\"/\u003e prior to installation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic authentication includes, for example, verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.15.1.", + "props": [ + { + "class": "name", + "value": "SI-7(15)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.15.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines software components to be authenticated by cryptographic mechanisms prior to installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(15)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.15.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines firmware components to be authenticated by cryptographic mechanisms prior to installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(15)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.15.2.", + "props": [ + { + "class": "name", + "value": "SI-7(15)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.15.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements cryptographic mechanisms to authenticate organization-defined software components prior to installation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(15)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.15.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements cryptographic mechanisms to authenticate organization-defined firmware components prior to installation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(15)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecryptographic mechanisms and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eCryptographic mechanisms authenticating software/firmware prior to installation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_p", + "desc": "organization-defined software or firmware components", + "value": "organization-defined software or firmware components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.16.", + "title": "TIME LIMIT ON PROCESS EXECUTION W/O SUPERVISION", + "props": [ + { + "class": "name", + "value": "SI-7 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization does not allow processes to execute without supervision for more than \u003cinsert param-id=\"si-7_q\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses processes for which normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes, for example, operating system timers, automated responses, or manual oversight and response when information system process anomalies occur.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-7.16.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period as the maximum period allowed for processes to execute without supervision; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(16)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-7.16.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edoes not allow processes to execute without supervision for more than the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7(16)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing software and information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing time limits on process execution without supervision\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-7_q", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-147", + "value": "NIST Special Publication 800-147" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-155", + "value": "NIST Special Publication 800-155" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.8", + "title": "SPAM PROTECTION", + "props": [ + { + "class": "name", + "value": "SI-8" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-8a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys spam protection mechanisms at information system entry and exit points to detect and take action on unsolicited messages; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8a." + } + ] + }, + { + "class": "item", + "id": "smm_si-8b.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, mobile devices, and notebook/laptop computers. Spam can be transported by different means including, for example, electronic mail, electronic mail attachments, and web accesses. Spam protection mechanisms include, for example, signature definitions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-8.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys spam protection mechanisms:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-8.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eat information system entry points to detect unsolicited messages;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-8.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eat information system entry points to take action on unsolicited messages;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-8.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eat information system exit points to detect unsolicited messages;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8(a)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-8.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eat information system exit points to take action on unsolicited messages; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8(a)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-8.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy and procedures (CM-1)\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003espam protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of spam protection updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for implementing spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing spam protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.8.1.", + "title": "CENTRAL MANAGEMENT", + "props": [ + { + "class": "name", + "value": "SI-8 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization centrally manages spam protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection security controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.3" + }, + { + "href": "#si.2" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization centrally manages spam protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003espam protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for central management of spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing central management of spam protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.8.2.", + "title": "AUTOMATIC UPDATES", + "props": [ + { + "class": "name", + "value": "SI-8 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically updates spam protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system automatically updates spam protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003espam protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of spam protection updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing automatic updates to spam protection mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.8.3.", + "title": "CONTINUOUS LEARNING CAPABILITY", + "props": [ + { + "class": "name", + "value": "SI-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLearning mechanisms include, for example, Bayesian filters that respond to user inputs identifying specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003espam protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for spam protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing spam protection mechanisms with a learning capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-45", + "value": "NIST Special Publication 800-45" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.9", + "title": "INFORMATION INPUT RESTRICTIONS", + "props": [ + { + "class": "name", + "value": "SI-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-2, AC-3, AC-5, AC-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + } + ] + }, + { + "class": "SP800-53", + "id": "si.10", + "title": "INFORMATION INPUT VALIDATION", + "params": [ + { + "id": "si-10_a", + "desc": "organization-defined information inputs", + "value": "organization-defined information inputs" + } + ], + "props": [ + { + "class": "name", + "value": "SI-10" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system checks the validity of \u003cinsert param-id=\"si-10_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eChecking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, and acceptable values) verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the tainted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation helps to ensure accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-10-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information inputs requiring validity checks; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-10-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system checks the validity of organization-defined information inputs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eseparation of duties policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation for automated tools and applications to verify validity of information\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information inputs requiring validity checks\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing validity checks on information inputs\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.10.1.", + "title": "MANUAL OVERRIDE CAPABILITY", + "props": [ + { + "class": "name", + "value": "SI-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-10.1.a.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides a manual override capability for input validation of \u003cinsert param-id=\"si-10_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-10.1.b.", + "prose": [ + "\u003cp class=\"description\"\u003eRestricts the use of the manual override capability to only \u003cinsert param-id=\"si-10_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10 (1)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-10.1.c.", + "prose": [ + "\u003cp class=\"description\"\u003eAudits the use of the manual override capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10 (1)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-10.1.a.", + "props": [ + { + "class": "name", + "value": "SI-10(1)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-10.1.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information inputs for which the information system provides a manual override capability for input validation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(1)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system provides a manual override capability for input validation of organization-defined inputs;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(1)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.1.b.", + "props": [ + { + "class": "name", + "value": "SI-10(1)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-10.1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines authorized individuals who can use the manual override capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(1)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system restricts the use of manual override capability to organization-defined authorized individuals; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(1)(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system audits the use of the manual override capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(1)(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eseparation of duties policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for use of manual override capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing manual override capability for input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing auditing of the use of manual override capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-10_b", + "desc": "organization-defined inputs", + "value": "organization-defined inputs" + }, + { + "id": "si-10_c", + "desc": "organization-defined authorized individuals", + "value": "organization-defined authorized individuals" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.10.2.", + "title": "REVIEW / RESOLUTION OF ERRORS", + "props": [ + { + "class": "name", + "value": "SI-10 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that input validation errors are reviewed and resolved within \u003cinsert param-id=\"si-10_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eResolution of input validation errors includes, for example, correcting systemic causes of errors and resubmitting transactions with corrected input.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-10.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period within which input validation errors are to be reviewed and resolved; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that input validation errors are reviewed and resolved within the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eseparation of duties policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ereview records of information input validation errors and resulting resolutions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation input validation error logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for review and resolution of input validation errors\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing review and resolution of input validation errors\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-10_d", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.10.3.", + "title": "PREDICTABLE BEHAVIOR", + "props": [ + { + "class": "name", + "value": "SI-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA common vulnerability in organizational information systems is unpredictable behavior when invalid inputs are received. This control enhancement ensures that there is predictable behavior in the face of invalid inputs by specifying information system responses that facilitate transitioning the system to known states without adverse, unintended side effects.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing predictable behavior when invalid inputs are received\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.10.4.", + "title": "REVIEW / TIMING INTERACTIONS", + "props": [ + { + "class": "name", + "value": "SI-10 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn addressing invalid information system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols within the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to collisions or noise on the link. If TCP makes a congestion response, it takes precisely the wrong action in response to a collision event. Adversaries may be able to use apparently acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for determining appropriate responses to invalid inputs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing responses to invalid inputs\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.10.5.", + "title": "RESTRICT INPUTS TO TRUSTED SOURCES AND APPROVED FORMATS", + "props": [ + { + "class": "name", + "value": "SI-10 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization restricts the use of information inputs to \u003cinsert param-id=\"si-10_e\"/\u003e and/or \u003cinsert param-id=\"si-10_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies the concept of whitelisting to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-10.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines trusted sources to which the use of information inputs is to be restricted;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines formats to which the use of information inputs is to be restricted;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003erestricts the use of information inputs to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(5)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-10.5.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined trust sources; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(5)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-10.5.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined formats.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10(5)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of trusted sources for information inputs\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of acceptable formats for input restrictions\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for restricting information inputs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing restriction of information inputs\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-10_e", + "desc": "organization-defined trusted sources", + "value": "organization-defined trusted sources" + }, + { + "id": "si-10_f", + "desc": "organization-defined formats", + "value": "organization-defined formats" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.11", + "title": "ERROR HANDLING", + "params": [ + { + "id": "si-11_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SI-11" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-11a.", + "prose": [ + "\u003cp class=\"description\"\u003eGenerates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-11a." + } + ] + }, + { + "class": "item", + "id": "smm_si-11b.", + "prose": [ + "\u003cp class=\"description\"\u003eReveals error messages only to \u003cinsert param-id=\"si-11_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-11b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations carefully consider the structure/content of error messages. The extent to which information systems are able to identify and handle error conditions is guided by organizational policy and operational requirements. Information that could be exploited by adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as the username, mission/business information that can be derived from (if not stated explicitly by) information recorded, and personal information such as account numbers, social security numbers, and credit card numbers. In addition, error messages may provide a covert channel for transmitting information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.3" + }, + { + "href": "#sc.31" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-11.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-11(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-11.b.", + "props": [ + { + "class": "name", + "value": "SI-11(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-11.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to whom error messages are to be revealed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-11(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-11.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system reveals error messages only to organization-defined personnel or roles.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-11(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system error handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation providing structure/content of error messages\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for error handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing error handling\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing management of error messages\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.12", + "title": "INFORMATION HANDLING AND RETENTION", + "props": [ + { + "class": "name", + "value": "SI-12" + }, + { + "class": "priority", + "value": "P2" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization handles and retains information within the information system and information output from the system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation handling and retention requirements cover the full life cycle of information, in some cases extending beyond the disposal of information systems. The National Archives and Records Administration provides guidance on records retention.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#au.5" + }, + { + "href": "#au.11" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-12-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ehandles information within the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-12[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-12-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ehandles output from the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-12[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-12-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains information within the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-12[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-12-4.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains output from the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-12[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003efederal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information handling and retention\u003c/p\u003e", + "\u003cp class=\"object\"\u003emedia protection policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system output handling and retention\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation retention records, other relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for information handling and retention\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities/network administrators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information handling and retention\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information handling and retention\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.13", + "title": "PREDICTABLE FAILURE PREVENTION", + "params": [ + { + "id": "si-13_a", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + }, + { + "id": "si-13_b", + "desc": "organization-defined MTTF substitution criteria", + "value": "organization-defined MTTF substitution criteria" + } + ], + "props": [ + { + "class": "name", + "value": "SI-13" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-13a.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines mean time to failure (MTTF) for \u003cinsert param-id=\"si-13_a\"/\u003e in specific environments of operation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13a." + } + ] + }, + { + "class": "item", + "id": "smm_si-13b.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides substitute information system components and a means to exchange active and standby components at \u003cinsert param-id=\"si-13_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhile MTTF is primarily a reliability issue, this control addresses potential failures of specific information system components that provide security capability. Failure rates reflect installation-specific consideration, not industry-average. Organizations define criteria for substitution of information system components based on MTTF value with consideration for resulting potential harm from component failures. Transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capability (e.g., preservation of state variables). Standby components remain available at all times except for maintenance issues or recovery failures in progress.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.10" + }, + { + "href": "#ma.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-13.a.", + "props": [ + { + "class": "name", + "value": "SI-13(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-13.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components for which mean time to failure (MTTF) should be determined;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-13.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines MTTF for organization-defined information system components in specific environments of operation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-13.b.", + "props": [ + { + "class": "name", + "value": "SI-13(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-13.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines MTTF substitution criteria to be used as a means to exchange active and standby components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-13.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides substitute information system components at organization-defined MTTF substitution criteria; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(b)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-13.b.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides a means to exchange active and standby components at organization-defined MTTF substitution criteria.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(b)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of MTTF substitution criteria\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for MTTF determinations and activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing MTTF\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.13.1.", + "title": "TRANSFERRING COMPONENT RESPONSIBILITIES", + "props": [ + { + "class": "name", + "value": "SI-13 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization takes information system components out of service by transferring component responsibilities to substitute components no later than \u003cinsert param-id=\"si-13_c\"/\u003e of mean time to failure.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines maximum fraction or percentage of mean time to failure within which to transfer the responsibilities of an information system component that is out of service to a substitute component; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etakes the information system component out of service by transferring component responsibilities to substitute components no later than organization-defined fraction or percentage of mean time to failure.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for MTTF activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing MTTF\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing transfer of component responsibilities to substitute components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-13_c", + "desc": "organization-defined fraction or percentage", + "value": "organization-defined fraction or percentage" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.13.2.", + "title": "TIME LIMIT ON PROCESS EXECUTION WITHOUT SUPERVISION", + "props": [ + { + "class": "name", + "value": "SI-13 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-7 (16)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.7.16." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.13.3.", + "title": "MANUAL TRANSFER BETWEEN COMPONENTS", + "props": [ + { + "class": "name", + "value": "SI-13 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization manually initiates transfers between active and standby information system components \u003cinsert param-id=\"si-13_d\"/\u003e if the mean time to failure exceeds \u003cinsert param-id=\"si-13_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the minimum frequency with which the organization manually initiates a transfer between active and standby information system components if the mean time to failure exceeds the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period that the mean time to failure must exceed before the organization manually initiates a transfer between active and standby information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(3)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.3.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emanually initiates transfers between active and standby information system components at the organization-defined frequency if the mean time to failure exceeds the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(3)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for MTTF activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing MTTF and conducting the manual transfer between active and standby components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-13_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "si-13_e", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.13.4.", + "title": "STANDBY COMPONENT INSTALLATION / NOTIFICATION", + "props": [ + { + "class": "name", + "value": "SI-13 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization, if information system component failures are detected:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-13.4.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the standby components are successfully and transparently installed within \u003cinsert param-id=\"si-13_f\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-13.4.b.", + "prose": [ + "\u003cp class=\"description\"\u003e[Selection (one or more): activates \u003cinsert param-id=\"si-13_g\"/\u003e; automatically shuts down the information system].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13 (4)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomatic or manual transfer of components from standby to active mode can occur, for example, upon detection of component failures.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.4.a.", + "props": [ + { + "class": "name", + "value": "SI-13(4)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period for standby information system components to be successfully and transparently installed when information system component failures are detected;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(4)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that the standby components are successfully and transparently installed within the organization-defined time period;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(4)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.4.b.", + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines an alarm to be activated when information system component failures are detected;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eif information system component failures are detected, does one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.4.b.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eactivates the organization-defined alarm; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.4.b.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eautomatically shuts down the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)[2][b]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of actions to be taken once information system component failure is detected\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for MTTF activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing MTTF\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing transparent installation of standby components\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alarms or system shutdown if component failures are detected\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-13_f", + "desc": "organization-defined time period", + "value": "organization-defined time period" + }, + { + "id": "si-13_g", + "desc": "organization-defined alarm", + "value": "organization-defined alarm" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.13.5.", + "title": "FAILOVER CAPABILITY", + "props": [ + { + "class": "name", + "value": "SI-13 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides [Selection: real-time; near real-time] \u003cinsert param-id=\"si-13_h\"/\u003e for the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailover refers to the automatic switchover to an alternate information system upon the failure of the primary information system. Failover capability includes, for example, incorporating mirrored information system operations at alternate processing sites or periodic data mirroring at regular intervals defined by recovery time periods of organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines failover capability to be provided for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides one of the following organization-defined failover capabilities for the information system:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(5)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-13.5.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ereal-time failover capability; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(5)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-13.5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003enear real-time failover capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13(5)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation describing failover capability provided for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for failover capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for managing failover capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing failover capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-13_h", + "desc": "organization-defined failover capability", + "value": "organization-defined failover capability" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.14", + "title": "NON-PERSISTENCE", + "params": [ + { + "id": "si-14_a", + "desc": "organization-defined information system components and services", + "value": "organization-defined information system components and services" + }, + { + "id": "si-14_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-14" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements non-persistent \u003cinsert param-id=\"si-14_a\"/\u003e that are initiated in a known state and terminated [Selection (one or more): upon end of session of use; periodically at \u003cinsert param-id=\"si-14_b\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control mitigates risk from advanced persistent threats (APTs) by significantly reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. By implementing the concept of non-persistence for selected information system components, organizations can provide a known state computing resource for a specific period of time that does not give adversaries sufficient time on target to exploit vulnerabilities in organizational information systems and the environments in which those systems operate. Since the advanced persistent threat is a high-end threat with regard to capability, intent, and targeting, organizations assume that over an extended period of time, a percentage of cyber attacks will be successful. Non-persistent information system components and services are activated as required using protected information and terminated periodically or upon the end of sessions. Non-persistence increases the work factor of adversaries in attempting to compromise or breach organizational information systems. Non-persistent system components can be implemented, for example, by periodically re-imaging components or by using a variety of common virtualization techniques. Non-persistent services can be implemented using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent).The benefit of periodic refreshes of information system components/services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult for organizations to determine). The refresh of selected information system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the information system unstable. In some instances, refreshes of critical components and services may be done periodically in order to hinder the ability of adversaries to exploit optimum windows of vulnerabilities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.30" + }, + { + "href": "#sc.34" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-14-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines non-persistent information system components and services to be implemented;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-14[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-14-2.", + "props": [ + { + "class": "name", + "value": "SI-14[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-14-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to terminate non-persistent organization-defined components and services that are initiated in a known state;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-14[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-14-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements non-persistent organization-defined information system components and services that are initiated in a known state and terminated one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-14[2][b]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-14-2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eupon end of session of use; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-14[2][b][1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-14-2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eperiodically at the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-14[2][b][2]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-persistence for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for non-persistence\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing initiation and termination of non-persistent components\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.14.1.", + "title": "REFRESH FROM TRUSTED SOURCES", + "props": [ + { + "class": "name", + "value": "SI-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization ensures that software and data employed during information system component and service refreshes are obtained from \u003cinsert param-id=\"si-14_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTrusted sources include, for example, software/data from write-once, read-only media or from selected off-line secure storage facilities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-14.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines trusted sources from which software and data employed during information system component and service refreshes are to be obtained; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-14(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-14.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that software and data employed during information system component and service refreshes are obtained from organization-defined trusted sources.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-14(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing non-persistence for information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for obtaining component and service refreshes from trusted sources\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining and obtaining component and service refreshes from trusted sources\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing component and service refreshes\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-14_c", + "desc": "organization-defined trusted sources", + "value": "organization-defined trusted sources" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.15", + "title": "INFORMATION OUTPUT FILTERING", + "params": [ + { + "id": "si-15_a", + "desc": "organization-defined software programs and/or applications", + "value": "organization-defined software programs and/or applications" + } + ], + "props": [ + { + "class": "name", + "value": "SI-15" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system validates information output from \u003cinsert param-id=\"si-15_a\"/\u003e to ensure that the information is consistent with the expected content.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCertain types of cyber attacks (e.g., SQL injections) produce output results that are unexpected or inconsistent with the output results that would normally be expected from software programs or applications. This control enhancement focuses on detecting extraneous content, preventing such extraneous content from being displayed, and alerting monitoring tools that anomalous behavior has been discovered.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-15-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines software programs and/or applications whose information output requires validation to ensure that the information is consistent with the expected content; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-15[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-15-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system validates information output from organization-defined software programs and/or applications to ensure that the information is consistent with the expected content.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-15[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information output filtering\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for validating information output\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for validating information output\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information output validation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.16", + "title": "MEMORY PROTECTION", + "params": [ + { + "id": "si-16_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SI-16" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"si-16_a\"/\u003e to protect its memory from unauthorized code execution.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSome adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Security safeguards employed to protect memory include, for example, data execution prevention and address space layout randomization. Data execution prevention safeguards can either be hardware-enforced or software-enforced with hardware providing the greater strength of mechanism.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.25" + }, + { + "href": "#sc.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-16-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be implemented to protect information system memory from unauthorized code execution; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-16[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-16-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined security safeguards to protect its memory from unauthorized code execution.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-16[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing memory protection for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards protecting information system memory from unauthorized code execution\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for memory protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing safeguards to protect information system memory from unauthorized code execution\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.17", + "title": "FAIL-SAFE PROCEDURES", + "params": [ + { + "id": "si-17_a", + "desc": "organization-defined fail-safe procedures", + "value": "organization-defined fail-safe procedures" + }, + { + "id": "si-17_b", + "desc": "organization-defined failure conditions occur", + "value": "organization-defined failure conditions occur" + } + ], + "props": [ + { + "class": "name", + "value": "SI-17" + }, + { + "class": "priority", + "value": "P0" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"si-17_a\"/\u003e when \u003cinsert param-id=\"si-17_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailure conditions include, for example, loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include, for example, alerting operator personnel and providing specific instructions on subsequent steps to take (e.g., do nothing, reestablish system settings, shut down processes, restart the system, or contact designated organizational personnel).\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.12" + }, + { + "href": "#cp.13" + }, + { + "href": "#sc.24" + }, + { + "href": "#si.13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-17-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines fail-safe procedures to be implemented when organization-defined failure conditions occur;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-17[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-17-2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines failure conditions resulting in organization-defined fail-safe procedures being implemented when such conditions occur; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-17[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-17-3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined fail-safe procedures when organization-defined failure conditions occur.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-17[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing memory protection for the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of security safeguards protecting information system memory from unauthorized code execution\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for fail-safe procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational fail-safe procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing fail-safe procedures\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "PROGRAM MANAGEMENT", + "controls": [ + { + "class": "SP800-53", + "id": "pm.1", + "title": "INFORMATION SECURITY PROGRAM PLAN", + "params": [ + { + "id": "pm-1_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PM-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops and disseminates an organization-wide information security program plan that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pm-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pm-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.2." + } + ] + }, + { + "class": "item", + "id": "sms_pm-1a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eReflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.3." + } + ] + }, + { + "class": "item", + "id": "sms_pm-1a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eIs approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pm-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the organization-wide information security program plan \u003cinsert param-id=\"pm-1_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1b." + } + ] + }, + { + "class": "item", + "id": "smm_pm-1c.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the plan to address organizational changes and problems identified during plan implementation or security control assessments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1c." + } + ] + }, + { + "class": "item", + "id": "smm_pm-1d.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the information security program plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation security program plans can be represented in single documents or compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Information security program plans provide sufficient information about the program management controls/common controls (including specification of parameters for any assignment and selection statements either explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended. The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organization�s information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls. Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and disseminates an organization-wide information security program plan that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.1.", + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides an overview of the requirements for the security program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides a description of the:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity program management controls in place or planned for meeting those requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ecommon controls in place or planned for meeting those requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eincludes the identification and assignment of:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[4]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.2.5.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[5]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ereflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(3)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eis approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations, organizational assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(4)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.b.", + "props": [ + { + "class": "name", + "value": "PM-1(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review the security program plan for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews the organization-wide information security program plan with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates the plan to address organizational:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges identified during plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges identified during security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eproblems identified during plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eproblems identified during security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the information security program plan from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edisclosure; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing program plan development and implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing program plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing coordination of the program plan with relevant entities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for program plan approvals\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of program plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information security program plan development/review/update/approval\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the information security program plan\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.2", + "title": "SENIOR INFORMATION SECURITY OFFICER", + "props": [ + { + "class": "name", + "value": "PM-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe security officer described in this control is an organizational official. For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this official as the Senior Information Security Officer or Chief Information Security Officer.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization appoints a senior information security officer with the mission and resources to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-2-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinate an organization-wide information security program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-2-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelop an organization-wide information security program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-2-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplement an organization-wide information security program; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-2-4.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintain an organization-wide information security program.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing program plan development and implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing program plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing coordination of the program plan with relevant entities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esenior information security officer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.3", + "title": "INFORMATION SECURITY RESOURCES", + "props": [ + { + "class": "name", + "value": "PM-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3a." + } + ] + }, + { + "class": "item", + "id": "smm_pm-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys a business case/Exhibit 300/Exhibit 53 to record the resources required; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3b." + } + ] + }, + { + "class": "item", + "id": "smm_pm-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that information security resources are available for expenditure as planned.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider establishing champions for information security efforts and as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board (or similar group) to manage and provide oversight for the information security-related aspects of the capital planning and investment control process.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.4" + }, + { + "href": "#sa.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-3.a.", + "props": [ + { + "class": "name", + "value": "PM-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that all capital planning and investment requests include the resources needed to implement the information security program plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments all exceptions to the requirement;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys a business case/Exhibit 300/Exhibit 53 to record the resources required; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eensures that information security resources are available for expenditure as planned.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eExhibits 300\u003c/p\u003e", + "\u003cp class=\"object\"\u003eExhibits 53\u003c/p\u003e", + "\u003cp class=\"object\"\u003ebusiness cases for capital planning and investment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for capital planning and investment\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation of exceptions to capital planning requirements\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for capital planning and investment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for capital planning and investment\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for business case/Exhibit 300/Exhibit 53 development\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the capital planning and investment process\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-65", + "value": "NIST Special Publication 800-65" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.4", + "title": "PLAN OF ACTION AND MILESTONES PROCESS", + "props": [ + { + "class": "name", + "value": "PM-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pm-4a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAre developed and maintained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pm-4a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eDocument the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4a.2." + } + ] + }, + { + "class": "item", + "id": "sms_pm-4a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eAre reported in accordance with OMB FISMA reporting requirements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4a.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pm-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe plan of action and milestones is a key document in the information security program and is subject to federal reporting requirements established by OMB. With the increasing emphasis on organization-wide risk management across all three tiers in the risk management hierarchy (i.e., organization, mission/business process, and information system), organizations view plans of action and milestones from an organizational perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from security control assessments and continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding organizational plans of action and milestones.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-4.a.1.", + "props": [ + { + "class": "name", + "value": "PM-4(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-4.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eare developed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-4.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eare maintained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4(a)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edocument the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4(a)(2)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-4.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eare reported in accordance with OMB FISMA reporting requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4(a)(3)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews plans of action and milestones for consistency with:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-4(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organizational risk management strategy; 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OMB provides guidance on developing information systems inventories and associated reporting requirements. For specific information system inventory reporting requirements, organizations consult OMB annual FISMA reporting guidance.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-5-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops an inventory of its information systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-5[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-5-2.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintains the inventory of its information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-5[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system inventory development and maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eOMB FISMA reporting guidance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for developing and maintaining the information system inventory\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system inventory development and maintenance\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the information system inventory\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.omb.gov", + "value": "http://www.omb.gov" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.6", + "title": "INFORMATION SECURITY MEASURES OF PERFORMANCE", + "props": [ + { + "class": "name", + "value": "PM-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization develops, monitors, and reports on the results of information security measures of performance.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMeasures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security program and the security controls employed in support of the program.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-6-1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops information security measures of performance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-6[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-6-2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors information security measures of performance; 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The integration of information security requirements and associated security controls into the organization�s enterprise architecture helps to ensure that security considerations are addressed by organizations early in the system development life cycle and are directly and explicitly related to the organization�s mission/business processes. This process of security requirements integration also embeds into the enterprise architecture, an integral information security architecture consistent with organizational risk management and information security strategies. For PM-7, the information security architecture is developed at a system-of-systems level (organization-wide), representing all of the organizational information systems. For PL-8, the information security architecture is developed at a level representing an individual information system but at the same time, is consistent with the information security architecture defined for the organization. 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The use of a risk executive function can facilitate consistent, organization-wide application of the risk management strategy. The organization-wide risk management strategy can be informed by risk-related inputs from other sources both internal and external to the organization to ensure the strategy is both broad-based and comprehensive.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-9.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-9(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-9.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements the risk management strategy consistently across the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-9(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-9.c.", + "props": [ + { + "class": "name", + "value": "PM-9(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-9.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the risk management strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-9(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-9.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the risk management strategy to address organizational changes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-9(c)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-9.c.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-9(c)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-9.c.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eas required.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-9(c)[2][b]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing development, implementation, review, and update of the risk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment results relevant to the risk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for development, implementation, review, and update of the risk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for development, implementation, review, and update of the risk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the development, implementation, review, and update of the risk management strategy\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.10", + "title": "SECURITY AUTHORIZATION PROCESS", + "props": [ + { + "class": "name", + "value": "PM-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-10a.", + "prose": [ + "\u003cp class=\"description\"\u003eManages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10a." + } + ] + }, + { + "class": "item", + "id": "smm_pm-10b.", + "prose": [ + "\u003cp class=\"description\"\u003eDesignates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10b." + } + ] + }, + { + "class": "item", + "id": "smm_pm-10c.", + "prose": [ + "\u003cp class=\"description\"\u003eFully integrates the security authorization processes into an organization-wide risk management program.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity authorization processes for information systems and environments of operation require the implementation of an organization-wide risk management process, a Risk Management Framework, and associated security standards and guidelines. Specific roles within the risk management process include an organizational risk executive (function) and designated authorizing officials for each organizational information system and common control provider. Security authorization processes are integrated with organizational continuous monitoring processes to facilitate ongoing understanding and acceptance of risk to organizational operations and assets, individuals, other organizations, and the Nation.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-10.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emanages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-10.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edesignates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-10.c.", + "prose": [ + "\u003cp class=\"decision\"\u003efully integrates the security authorization processes into an organization-wide risk management program.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing management (i.e., documentation, tracking, and reporting) of the security authorization process\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity authorization documents\u003c/p\u003e", + "\u003cp class=\"object\"\u003elists or other documentation about security authorization process roles and responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment results relevant to the security authorization process and the organization-wide risk management program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational risk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for management of the security authorization process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eauthorizing officials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem owners, senior information security officer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for security authorization\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting the security authorization process\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.11", + "title": "MISSION/BUSINESS PROCESS DEFINITION", + "props": [ + { + "class": "name", + "value": "PM-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-11a.", + "prose": [ + "\u003cp class=\"description\"\u003eDefines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-11a." + } + ] + }, + { + "class": "item", + "id": "smm_pm-11b.", + "prose": [ + "\u003cp class=\"description\"\u003eDetermines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until achievable protection needs are obtained.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-11b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, or the Nation through the compromise of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs are derived from the mission/business needs defined by the organization, the mission/business processes selected to meet the stated needs, and the organizational risk management strategy. Information protection needs determine the required security controls for the organization and the associated information systems supporting the mission/business processes. Inherent in defining an organization�s information protection needs is an understanding of the level of adverse impact that could result if a compromise of information occurs. The security categorization process is used to make such potential impact determinations. Mission/business process definitions and associated information protection requirements are documented by the organization in accordance with organizational policy and procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.7" + }, + { + "href": "#pm.8" + }, + { + "href": "#ra.2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-11.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-11(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-11.b.", + "props": [ + { + "class": "name", + "value": "PM-11(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-11.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edetermines information protection needs arising from the defined mission/business process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-11(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-11.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003erevises the processes as necessary until achievable protection needs are obtained.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-11(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for determining mission/business protection needs\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment results relevant to determination of mission/business protection needs\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for mission/business processes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for determining information protection needs for mission/business processes\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for defining mission/business processes and their information protection needs\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-60", + "value": "NIST Special Publication 800-60" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.12", + "title": "INSIDER THREAT PROGRAM", + "props": [ + { + "class": "name", + "value": "PM-12" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations handling classified information are required, under Executive Order 13587 and the National Policy on Insider Threat, to establish insider threat programs. The standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of Controlled Unclassified Information in non-national security systems. Insider threat programs include security controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior organizational official is designated by the department/agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs as a minimum, prepare department/agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from all offices within the department/agency (e.g., human resources, legal, physical security, personnel security, information technology, information system security, and law enforcement) for insider threat analysis, and conduct self-assessments of department/agency insider threat posture. Insider threat programs can leverage the existence of incident handling teams organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace (e.g., ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues). These precursors can better inform and guide organizational officials in more focused, targeted monitoring efforts. The participation of a legal team is important to ensure that all monitoring activities are performed in accordance with appropriate legislation, directives, regulations, policies, standards, and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#at.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#au.10" + }, + { + "href": "#au.12" + }, + { + "href": "#au.13" + }, + { + "href": "#ca.7" + }, + { + "href": "#ia.4" + }, + { + "href": "#ir.4" + }, + { + "href": "#mp.7" + }, + { + "href": "#pe.2" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.4" + }, + { + "href": "#ps.5" + }, + { + "href": "#ps.8" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.38" + }, + { + "href": "#si.4" + }, + { + "href": "#pm.1" + }, + { + "href": "#pm.14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization implements an insider threat program that includes a cross-discipline insider threat incident handling team. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einsider threat program documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for the insider threat program\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment results relevant to insider threats\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist or other documentation on the cross-discipline insider threat incident handling team\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for the insider threat program\u003c/p\u003e", + "\u003cp class=\"object\"\u003emembers of the cross-discipline insider threat incident handling team\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for implementing the insider threat program and the cross-discipline insider threat incident handling team\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the insider threat program and the cross-discipline insider threat incident handling team\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.whitehouse.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net", + "value": "Executive Order 13587" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.13", + "title": "INFORMATION SECURITY WORKFORCE", + "props": [ + { + "class": "name", + "value": "PM-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes an information security workforce development and improvement program.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation security workforce development and improvement programs include, for example: (i) defining the knowledge and skill levels needed to perform information security duties and tasks; (ii) developing role-based training programs for individuals assigned information security roles and responsibilities; and (iii) providing standards for measuring and building individual qualifications for incumbents and applicants for information security-related positions. Such workforce programs can also include associated information security career paths to encourage: (i) information security professionals to advance in the field and fill positions with greater responsibility; and (ii) organizations to fill information security-related positions with qualified personnel. Information security workforce development and improvement programs are complementary to organizational security awareness and training programs. Information security workforce development and improvement programs focus on developing and institutionalizing core information security capabilities of selected personnel needed to protect organizational operations, assets, and individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization establishes an information security workforce development and improvement program. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation security workforce development and improvement program documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for the information security workforce development and improvement program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for the information security workforce development and improvement program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for implementing information security workforce development and improvement program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the information security workforce development and improvement program\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.14", + "title": "TESTING, TRAINING, AND MONITORING", + "props": [ + { + "class": "name", + "value": "PM-14" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-14a.", + "prose": [ + "\u003cp class=\"description\"\u003eImplements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pm-14a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAre developed and maintained; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pm-14a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eContinue to be executed in a timely manner;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pm-14b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control ensures that organizations provide oversight for the security testing, training, and monitoring activities conducted organization-wide and that those activities are coordinated. With the importance of continuous monitoring programs, the implementation of information security across the three tiers of the risk management hierarchy, and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing organizational assessments supporting a variety of security controls. Security training activities, while typically focused on individual information systems and specific roles, also necessitate coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#ca.7" + }, + { + "href": "#cp.4" + }, + { + "href": "#ir.3" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-14.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-14.a.1.", + "props": [ + { + "class": "name", + "value": "PM-14(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-14.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eare developed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-14.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eare maintained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14(a)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-14.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econtinue to be executed in a timely manner;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14(a)(2)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-14.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews testing, training, and monitoring plans for consistency with:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-14.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organizational risk management strategy; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-14.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-wide priorities for risk response actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eplans for conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational procedures addressing development and maintenance of plans for conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for review of plans for conducting security testing, training, and monitoring activities for consistency with risk management strategy and risk response priorities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eresults of risk assessments associated with conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence that plans for conducting security testing, training, and monitoring activities are executed in a timely manner\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibility for developing and maintaining plans for conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for development and maintenance of plans for conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting development and maintenance of plans for conducting security testing, training, and monitoring activities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-16", + "value": "NIST Special Publication 800-16" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.15", + "title": "CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS", + "props": [ + { + "class": "name", + "value": "PM-15" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization establishes and institutionalizes contact with selected groups and associations within the security community:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-15a.", + "prose": [ + "\u003cp class=\"description\"\u003eTo facilitate ongoing security education and training for organizational personnel;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15a." + } + ] + }, + { + "class": "item", + "id": "smm_pm-15b.", + "prose": [ + "\u003cp class=\"description\"\u003eTo maintain currency with recommended security practices, techniques, and technologies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15b." + } + ] + }, + { + "class": "item", + "id": "smm_pm-15c.", + "prose": [ + "\u003cp class=\"description\"\u003eTo share current security-related information including threats, vulnerabilities, and incidents.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOngoing contact with security groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Security groups and associations include, for example, special interest groups, forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. Organizations select groups and associations based on organizational missions/business functions. Organizations share threat, vulnerability, and incident information consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization establishes and institutionalizes contact with selected groups and associations with the security community to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-15.a.", + "prose": [ + "\u003cp class=\"decision\"\u003efacilitate ongoing security education and training for organizational personnel;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-15.b.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintain currency with recommended security practices, techniques, and technologies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-15.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eshare current security-related information including threats, vulnerabilities, and incidents.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk management strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for contacts with security groups and associations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevidence of established and institutionalized contact with security groups and associations\u003c/p\u003e", + "\u003cp class=\"object\"\u003elists or other documentation about contact with and/or membership in security groups and associations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for establishing and institutionalizing contact with security groups and associations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel from selected groups and associations with which the organization has established and institutionalized contact\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for establishing and institutionalizing contact with security groups and associations\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting contacts with security groups and associations\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.16", + "title": "THREAT AWARENESS PROGRAM", + "props": [ + { + "class": "name", + "value": "PM-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements a threat awareness program that includes a cross-organization information-sharing capability.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBecause of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it is becoming more likely that adversaries may successfully breach or compromise organizational information systems. One of the best techniques to address this concern is for organizations to share threat information. This can include, for example, sharing threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, threat intelligence (i.e., indications and warnings about threats that are likely to occur). Threat information sharing may be bilateral (e.g., government-commercial cooperatives, government-government cooperatives), or multilateral (e.g., organizations taking part in threat-sharing consortia). Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.12" + }, + { + "href": "#pm.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization implements a threat awareness program that includes a cross-organization information-sharing capability. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003ethreat awareness program documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures for the threat awareness program\u003c/p\u003e", + "\u003cp class=\"object\"\u003erisk assessment results relevant to threat awareness\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist or other documentation on the cross-organization information-sharing capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for the threat awareness program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the cross-organization information-sharing capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003epersonnel with whom threat awareness information is shared by the organization\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for implementing the threat awareness program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eOrganizational processes for implementing the cross-organization information-sharing capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the threat awareness program\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the cross-organization information-sharing capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ] + } + ] + } +} \ No newline at end of file diff --git a/working/SP800-53/rev4/SP800-53-declarations.json b/working/SP800-53/rev4/SP800-53-declarations.json new file mode 100644 index 0000000000..2791146c88 --- /dev/null +++ b/working/SP800-53/rev4/SP800-53-declarations.json @@ -0,0 +1,209 @@ +{ + "declarations": { + "propertyDeclarations": [ + { + "class": "name", + "context": "SP800-53", + "singleton": true, + "required": true, + "regex": "^(AC|AT|AU|CA|CM|CP|IA|IR|MA|MP|PE|PL|PM|PS|RA|SA|SC|SI)[\\d\\.\\-]*$" + }, + { + "class": "priority", + "context": "SP800-53", + "singleton": true, + "values": [ + "P1", + "P2", + "P0", + "P3" + ] + }, + { + "class": "baseline-impact", + "context": "SP800-53", + "values": [ + "LOW", + "MODERATE", + "HIGH" + ] + }, + { + "class": "name", + "context": "SP800-53-enhancement", + "singleton": true, + "required": true, + "calc": [ + { + "inheritances": [ + true + ], + "autonum": [ + "(1)" + ], + "value": " " + } + ] + }, + { + "class": "baseline-impact", + "context": "SP800-53-enhancement", + "values": [ + "LOW", + "MODERATE", + "HIGH" + ] + }, + { + "class": "name", + "context": "item", + "singleton": true, + "required": true, + "calc": [ + { + "inheritances": [ + true + ], + "autonum": [ + "a." + ] + }, + { + "inheritances": [ + true + ], + "autonum": [ + "(a)" + ] + }, + { + "inheritances": [ + true + ], + "autonum": [ + "1." + ] + }, + { + "inheritances": [ + true + ], + "autonum": [ + "(1)" + ] + } + ] + }, + { + "class": "description", + "context": "item", + "singleton": true, + "required": true + }, + { + "class": "name", + "context": "objective", + "singleton": true + }, + { + "class": "method", + "context": "assessment", + "singleton": true, + "required": true, + "values": [ + "EXAMINE", + "INTERVIEW", + "TEST" + ] + } + ], + "partDeclarations": [ + { + "class": "statement", + "context": "SP800-53", + "singleton": true, + "required": true + }, + { + "class": "guidance", + "context": "SP800-53", + "singleton": true, + "required": false + }, + { + "class": "objective", + "context": "SP800-53", + "singleton": true, + "required": true + }, + { + "class": "assessment", + "context": "SP800-53", + "singleton": false, + "required": false + }, + { + "class": "statement", + "context": "SP800-53-enhancement", + "singleton": true, + "required": true + }, + { + "class": "guidance", + "context": 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a/working/SP800-53/rev4/SP800-53-selections.json b/working/SP800-53/rev4/SP800-53-selections.json new file mode 100644 index 0000000000..3b0cb0a9e9 --- /dev/null +++ b/working/SP800-53/rev4/SP800-53-selections.json @@ -0,0 +1,9599 @@ +{ + "catalog": { + "title": "NIST SP800-53 selections (for demo): AT-1 through AT-5, SI-1 through SI-4, PM-1, PM-2, PM-3\n ", + "groups": [ + { + "class": "family", + "title": "AWARENESS AND TRAINING", + "controls": [ + { + "class": "SP800-53", + "id": "at.1", + "title": "SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES", + "params": [ + { + "id": "at-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "at-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "at-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_at-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"at-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_at-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_at-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_at-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_at-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity awareness and training policy \u003cinsert param-id=\"at-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_at-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity awareness and training procedures \u003cinsert param-id=\"at-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.a.1.", + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents an security awareness and training policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.1.b.", 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+ "class": "name", + "value": "AT-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the security awareness and training policy are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the security awareness and training policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.2.", + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the security awareness and training policy and associated awareness and training controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.b.1.", + "props": [ + { + "class": "name", + "value": "AT-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current security awareness and training policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current security awareness and training policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-1.b.2.", + "props": [ + { + "class": "name", + "value": "AT-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current security 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with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-16", + "value": "NIST Special Publication 800-16" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "at.2", + "title": "SECURITY AWARENESS TRAINING", + "params": [ + { + "id": "at-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides basic security awareness training to information system users (including managers, senior executives, and contractors):\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_at-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eAs part of initial training for new users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2a." + } + ] + }, + { + "class": "item", + "id": "smm_at-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2b." + } + ] + }, + { + "class": "item", + "id": "smm_at-2c.", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"at-2_a\"/\u003e thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the appropriate content of security awareness training and security awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#at.4" + }, + { + "href": "#pl.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides basic security awareness training to information system users (including managers, senior executives, and contractors) as part of initial training for new users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_at-2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides basic security awareness training to information system users (including managers, senior executives, and contractors) when required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_at-2.c.", + "props": [ + { + "class": "name", + "value": "AT-2(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide refresher security awareness training thereafter to information system users (including managers, senior executives, and contractors); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides refresher security awareness training to information users (including managers, senior executives, and contractors) with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eappropriate codes of federal regulations\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel comprising the general information system user community\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms managing security awareness training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "at.2.1.", + "title": "PRACTICAL EXERCISES", + "props": [ + { + "class": "name", + "value": "AT-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes practical exercises in security awareness training that simulate actual cyber attacks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePractical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cp.4" + }, + { + "href": "#ir.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes practical exercises in security awareness training that simulate actual cyber attacks. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel that participate in security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing cyber attack simulations in practical exercises\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.2.2.", + "title": "INSIDER THREAT", + "props": [ + { + "class": "name", + "value": "AT-2 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes security awareness training on recognizing and reporting potential indicators of insider threat.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePotential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to information not required for job performance, unexplained access to financial resources, bullying or sexual harassment of fellow employees, workplace violence, and other serious violations of organizational policies, procedures, directives, rules, or practices. Security awareness training includes how to communicate employee and management concerns regarding potential indicators of insider threat through appropriate organizational channels in accordance with established organizational policies and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.4" + }, + { + "href": "#pm.12" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes security awareness training on recognizing and reporting potential indicators of insider threat. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel that participate in security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for basic security awareness training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.gpo.gov/fdsys/granule/CFR-2009-title5-vol2/CFR-2009-title5-vol2-sec930-301/content-detail.html", + "value": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)" + } + ] + }, + { + "citations": [ + { + "href": "http://www.whitehouse.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net", + "value": "Executive Order 13587" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "at.3", + "title": "ROLE-BASED SECURITY TRAINING", + "params": [ + { + "id": "at-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides role-based security training to personnel with assigned security roles and responsibilities:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_at-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eBefore authorizing access to the information system or performing assigned duties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3a." + } + ] + }, + { + "class": "item", + "id": "smm_at-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3b." + } + ] + }, + { + "class": "item", + "id": "smm_at-3c.", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"at-3_a\"/\u003e thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the appropriate content of security training based on the assigned roles and responsibilities of individuals and the specific security requirements of organizations and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include for example, policies, procedures, tools, and artifacts for the organizational security roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of organizational information security programs. Role-based security training also applies to contractors providing services to federal agencies.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.4" + }, + { + "href": "#pl.4" + }, + { + "href": "#ps.7" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides role-based security training to personnel with assigned security roles and responsibilities before authorizing access to the information system or performing assigned duties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(a)" + } + ] + }, + { + "class": "objective", + "id": "obj_at-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides role-based security training to personnel with assigned security roles and responsibilities when required by information system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_at-3.c.", + "props": [ + { + "class": "name", + "value": "AT-3(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-3.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide refresher role-based security training thereafter to personnel with assigned security roles and responsibilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-3.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides refresher role-based security training to personnel with assigned security roles and responsibilities with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(c)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ecodes of federal regulations\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with assigned information system security roles and responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms managing role-based security training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "at.3.1.", + "title": "ENVIRONMENTAL CONTROLS", + "props": [ + { + "class": "name", + "value": "AT-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides \u003cinsert param-id=\"at-3_b\"/\u003e with initial and \u003cinsert param-id=\"at-3_c\"/\u003e training in the employment and operation of environmental controls.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEnvironmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the facility. Organizations identify personnel with specific roles and responsibilities associated with environmental controls requiring specialized training.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.1" + }, + { + "href": "#pe.13" + }, + { + "href": "#pe.14" + }, + { + "href": "#pe.15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_at-3.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be provided with initial and refresher training in the employment and operation of environmental controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides organization-defined personnel or roles with initial and refresher training in the employment and operation of environmental controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide refresher training in the employment and operation of environmental controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(1)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.1.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides refresher training in the employment and operation of environmental controls with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(1)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for employing and operating environmental controls\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "at-3_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "at-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.3.2.", + "title": "PHYSICAL SECURITY CONTROLS", + "props": [ + { + "class": "name", + "value": "AT-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides \u003cinsert param-id=\"at-3_d\"/\u003e with initial and \u003cinsert param-id=\"at-3_e\"/\u003e training in the employment and operation of physical security controls.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring/surveillance equipment, and security guards (deployment and operating procedures). Organizations identify personnel with specific roles and responsibilities associated with physical security controls requiring specialized training.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + }, + { + "href": "#pe.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_at-3.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to be provided with initial and refresher training in the employment and operation of physical security controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides organization-defined personnel or roles with initial and refresher training in the employment and operation of physical security controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to provide refresher training in the employment and operation of physical security controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(2)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.2.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides refresher training in the employment and operation of physical security controls with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(2)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibilities for employing and operating physical security controls\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "at-3_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "at-3_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.3.3.", + "title": "PRACTICAL EXERCISES", + "props": [ + { + "class": "name", + "value": "AT-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization includes practical exercises in security training that reinforce training objectives.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePractical exercises may include, for example, security training for software developers that includes simulated cyber attacks exploiting common software vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted at senior leaders/executives. These types of practical exercises help developers better understand the effects of such vulnerabilities and appreciate the need for security coding standards and processes.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization includes practical exercises in security training that reinforce training objectives. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel that participate in security awareness training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.3.4.", + "title": "SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR", + "props": [ + { + "class": "name", + "value": "AT-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization provides training to its personnel on \u003cinsert param-id=\"at-3_f\"/\u003e to recognize suspicious communications and anomalous behavior in organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA well-trained workforce provides another organizational safeguard that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming in to organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to such suspicious email or web communications (e.g., not opening attachments, not clicking on embedded web links, and checking the source of email addresses). For this process to work effectively, all organizational personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in organizational information systems can potentially provide early warning for the presence of malicious code. Recognition of such anomalous behavior by organizational personnel can supplement automated malicious code detection and protection tools and systems employed by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_at-3.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines indicators of malicious code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(4)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_at-3.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides training to its personnel on organization-defined indicators of malicious code to recognize suspicious communications and anomalous behavior in organizational information systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3(4)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity training materials\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003etraining records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel that participate in security awareness training\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "params": [ + { + "id": "at-3_f", + "desc": "organization-defined indicators of malicious code", + "value": "organization-defined indicators of malicious code" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.gpo.gov/fdsys/granule/CFR-2009-title5-vol2/CFR-2009-title5-vol2-sec930-301/content-detail.html", + "value": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-16", + "value": "NIST Special Publication 800-16" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "at.4", + "title": "SECURITY TRAINING RECORDS", + "params": [ + { + "id": "at-4_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "AT-4" + }, + { + "class": "priority", + "value": "P3" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_at-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments and monitors individual information system security training activities including basic security awareness training and specific information system security training; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4a." + } + ] + }, + { + "class": "item", + "id": "smm_at-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eRetains individual training records for \u003cinsert param-id=\"at-4_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDocumentation for specialized training may be maintained by individual supervisors at the option of the organization.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#pm.14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.a.", + "props": [ + { + "class": "name", + "value": "AT-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edocuments individual information system security training activities including:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.a.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ebasic security awareness training;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-4.a.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003especific role-based information system security training;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors individual information system security training activities including:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.a.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ebasic security awareness training;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-4.a.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003especific role-based information system security training;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(a)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_at-4.b.", + "props": [ + { + "class": "name", + "value": "AT-4(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_at-4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a time period to retain individual training records; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_at-4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eretains individual training records for the organization-defined time period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing security training records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity awareness and training records\u003c/p\u003e", + "\u003cp class=\"object\"\u003esecurity plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with security training record retention responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting management of security training records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "at.5", + "title": "CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS", + "props": [ + { + "class": "name", + "value": "AT-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PM-15\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pm.15" + } + ] + } + ] + }, + { + "class": "family", + "title": "SYSTEM AND INFORMATION INTEGRITY", + "controls": [ + { + "class": "SP800-53", + "id": "si.1", + "title": "SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES", + "params": [ + { + "id": "si-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-1_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "si-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-1" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"si-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eA system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_si-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews and updates the current:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1b." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-1b.1.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem and information integrity policy \u003cinsert param-id=\"si-1_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1b.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-1b.2.", + "prose": [ + "\u003cp class=\"description\"\u003eSystem and information integrity procedures \u003cinsert param-id=\"si-1_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.a.1.", + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents a system and information integrity policy that addresses:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.a.1.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003epurpose;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003escope;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eroles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][c]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eresponsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][d]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.e.", + "prose": [ + "\u003cp class=\"decision\"\u003emanagement commitment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][e]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.f.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordination among organizational entities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][f]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.1.g.", + "prose": [ + "\u003cp class=\"decision\"\u003ecompliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][g]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the system and information integrity policy is to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.1.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the system and information integrity policy to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.2.", + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and documents procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.b.1.", + "props": [ + { + "class": "name", + "value": "SI-1(b)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.b.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current system and information integrity policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(b)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.b.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current system and information integrity policy with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(b)(1)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.b.2.", + "props": [ + { + "class": "name", + "value": "SI-1(b)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-1.b.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the frequency to review and update the current system and information integrity procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(b)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-1.b.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereviews and updates the current system and information integrity procedures with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1(b)(2)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with system and information integrity responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.2", + "title": "FLAW REMEDIATION", + "params": [ + { + "id": "si-2_a", + "desc": "organization-defined time period", + "value": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "SI-2" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-2a.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies, reports, and corrects information system flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2a." + } + ] + }, + { + "class": "item", + "id": "smm_si-2b.", + "prose": [ + "\u003cp class=\"description\"\u003eTests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2b." + } + ] + }, + { + "class": "item", + "id": "smm_si-2c.", + "prose": [ + "\u003cp class=\"description\"\u003eInstalls security-relevant software and firmware updates within \u003cinsert param-id=\"si-2_a\"/\u003e of the release of the updates; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2c." + } + ] + }, + { + "class": "item", + "id": "smm_si-2d.", + "prose": [ + "\u003cp class=\"description\"\u003eIncorporates flaw remediation into the organizational configuration management process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.8" + }, + { + "href": "#ma.2" + }, + { + "href": "#ir.4" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.10" + }, + { + "href": "#sa.11" + }, + { + "href": "#si.11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-2.a.", + "props": [ + { + "class": "name", + "value": "SI-2(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-2.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies information system flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ereports information system flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(a)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.a.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ecorrects information system flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(a)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.b.", + "props": [ + { + "class": "name", + "value": "SI-2(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-2.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003etests software updates related to flaw remediation for effectiveness and potential side effects before installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests firmware updates related to flaw remediation for effectiveness and potential side effects before installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(b)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.c.", + "props": [ + { + "class": "name", + "value": "SI-2(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-2.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which to install security-relevant software updates after the release of the updates;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines the time period within which to install security-relevant firmware updates after the release of the updates;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003einstalls software updates within the organization-defined time period of the release of the updates;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(c)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.c.4.", + "prose": [ + "\u003cp class=\"decision\"\u003einstalls firmware updates within the organization-defined time period of the release of the updates; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(c)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eincorporates flaw remediation into the organizational configuration management process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(d)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing configuration management\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of flaws and vulnerabilities potentially affecting the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of recent security flaw remediation actions performed on the information system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct information system flaws)\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest results from the installation of software and firmware updates to correct information system flaws\u003c/p\u003e", + "\u003cp class=\"object\"\u003einstallation/change control records for security-relevant software and firmware updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibility\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for identifying, reporting, and correcting information system flaws\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for installing software and firmware updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing reporting, and correcting information system flaws\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing testing software and firmware updates\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.2.1.", + "title": "CENTRAL MANAGEMENT", + "props": [ + { + "class": "name", + "value": "SI-2 (1)" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization centrally manages the flaw remediation process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management is the organization-wide management and implementation of flaw remediation processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation security controls.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization centrally manages the flaw remediation process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting centralized management of flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for central management of the flaw remediation process\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing central management of the flaw remediation process\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.2.", + "title": "AUTOMATED FLAW REMEDIATION STATUS", + "props": [ + { + "class": "name", + "value": "SI-2 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms \u003cinsert param-id=\"si-2_b\"/\u003e to determine the state of information system components with regard to flaw remediation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#si.4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to employ automated mechanisms to determine the state of information system components with regard to flaw remediation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms with the organization-defined frequency to determine the state of information system components with regard to flaw remediation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(2)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting centralized management of flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms used to determine the state of information system components with regard to flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.3.", + "title": "TIME TO REMEDIATE FLAWS / BENCHMARKS FOR CORRECTIVE ACTIONS", + "props": [ + { + "class": "name", + "value": "SI-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-2.3.a.", + "prose": [ + "\u003cp class=\"description\"\u003eMeasures the time between flaw identification and flaw remediation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-2.3.b.", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes \u003cinsert param-id=\"si-2_c\"/\u003e for taking corrective actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires organizations to determine the current time it takes on the average to correct information system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by type of flaw and/or severity of the potential vulnerability if the flaw can be exploited.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003emeasures the time between flaw identification and flaw remediation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(3)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.3.b.", + "props": [ + { + "class": "name", + "value": "SI-2(3)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.3.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines benchmarks for taking corrective actions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(3)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.3.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eestablishes organization-defined benchmarks for taking corrective actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(3)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of benchmarks for taking corrective action on flaws identified\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords providing time stamps of flaw identification and subsequent flaw remediation activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for identifying, reporting, and correcting information system flaws\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms used to measure the time between flaw identification and flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-2_c", + "desc": "organization-defined benchmarks", + "value": "organization-defined benchmarks" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.4.", + "title": "AUTOMATED PATCH MANAGEMENT TOOLS", + "props": [ + { + "class": "name", + "value": "SI-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.2" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.5.", + "title": "AUTOMATIC SOFTWARE / FIRMWARE UPDATES", + "props": [ + { + "class": "name", + "value": "SI-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization installs \u003cinsert param-id=\"si-2_d\"/\u003e automatically to \u003cinsert param-id=\"si-2_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDue to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates. Organizations must balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and with any mission or operational impacts that automatic updates might impose.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.5.1.", + "props": [ + { + "class": "name", + "value": "SI-2(5)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.5.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components requiring security-relevant software updates to be automatically installed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components requiring security-relevant firmware updates to be automatically installed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.2.", + "props": [ + { + "class": "name", + "value": "SI-2(5)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.5.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security-relevant software updates to be automatically installed to organization-defined information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines security-relevant firmware updates to be automatically installed to organization-defined information system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[2][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.3.", + "props": [ + { + "class": "name", + "value": "SI-2(5)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.5.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einstalls organization-defined security-relevant software updates automatically to organization-defined information system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.5.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003einstalls organization-defined security-relevant firmware updates automatically to organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(5)[3][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting flaw remediation and automatic software/firmware updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of recent security-relevant software and firmware updates automatically installed to information system components\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms implementing automatic software/firmware updates\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-2_d", + "desc": "organization-defined security-relevant software and firmware updates", + "value": "organization-defined security-relevant software and firmware updates" + }, + { + "id": "si-2_e", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.6.", + "title": "REMOVAL OF PREVIOUS VERSIONS OF SOFTWARE / FIRMWARE", + "props": [ + { + "class": "name", + "value": "SI-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization removes \u003cinsert param-id=\"si-2_f\"/\u003e after updated versions have been installed.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrevious versions of software and/or firmware components that are not removed from the information system after updates have been installed may be exploited by adversaries. Some information technology products may remove older versions of software and/or firmware automatically from the information system.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.6.1.", + "props": [ + { + "class": "name", + "value": "SI-2(6)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.6.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines software components to be removed after updated versions have been installed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(6)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.6.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines firmware components to be removed after updated versions have been installed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(6)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.6.2.", + "props": [ + { + "class": "name", + "value": "SI-2(6)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-2.6.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves organization-defined software components after updated versions have been installed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(6)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-2.6.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eremoves organization-defined firmware components after updated versions have been installed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2(6)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of software and firmware component removals after updated versions are installed\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing removal of previous versions of software/firmware\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-2_f", + "desc": "organization-defined software and firmware components", + "value": "organization-defined software and firmware components" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-40", + "value": "NIST Special Publication 800-40" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.3", + "title": "MALICIOUS CODE PROTECTION", + "params": [ + { + "id": "si-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "si-3_b", + "desc": "organization-defined action", + "value": "organization-defined action" + } + ], + "props": [ + { + "class": "name", + "value": "SI-3" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3a." + } + ] + }, + { + "class": "item", + "id": "smm_si-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3b." + } + ] + }, + { + "class": "item", + "id": "smm_si-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eConfigures malicious code protection mechanisms to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3c." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-3c.1.", + "prose": [ + "\u003cp class=\"description\"\u003ePerform periodic scans of the information system \u003cinsert param-id=\"si-3_a\"/\u003e and real-time scans of files from external sources at [Selection (one or more); endpoint; network entry/exit points] as the files are downloaded, opened, or executed in accordance with organizational security policy; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3c.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-3c.2.", + "prose": [ + "\u003cp class=\"description\"\u003e[Selection (one or more): block malicious code; quarantine malicious code; send alert to administrator; \u003cinsert param-id=\"si-3_b\"/\u003e] in response to malicious code detection; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_si-3d.", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden in files using steganography. Malicious code can be transported by different means including, for example, web accesses, electronic mail, electronic mail attachments, and portable storage devices. Malicious code insertions occur through the exploitation of information system vulnerabilities. Malicious code protection mechanisms include, for example, anti-virus signature definitions and reputation-based technologies. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Pervasive configuration management and comprehensive software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions/business functions. Traditional malicious code protection mechanisms cannot always detect such code. In these situations, organizations rely instead on other safeguards including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, and/or actions in response to detection of maliciousness when attempting to open or execute files.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#mp.2" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.13" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.26" + }, + { + "href": "#sc.44" + }, + { + "href": "#si.2" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys malicious code protection mechanisms to detect and eradicate malicious code at information system:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eentry points;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eexit points;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eupdates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures (as identified in CM-1);\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(b)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.", + "props": [ + { + "class": "name", + "value": "SI-3(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency for malicious code protection mechanisms to perform periodic scans of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines action to be initiated by malicious protection mechanisms in response to malicious code detection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.", + "props": [ + { + "class": "name", + "value": "SI-3(c)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.c.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003econfigures malicious code protection mechanisms to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.c.3.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eperform periodic scans of the information system with the organization-defined frequency;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](1)[a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eperform real-time scans of files from external sources at endpoint and/or network entry/exit points as the files are downloaded, opened, or executed in accordance with organizational security policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](1)[b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econfigures malicious code protection mechanisms to do one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.c.3.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eblock malicious code in response to malicious code detection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003equarantine malicious code in response to malicious code detection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[b]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.2.c.", + "prose": [ + "\u003cp class=\"decision\"\u003esend alert to administrator in response to malicious code detection; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[c]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.c.3.2.d.", + "prose": [ + "\u003cp class=\"decision\"\u003einitiate organization-defined action in response to malicious code detection;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[d]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.d.", + "props": [ + { + "class": "name", + "value": "SI-3(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-3.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses the receipt of false positives during malicious code detection and eradication; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-3.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eaddresses the resulting potential impact on the availability of the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of malicious code protection updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003escan results from malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecord of actions initiated by malicious code protection mechanisms in response to malicious code detection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with configuration management responsibility\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for employing, updating, and configuring malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for addressing false positives and resulting potential impact\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing employing, updating, and configuring malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing malicious code scanning and subsequent actions\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.3.1.", + "title": "CENTRAL MANAGEMENT", + "props": [ + { + "class": "name", + "value": "SI-3 (1)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization centrally manages malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management is the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw malicious code protection security controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#si.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization centrally manages malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting centralized management of malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for central management of malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing central management of malicious code protection mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.2.", + "title": "AUTOMATIC UPDATES", + "props": [ + { + "class": "name", + "value": "SI-3 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system automatically updates malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMalicious code protection mechanisms include, for example, signature definitions. Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system automatically updates malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting centralized management of malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing automatic updates to malicious code protection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.3.", + "title": "NON-PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-6 (10)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.6.10." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.4.", + "title": "UPDATES ONLY BY PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system updates malicious code protection mechanisms only when directed by a privileged user.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement may be appropriate for situations where for reasons of security or operational continuity, updates are only applied when selected/approved by designated organizational personnel.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#cm.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system updates malicious code protection mechanisms only when directed by a privileged user.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of malicious code protection updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.5.", + "title": "PORTABLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "SI-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.6.", + "title": "TESTING / VERIFICATION", + "props": [ + { + "class": "name", + "value": "SI-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-3.6.a.", + "prose": [ + "\u003cp class=\"description\"\u003eTests malicious code protection mechanisms \u003cinsert param-id=\"si-3_c\"/\u003e by introducing a known benign, non-spreading test case into the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (6)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-3.6.b.", + "prose": [ + "\u003cp class=\"description\"\u003eVerifies that both detection of the test case and associated incident reporting occur.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (6)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#ra.5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.6.a.", + "props": [ + { + "class": "name", + "value": "SI-3(6)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.6.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to test malicious code protection mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(6)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.6.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests malicious code protection mechanisms with the organization-defined frequency by introducing a known benign, non-spreading test case into the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(6)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.6.b.", + "props": [ + { + "class": "name", + "value": "SI-3(6)(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.6.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003everifies that detection of the test case occurs; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(6)(b)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.6.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003everifies that associated incident reporting occurs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(6)(b)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003etest cases\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords providing evidence of test cases executed on malicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing testing and verification of malicious code protection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.7.", + "title": "NONSIGNATURE-BASED DETECTION", + "props": [ + { + "class": "name", + "value": "SI-3 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements nonsignature-based malicious code detection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNonsignature-based detection mechanisms include, for example, the use of heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide safeguards against malicious code for which signatures do not yet exist or for which existing signatures may not be effective. This includes polymorphic malicious code (i.e., code that changes signatures when it replicates). This control enhancement does not preclude the use of signature-based detection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system implements non signature-based malicious code detection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of malicious code protection updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing nonsignature-based malicious code protection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.8.", + "title": "DETECT UNAUTHORIZED COMMANDS", + "props": [ + { + "class": "name", + "value": "SI-3 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system detects \u003cinsert param-id=\"si-3_d\"/\u003e through the kernel application programming interface at \u003cinsert param-id=\"si-3_e\"/\u003e and [Selection (one or more): issues a warning; audits the command execution; prevents the execution of the command].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement can also be applied to critical interfaces other than kernel-based interfaces, including for example, interfaces with virtual machines and privileged applications. Unauthorized operating system commands include, for example, commands for kernel functions from information system processes that are not trusted to initiate such commands, or commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can define hardware components by specific component, component type, location in the network, or combination therein. Organizations may select different actions for different types/classes/specific instances of potentially malicious commands.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.8.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines unauthorized operating system commands to be detected by the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.8.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines information system hardware components for which organization-defined unauthorized operating system commands are to be detected through the kernel application programming interface;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.8.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system detects organization-defined unauthorized operating system commands through the kernel application programming interface at organization-defined information system hardware components, and does one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.8.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eissues a warning;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[3][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.8.3.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudits the command execution; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[3][b]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.8.3.c.", + "prose": [ + "\u003cp class=\"decision\"\u003eprevents the execution of the command.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(8)[3][c]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewarning messages sent upon detection of unauthorized operating system command execution\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing detection of unauthorized operating system commands through the kernel application programming interface\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-3_d", + "desc": "organization-defined unauthorized operating system commands", + "value": "organization-defined unauthorized operating system commands" + }, + { + "id": "si-3_e", + "desc": "organization-defined information system hardware components", + "value": "organization-defined information system hardware components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.9.", + "title": "AUTHENTICATE REMOTE COMMANDS", + "props": [ + { + "class": "name", + "value": "SI-3 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system implements \u003cinsert param-id=\"si-3_f\"/\u003e to authenticate \u003cinsert param-id=\"si-3_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects against unauthorized commands and replay of authorized commands. This capability is important for those remote information systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or serious consequences (e.g., injury or death, property damage, loss of high-valued assets or sensitive information, or failure of important missions/business functions). Authentication safeguards for remote commands help to ensure that information systems accept and execute in the order intended, only authorized commands, and that unauthorized commands are rejected. Cryptographic mechanisms can be employed, for example, to authenticate remote commands.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.23" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines security safeguards to be implemented by the information system to authenticate organization-defined remote commands;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines remote commands to be authenticated by organization-defined security safeguards; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(9)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.9.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system implements organization-defined security safeguards to authenticate organization-defined remote commands.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(9)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003ewarning messages sent upon detection of unauthorized operating system command execution\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eAutomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms implementing authentication of remote commands\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing security safeguards to authenticate remote commands\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-3_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "si-3_g", + "desc": "organization-defined remote commands", + "value": "organization-defined remote commands" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.10.", + "title": "MALICIOUS CODE ANALYSIS", + "props": [ + { + "class": "name", + "value": "SI-3 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-3.10.a.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"si-3_h\"/\u003e to analyze the characteristics and behavior of malicious code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (10)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-3.10.b.", + "prose": [ + "\u003cp class=\"description\"\u003eIncorporates the results from malicious code analysis into organizational incident response and flaw remediation processes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (10)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe application of selected malicious code analysis tools and techniques provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates more effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by using reverse engineering techniques or by monitoring the behavior of executing code.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.10.a.", + "props": [ + { + "class": "name", + "value": "SI-3(10)(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-3.10.a.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines tools and techniques to be employed to analyze the characteristics and behavior of malicious code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(10)(a)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.10.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys organization-defined tools and techniques to analyze the characteristics and behavior of malicious code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(10)(a)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-3.10.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eincorporates the results from malicious code analysis into incident response and flaw remediate processes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3(10)(b)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing incident response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003emalicious code protection mechanisms, tools, and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eresults from malicious code analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of flaw remediation events resulting from malicious code analyses\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel responsible for incident response/management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational process for incident response\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational process for flaw remediation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003etools and techniques for analysis of malicious code characteristics and behavior\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-3_h", + "desc": "organization-defined tools and techniques", + "value": "organization-defined tools and techniques" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-83", + "value": "NIST Special Publication 800-83" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.4", + "title": "INFORMATION SYSTEM MONITORING", + "params": [ + { + "id": "si-4_a", + "desc": "organization-defined monitoring objectives", + "value": "organization-defined monitoring objectives" + }, + { + "id": "si-4_b", + "desc": "organization-defined techniques and methods", + "value": "organization-defined techniques and methods" + }, + { + "id": "si-4_c", + "desc": "organization-defined information system monitoring information", + "value": "organization-defined information system monitoring information" + }, + { + "id": "si-4_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-4_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4" + }, + { + "class": "priority", + "value": "P1" + }, + { + "class": "baseline-impact", + "value": "LOW" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_si-4a.", + "prose": [ + "\u003cp class=\"description\"\u003eMonitors the information system to detect:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-4a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eAttacks and indicators of potential attacks in accordance with \u003cinsert param-id=\"si-4_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4a.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-4a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eUnauthorized local, network, and remote connections;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_si-4b.", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies unauthorized use of the information system through \u003cinsert param-id=\"si-4_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4b." + } + ] + }, + { + "class": "item", + "id": "smm_si-4c.", + "prose": [ + "\u003cp class=\"description\"\u003eDeploys monitoring devices:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4c." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_si-4c.1.", + "prose": [ + "\u003cp class=\"description\"\u003eStrategically within the information system to collect organization-determined essential information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4c.1." + } + ] + }, + { + "class": "item", + "id": "sms_si-4c.2.", + "prose": [ + "\u003cp class=\"description\"\u003eAt ad hoc locations within the system to track specific types of transactions of interest to the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_si-4d.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4d." + } + ] + }, + { + "class": "item", + "id": "smm_si-4e.", + "prose": [ + "\u003cp class=\"description\"\u003eHeightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4e." + } + ] + }, + { + "class": "item", + "id": "smm_si-4f.", + "prose": [ + "\u003cp class=\"description\"\u003eObtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4f." + } + ] + }, + { + "class": "item", + "id": "smm_si-4g.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides \u003cinsert param-id=\"si-4_c\"/\u003e to \u003cinsert param-id=\"si-4_d\"/\u003e [Selection (one or more): as needed; \u003cinsert param-id=\"si-4_e\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.8" + }, + { + "href": "#ac.17" + }, + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#au.9" + }, + { + "href": "#au.12" + }, + { + "href": "#ca.7" + }, + { + "href": "#ir.4" + }, + { + "href": "#pe.3" + }, + { + "href": "#ra.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.26" + }, + { + "href": "#sc.35" + }, + { + "href": "#si.3" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.", + "props": [ + { + "class": "name", + "value": "SI-4(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.1.", + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines monitoring objectives to detect attacks and indicators of potential attacks on the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors the information system to detect, in accordance with organization-defined monitoring objectives,:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eattacks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eindicators of potential attacks;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors the information system to detect unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.a.2.1.", + "prose": [ + "\u003cp class=\"decision\"\u003elocal connections;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.2.2.", + "prose": [ + "\u003cp class=\"decision\"\u003enetwork connections;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.a.2.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eremote connections;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)[3]" + } + ] + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.b.", + "props": [ + { + "class": "name", + "value": "SI-4(b)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.b.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines techniques and methods to identify unauthorized use of the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(b)(1)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.b.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentifies unauthorized use of the information system through organization-defined techniques and methods;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(b)(2)" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.c.", + "prose": [ + "\u003cp class=\"decision\"\u003edeploys monitoring devices:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003estrategically within the information system to collect organization-determined essential information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eat ad hoc locations within the system to track specific types of transactions of interest to the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(c)[2]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects information obtained from intrusion-monitoring tools from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(d)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.d.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edeletion;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(d)[3]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.e.", + "prose": [ + "\u003cp class=\"decision\"\u003eheightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(e)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.f.", + "prose": [ + "\u003cp class=\"decision\"\u003eobtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(f)" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.", + "props": [ + { + "class": "name", + "value": "SI-4(g)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.g.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines personnel or roles to whom information system monitoring information is to be provided;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system monitoring information to be provided to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to provide organization-defined information system monitoring to organization-defined personnel or roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides organization-defined information system monitoring information to organization-defined personnel or roles one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[4]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_si-4.g.4.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eas needed; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[4][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_si-4.g.4.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ewith the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(g)[4][b]" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eContinuous monitoring strategy\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003efacility diagram/layout\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elocations within information system where monitoring devices are deployed\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility monitoring the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.4.1.", + "title": "SYSTEM-WIDE INTRUSION DETECTION SYSTEM", + "props": [ + { + "class": "name", + "value": "SI-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization connects and configures individual intrusion detection tools into an information system-wide intrusion detection system.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003econnects individual intrusion detection tools into an information system-wide intrusion detection system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003econfigures individual intrusion detection tools into an information system-wide intrusion detection system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(1)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.2.", + "title": "AUTOMATED TOOLS FOR REAL-TIME ANALYSIS", + "props": [ + { + "class": "name", + "value": "SI-4 (2)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated tools to support near real-time analysis of events.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated tools include, for example, host-based, network-based, transport-based, or storage-based event monitoring tools or Security Information and Event Management (SIEM) technologies that provide real time analysis of alerts and/or notifications generated by organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs automated tools to support near real-time analysis of events.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for incident response/management\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for near real-time analysis of events\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing analysis of events\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.3.", + "title": "AUTOMATED TOOL INTEGRATION", + "props": [ + { + "class": "name", + "value": "SI-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, for rapid response to attacks by enabling reconfiguration of intrusion detection tools in support of attack isolation and elimination, employs automated tools to integrate intrusion detection tools into:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.3.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eaccess control mechanisms; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(3)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.3.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eflow control mechanisms.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(3)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing access/flow control capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms/tools supporting and/or implementing integration of intrusion detection tools into access/flow control mechanisms\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.4.", + "title": "INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC", + "props": [ + { + "class": "name", + "value": "SI-4 (4)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system monitors inbound and outbound communications traffic \u003cinsert param-id=\"si-4_f\"/\u003e for unusual or unauthorized activities or conditions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnusual/unauthorized activities or conditions related to information system inbound and outbound communications traffic include, for example, internal traffic that indicates the presence of malicious code within organizational information systems or propagating among system components, the unauthorized exporting of information, or signaling to external information systems. Evidence of malicious code is used to identify potentially compromised information systems or information system components.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.4.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to monitor:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[1]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.4.1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einbound communications traffic for unusual or unauthorized activities or conditions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[1][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.4.1.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eoutbound communications traffic for unusual or unauthorized activities or conditions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[1][b]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.4.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emonitors, with the organization-defined frequency:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.4.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003einbound communications traffic for unusual or unauthorized activities or conditions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.4.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eoutbound communications traffic for unusual or unauthorized activities or conditions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(4)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection capability/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing monitoring of inbound/outbound communications traffic\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.5.", + "title": "SYSTEM-GENERATED ALERTS", + "props": [ + { + "class": "name", + "value": "SI-4 (5)" + }, + { + "class": "baseline-impact", + "value": "MODERATE" + }, + { + "class": "baseline-impact", + "value": "HIGH" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system alerts \u003cinsert param-id=\"si-4_g\"/\u003e when the following indications of compromise or potential compromise occur: \u003cinsert param-id=\"si-4_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlerts may be generated from a variety of sources, including, for example, audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the notification list can include, for example, system administrators, mission/business owners, system owners, or information system security officers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.5" + }, + { + "href": "#pe.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.5.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines compromise indicators for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(5)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.5.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be alerted when indications of compromise or potential compromise occur; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(5)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.5.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system alerts organization-defined personnel or roles when organization-defined compromise indicators occur.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(5)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications generated based on compromise indicators\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003e\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing alerts for compromise indicators\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-4_h", + "desc": "organization-defined compromise indicators", + "value": "organization-defined compromise indicators" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.6.", + "title": "RESTRICT NON-PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-6 (10)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.6.10." + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.7.", + "title": "AUTOMATED RESPONSE TO SUSPICIOUS EVENTS", + "props": [ + { + "class": "name", + "value": "SI-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system notifies \u003cinsert param-id=\"si-4_i\"/\u003e of detected suspicious events and takes \u003cinsert param-id=\"si-4_j\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLeast-disruptive actions may include, for example, initiating requests for human responses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.7.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines incident response personnel (identified by name and/or by role) to be notified of detected suspicious events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(7)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.7.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines least-disruptive actions to be taken by the information system to terminate suspicious events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(7)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.7.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system notifies organization-defined incident response personnel of detected suspicious events; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(7)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.7.4.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system takes organization-defined least-disruptive actions to terminate suspicious events.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(7)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications generated based on detected suspicious events\u003c/p\u003e", + "\u003cp class=\"object\"\u003erecords of actions taken to terminate suspicious events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing notifications to incident response personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing actions to terminate suspicious events\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_i", + "desc": "organization-defined incident response personnel (identified by name and/or by role)", + "value": "organization-defined incident response personnel (identified by name and/or by role)" + }, + { + "id": "si-4_j", + "desc": "organization-defined least-disruptive actions to terminate suspicious events", + "value": "organization-defined least-disruptive actions to terminate suspicious events" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.8.", + "title": "PROTECTION OF MONITORING INFORMATION", + "props": [ + { + "class": "name", + "value": "SI-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.9.", + "title": "TESTING OF MONITORING TOOLS", + "props": [ + { + "class": "name", + "value": "SI-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization tests intrusion-monitoring tools \u003cinsert param-id=\"si-4_k\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTesting intrusion-monitoring tools is necessary to ensure that the tools are operating correctly and continue to meet the monitoring objectives of organizations. The frequency of testing depends on the types of tools used by organizations and methods of deployment.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.9.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines a frequency to test intrusion-monitoring tools; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(9)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.9.2.", + "prose": [ + "\u003cp class=\"decision\"\u003etests intrusion-monitoring tools with the organization-defined frequency.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(9)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing testing of information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003edocumentation providing evidence of testing intrusion-monitoring tools\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing testing of intrusion-monitoring tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_k", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.10.", + "title": "VISIBILITY OF ENCRYPTED COMMUNICATIONS", + "props": [ + { + "class": "name", + "value": "SI-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization makes provisions so that \u003cinsert param-id=\"si-4_l\"/\u003e is visible to \u003cinsert param-id=\"si-4_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations balance the potentially conflicting needs for encrypting communications traffic and for having insight into such traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of communications traffic is paramount; for others, mission-assurance is of greater concern. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.10.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines encrypted communications traffic required to be visible to information system monitoring tools;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(10)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.10.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system monitoring tools to be provided access to organization-defined encrypted communications traffic; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(10)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.10.3.", + "prose": [ + "\u003cp class=\"decision\"\u003emakes provisions so that organization-defined encrypted communications traffic is visible to organization-defined information system monitoring tools.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(10)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing visibility of encrypted communications traffic to monitoring tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_l", + "desc": "organization-defined encrypted communications traffic", + "value": "organization-defined encrypted communications traffic" + }, + { + "id": "si-4_m", + "desc": "organization-defined information system monitoring tools", + "value": "organization-defined information system monitoring tools" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.11.", + "title": "ANALYZE COMMUNICATIONS TRAFFIC ANOMALIES", + "props": [ + { + "class": "name", + "value": "SI-4 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization analyzes outbound communications traffic at the external boundary of the information system and selected \u003cinsert param-id=\"si-4_n\"/\u003e to discover anomalies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAnomalies within organizational information systems include, for example, large file transfers, long-time persistent connections, unusual protocols and ports in use, and attempted communications with suspected malicious external addresses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.11.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines interior points within the system (e.g., subnetworks, subsystems) where communications traffic is to be analyzed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(11)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.11.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalyzes outbound communications traffic to discover anomalies at:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(11)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.11.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe external boundary of the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(11)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.11.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eselected organization-defined interior points within the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(11)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork diagram\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing analysis of communications traffic\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_n", + "desc": "organization-defined interior points within the system (e.g., subnetworks, subsystems)", + "value": "organization-defined interior points within the system (e.g., subnetworks, subsystems)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.12.", + "title": "AUTOMATED ALERTS", + "props": [ + { + "class": "name", + "value": "SI-4 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: \u003cinsert param-id=\"si-4_o\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by information systems in SI-4 (5), which tend to focus on information sources internal to the systems (e.g., audit records), the sources of information for this enhancement can include other entities as well (e.g., suspicious activity reports, reports on potential insider threats).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#ia.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.12.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines activities that trigger alerts to security personnel based on inappropriate or unusual activities with security implications; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(12)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.12.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eemploys automated mechanisms to alert security personnel of organization-defined activities that trigger alerts based on inappropriate or unusual activities with security implications.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(12)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of inappropriate or unusual activities (with security implications) that trigger alerts\u003c/p\u003e", + "\u003cp class=\"object\"\u003ealerts/notifications provided to security personnel\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developers\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing automated alerts to security personnel\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_o", + "desc": "organization-defined activities that trigger alerts", + "value": "organization-defined activities that trigger alerts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.13.", + "title": "ANALYZE TRAFFIC / EVENT PATTERNS", + "props": [ + { + "class": "name", + "value": "SI-4 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "s_smm_si-4.13.a.", + "prose": [ + "\u003cp class=\"description\"\u003eAnalyzes communications traffic/event patterns for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4 (13)(a)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-4.13.b.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops profiles representing common traffic patterns and/or events; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4 (13)(b)" + } + ] + }, + { + "class": "item", + "id": "s_smm_si-4.13.c.", + "prose": [ + "\u003cp class=\"description\"\u003eUses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and the number of false negatives.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4 (13)(c)" + } + ] + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.13.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eanalyzes communications traffic/event patterns for the information system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(13)(a)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.13.b.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops profiles representing common traffic patterns and/or events;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(13)(b)" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.13.c.", + "prose": [ + "\u003cp class=\"decision\"\u003euses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and false negatives.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(13)(c)" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of profiles representing common traffic patterns and/or events\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of acceptable thresholds for false positives and false negatives\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing analysis of communications traffic/event patterns\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.14.", + "title": "WIRELESS INTRUSION DETECTION", + "props": [ + { + "class": "name", + "value": "SI-4 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWireless signals may radiate beyond the confines of organization-controlled facilities. Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. Scans are not limited to those areas within facilities containing information systems, but also include areas outside of facilities as needed, to verify that unauthorized wireless access points are not connected to the systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#ia.3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs a wireless intrusion detection system to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.14.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eidentify rogue wireless devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(14)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.14.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edetect attack attempts to the information system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(14)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.14.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edetect potential compromises/breaches to the information system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(14)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing wireless intrusion detection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.15.", + "title": "WIRELESS TO WIRELINE COMMUNICATIONS", + "props": [ + { + "class": "name", + "value": "SI-4 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ac.18" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system protocols documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing wireless intrusion detection capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.16.", + "title": "CORRELATE MONITORING INFORMATION", + "props": [ + { + "class": "name", + "value": "SI-4 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization correlates information from monitoring tools employed throughout the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrelating information from different monitoring tools can provide a more comprehensive view of information system activity. The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns. Understanding the capabilities/limitations of diverse monitoring tools and how to maximize the utility of information generated by those tools can help organizations to build, operate, and maintain effective monitoring programs.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization correlates information from monitoring tools employed throughout the information system.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevent correlation logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing correlation of information from monitoring tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.17.", + "title": "INTEGRATED SITUATIONAL AWARENESS", + "props": [ + { + "class": "name", + "value": "SI-4 (17)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization correlates information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement correlates monitoring information from a more diverse set of information sources to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated cyber attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4 (16) which correlates the various cyber monitoring information, this control enhancement correlates monitoring beyond just the cyber domain. Such monitoring may help reveal attacks on organizations that are operating across multiple attack vectors.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization, to achieve integrated, organization-wide situational awareness, correlates information from monitoring:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.17.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ephysical activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(17)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.17.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecyber activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(17)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.17.3.", + "prose": [ + "\u003cp class=\"decision\"\u003esupply chain activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(17)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eevent correlation logs or records resulting from physical, cyber, and supply chain activities\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing correlation of information from monitoring tools\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.18.", + "title": "ANALYZE TRAFFIC / COVERT EXFILTRATION", + "props": [ + { + "class": "name", + "value": "SI-4 (18)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization analyzes outbound communications traffic at the external boundary of the information system (i.e., system perimeter) and at \u003cinsert param-id=\"si-4_p\"/\u003e to detect covert exfiltration of information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCovert means that can be used for the unauthorized exfiltration of organizational information include, for example, steganography.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.18.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines interior points within the system (e.g., subsystems, subnetworks) where communications traffic is to be analyzed;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(18)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.18.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eto detect covert exfiltration of information, analyzes outbound communications traffic at:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(18)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.18.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe external boundary of the information system (i.e., system perimeter); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(18)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.18.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003eorganization-defined interior points within the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(18)[2][b]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003enetwork diagram\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing intrusion detection/system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing analysis of outbound communications traffic\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_p", + "desc": "organization-defined interior points within the system (e.g., subsystems, subnetworks)", + "value": "organization-defined interior points within the system (e.g., subsystems, subnetworks)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.19.", + "title": "INDIVIDUALS POSING GREATER RISK", + "props": [ + { + "class": "name", + "value": "SI-4 (19)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"si-4_q\"/\u003e of individuals who have been identified by \u003cinsert param-id=\"si-4_r\"/\u003e as posing an increased level of risk.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndications of increased risk from individuals can be obtained from a variety of sources including, for example, human resource records, intelligence agencies, law enforcement organizations, and/or other credible sources. The monitoring of individuals is closely coordinated with management, legal, security, and human resources officials within organizations conducting such monitoring and complies with federal legislation, Executive Orders, policies, directives, regulations, and standards.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.19.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines sources that identify individuals who pose an increased level of risk;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(19)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.19.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines additional monitoring to be implemented on individuals who have been identified by organization-defined sources as posing an increased level of risk; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(19)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.19.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined additional monitoring of individuals who have been identified by organization-defined sources as posing an increased level of risk.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(19)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of individuals who have been identified as posing an increased level of risk\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_q", + "desc": "organization-defined additional monitoring", + "value": "organization-defined additional monitoring" + }, + { + "id": "si-4_r", + "desc": "organization-defined sources", + "value": "organization-defined sources" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.20.", + "title": "PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-4 (20)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"si-4_s\"/\u003e of privileged users.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.20.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines additional monitoring to be implemented on privileged users; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(20)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.20.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined additional monitoring of privileged users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(20)[2]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of privileged users\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_s", + "desc": "organization-defined additional monitoring", + "value": "organization-defined additional monitoring" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.21.", + "title": "PROBATIONARY PERIODS", + "props": [ + { + "class": "name", + "value": "SI-4 (21)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization implements \u003cinsert param-id=\"si-4_t\"/\u003e of individuals during \u003cinsert param-id=\"si-4_u\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.21.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines additional monitoring to be implemented on individuals during probationary periods;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(21)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.21.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines probationary period during which organization-defined additional monitoring of individuals is to be performed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(21)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.21.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined additional monitoring of individuals during organization-defined probationary period.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(21)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_t", + "desc": "organization-defined additional monitoring", + "value": "organization-defined additional monitoring" + }, + { + "id": "si-4_u", + "desc": "organization-defined probationary period", + "value": "organization-defined probationary period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.22.", + "title": "UNAUTHORIZED NETWORK SERVICES", + "props": [ + { + "class": "name", + "value": "SI-4 (22)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system detects network services that have not been authorized or approved by \u003cinsert param-id=\"si-4_v\"/\u003e and [Selection (one or more): audits; alerts \u003cinsert param-id=\"si-4_w\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnauthorized or unapproved network services include, for example, services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#cm.7" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.22.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines authorization or approval processes for network services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(22)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.22.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe organization defines personnel or roles to be alerted upon detection of network services that have not been authorized or approved by organization-defined authorization or approval processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(22)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.22.3.", + "prose": [ + "\u003cp class=\"decision\"\u003ethe information system detects network services that have not been authorized or approved by organization-defined authorization or approval processes and does one or more of the following:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(22)[3]" + } + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.22.3.a.", + "prose": [ + "\u003cp class=\"decision\"\u003eaudits; 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Organizations consider employing host-based monitoring mechanisms from multiple information technology product developers.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.23.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines host-based monitoring mechanisms to be implemented;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(23)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.23.2.", + "prose": [ + "\u003cp class=\"decision\"\u003edefines information system components where organization-defined host-based monitoring is to be implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(23)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.23.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplements organization-defined host-based monitoring mechanisms at organization-defined information system components.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(23)[3]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003ehost-based monitoring mechanisms\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003elist of information system components requiring host-based monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring information system hosts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing host-based monitoring capability\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ], + "params": [ + { + "id": "si-4_x", + "desc": "organization-defined host-based monitoring mechanisms", + "value": "organization-defined host-based monitoring mechanisms" + }, + { + "id": "si-4_y", + "desc": "organization-defined information system components", + "value": "organization-defined information system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.24.", + "title": "INDICATORS OF COMPROMISE", + "props": [ + { + "class": "name", + "value": "SI-4 (24)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe information system discovers, collects, distributes, and uses indicators of compromise.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational information systems (at the host or network level). IOCs provide organizations with valuable information on objects or information systems that have been compromised. IOCs for the discovery of compromised hosts can include for example, the creation of registry key values. IOCs for network traffic include, for example, Universal Resource Locator (URL) or protocol elements that indicate malware command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that information systems and organizations are vulnerable to the same exploit or attack.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "s_obj_si-4.24.1.", + "prose": [ + "\u003cp class=\"decision\"\u003ediscovers indicators of compromise;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(24)[1]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.24.2.", + "prose": [ + "\u003cp class=\"decision\"\u003ecollects indicators of compromise;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(24)[2]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.24.3.", + "prose": [ + "\u003cp class=\"decision\"\u003edistributes indicators of compromise; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(24)[3]" + } + ] + }, + { + "class": "objective", + "id": "s_obj_si-4.24.4.", + "prose": [ + "\u003cp class=\"decision\"\u003euses indicators of compromise.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4(24)[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system design documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp class=\"object\"\u003einformation system audit records\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esystem developer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with responsibility for monitoring information system hosts\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational processes for discovery, collection, distribution, and use of indicators of compromise\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e", + "\u003cp class=\"object\"\u003eautomated mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "TEST" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-83", + "value": "NIST Special Publication 800-83" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-92", + "value": "NIST Special Publication 800-92" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-94", + "value": "NIST Special Publication 800-94" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + } + ] + } + } + ] + }, + { + "class": "family", + "title": "PROGRAM MANAGEMENT", + "controls": [ + { + "class": "SP800-53", + "id": "pm.1", + "title": "INFORMATION SECURITY PROGRAM PLAN", + "params": [ + { + "id": "pm-1_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PM-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-1a.", + "prose": [ + "\u003cp class=\"description\"\u003eDevelops and disseminates an organization-wide information security program plan that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sms_pm-1a.1.", + "prose": [ + "\u003cp class=\"description\"\u003eProvides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.1." + } + ] + }, + { + "class": "item", + "id": "sms_pm-1a.2.", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.2." + } + ] + }, + { + "class": "item", + "id": "sms_pm-1a.3.", + "prose": [ + "\u003cp class=\"description\"\u003eReflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.3." + } + ] + }, + { + "class": "item", + "id": "sms_pm-1a.4.", + "prose": [ + "\u003cp class=\"description\"\u003eIs approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "smm_pm-1b.", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the organization-wide information security program plan \u003cinsert param-id=\"pm-1_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1b." + } + ] + }, + { + "class": "item", + "id": "smm_pm-1c.", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the plan to address organizational changes and problems identified during plan implementation or security control assessments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1c." + } + ] + }, + { + "class": "item", + "id": "smm_pm-1d.", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the information security program plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation security program plans can be represented in single documents or compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Information security program plans provide sufficient information about the program management controls/common controls (including specification of parameters for any assignment and selection statements either explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended. The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organization�s information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls. Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelops and disseminates an organization-wide information security program plan that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.1.", + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.1.1.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides an overview of the requirements for the security program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.1.2.", + "prose": [ + "\u003cp class=\"decision\"\u003eprovides a description of the:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[2]" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.a.1.2.a.", + "prose": [ + "\u003cp class=\"decision\"\u003esecurity program management controls in place or planned for meeting those requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[2][a]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.a.1.2.b.", + "prose": [ + "\u003cp class=\"decision\"\u003ecommon controls in place or planned for meeting those requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + 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class=\"decision\"\u003eupdates the plan to address organizational:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.c.1.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges identified during plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.2.", + "prose": [ + "\u003cp class=\"decision\"\u003echanges identified during security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.3.", + "prose": [ + "\u003cp class=\"decision\"\u003eproblems identified during plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.c.4.", + "prose": [ + "\u003cp class=\"decision\"\u003eproblems identified during security control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(c)[4]" + } + ] + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.d.", + "prose": [ + "\u003cp class=\"decision\"\u003eprotects the information security program plan from unauthorized:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(d)" + } + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-1.d.1.", + "prose": [ + "\u003cp class=\"decision\"\u003edisclosure; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(d)[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-1.d.2.", + "prose": [ + "\u003cp class=\"decision\"\u003emodification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1(d)[2]" + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program 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For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this official as the Senior Information Security Officer or Chief Information Security Officer.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp class=\"decision\"\u003eDetermine if the organization appoints a senior information security officer with the mission and resources to: \u003c/p\u003e" + ], + "parts": [ + { + "class": "objective", + "id": "obj_pm-2-1.", + "prose": [ + "\u003cp class=\"decision\"\u003ecoordinate an organization-wide information security program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[1]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-2-2.", + "prose": [ + "\u003cp class=\"decision\"\u003edevelop an organization-wide information security program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[2]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-2-3.", + "prose": [ + "\u003cp class=\"decision\"\u003eimplement an organization-wide information security program; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[3]" + } + ] + }, + { + "class": "objective", + "id": "obj_pm-2-4.", + "prose": [ + "\u003cp class=\"decision\"\u003emaintain an organization-wide information security program.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2[4]" + } + ] + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eInformation security program plan\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing program plan development and implementation\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing program plan reviews and updates\u003c/p\u003e", + "\u003cp class=\"object\"\u003eprocedures addressing coordination of the program plan with relevant entities\u003c/p\u003e", + "\u003cp class=\"object\"\u003eother relevant documents or records\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ] + }, + { + "class": "assessment", + "prose": [ + "\u003cp class=\"object\"\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp class=\"object\"\u003esenior information security officer\u003c/p\u003e", + "\u003cp class=\"object\"\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ], + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.3", + "title": "INFORMATION SECURITY RESOURCES", + "props": [ + { + "class": "name", + "value": "PM-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "smm_pm-3a.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3a." + } + ] + }, + { + "class": "item", + "id": "smm_pm-3b.", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys a business case/Exhibit 300/Exhibit 53 to record the resources required; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3b." + } + ] + }, + { + "class": "item", + "id": "smm_pm-3c.", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that information security resources are available for expenditure as planned.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-3c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider establishing champions for information security efforts and as part of including the necessary resources, assign specialized expertise and resources as needed. 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"groups": [ + { + "class": "family", + "title": "ACCESS CONTROL", + "controls": [ + { + "class": "SP800-53", + "id": "ac.1", + "title": "ACCESS CONTROL POLICY AND PROCEDURES", + "params": [ + { + "id": "ac-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ac-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "ac-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ac-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AC-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"ac-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "ac.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eAn access control policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "ac.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "ac.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "ac.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the access control policy and the associated access controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ac.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"ac-1_b\"/\u003e to manage the access control policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1b." + } + ] + }, + { + "class": "item", + "id": "ac.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current access control:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "ac.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"ac-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1c.1." + } + ] + }, + { + "class": "item", + "id": "ac.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"ac-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ac.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the access control procedures implement the access control policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1d." + } + ] + }, + { + "class": "item", + "id": "ac.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the access control policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the AC family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.1" + }, + { + "href": "#pm.9" + }, + { + "href": "#pm.25" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.2", + "title": "ACCOUNT MANAGEMENT", + "params": [ + { + "id": "ac-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ac-2_b", + "desc": "organization-defined policy, procedures, and conditions", + "value": "organization-defined policy, procedures, and conditions" + }, + { + "id": "ac-2_c", + "desc": "organization-defined time-period for each situation", + "value": "organization-defined time-period for each situation" + }, + { + "id": "ac-2_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.2a", + "prose": [ + "\u003cp class=\"description\"\u003eDefine and document the types of system accounts allowed for use within the system in support of organizational missions and business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2a." + } + ] + }, + { + "class": "item", + "id": "ac.2b", + "prose": [ + "\u003cp class=\"description\"\u003eAssign account managers for system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2b." + } + ] + }, + { + "class": "item", + "id": "ac.2c", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish conditions for group and role membership;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2c." + } + ] + }, + { + "class": "item", + "id": "ac.2d", + "prose": [ + "\u003cp class=\"description\"\u003eSpecify authorized users of the system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2d." + } + ] + }, + { + "class": "item", + "id": "ac.2e", + "prose": [ + "\u003cp class=\"description\"\u003eRequire approvals by \u003cinsert param-id=\"ac-2_a\"/\u003e for requests to create system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2e." + } + ] + }, + { + "class": "item", + "id": "ac.2f", + "prose": [ + "\u003cp class=\"description\"\u003eCreate, enable, modify, disable, and remove system accounts in accordance with \u003cinsert param-id=\"ac-2_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2f." + } + ] + }, + { + "class": "item", + "id": "ac.2g", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor the use of system accounts;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2g." + } + ] + }, + { + "class": "item", + "id": "ac.2h", + "prose": [ + "\u003cp class=\"description\"\u003eNotify account managers within \u003cinsert param-id=\"ac-2_c\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h." + } + ], + "parts": [ + { + "class": "item", + "id": "ac.2h.1", + "prose": [ + "\u003cp class=\"description\"\u003eWhen accounts are no longer required;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h.1." + } + ] + }, + { + "class": "item", + "id": "ac.2h.2", + "prose": [ + "\u003cp class=\"description\"\u003eWhen users are terminated or transferred; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h.2." + } + ] + }, + { + "class": "item", + "id": "ac.2h.3", + "prose": [ + "\u003cp class=\"description\"\u003eWhen individual system usage or need-to-know changes for an individual;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2h.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "ac.2i", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize access to the system based on:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i." + } + ], + "parts": [ + { + "class": "item", + "id": "ac.2i.1", + "prose": [ + "\u003cp class=\"description\"\u003eA valid access authorization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i.1." + } + ] + }, + { + "class": "item", + "id": "ac.2i.2", + "prose": [ + "\u003cp class=\"description\"\u003eIntended system usage; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i.2." + } + ] + }, + { + "class": "item", + "id": "ac.2i.3", + "prose": [ + "\u003cp class=\"description\"\u003eOther attributes as required by the organization or associated missions and business functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2i.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "ac.2j", + "prose": [ + "\u003cp class=\"description\"\u003eReview accounts for compliance with account management requirements \u003cinsert param-id=\"ac-2_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2j." + } + ] + }, + { + "class": "item", + "id": "ac.2k", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2k." + } + ] + }, + { + "class": "item", + "id": "ac.2l", + "prose": [ + "\u003cp class=\"description\"\u003eAlign account management processes with personnel termination and transfer processes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2l." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem account types include, for example, individual, shared, group, system, guest, anonymous, emergency, developer/manufacturer/vendor, temporary, and service. The identification of authorized users of the system and the specification of access privileges reflects the requirements in other controls in the security plan. Users requiring administrative privileges on system accounts receive additional scrutiny by appropriate organizational personnel responsible for approving such accounts and privileged access, including, for example, system owner, mission/business owner, or chief information security officer. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements and mission/business requirements. Failure to consider these factors could affect system availability. Temporary and emergency accounts are intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts including, for example, local logon accounts used for special tasks or when network resources are unavailable. Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example, when shared/group, emergency, or temporary accounts are no longer required; or when individuals are transferred or terminated. Some types of system accounts may require specialized training.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.20" + }, + { + "href": "#ac.24" + }, + { + "href": "#au.9" + }, + { + "href": "#cm.5" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.8" + }, + { + "href": "#ma.3" + }, + { + "href": "#ma.5" + }, + { + "href": "#pe.2" + }, + { + "href": "#pl.4" + }, + { + "href": "#ps.2" + }, + { + "href": "#ps.4" + }, + { + "href": "#ps.5" + }, + { + "href": "#ps.7" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.37" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.2.1", + "title": "AUTOMATED SYSTEM ACCOUNT MANAGEMENT", + "props": [ + { + "class": "name", + "value": "AC-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to support the management of system accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of automated mechanisms can include, for example, using email or text messaging to automatically notify account managers when users are terminated or transferred; using the system to monitor account usage; and using telephonic notification to report atypical system account usage.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.2", + "title": "REMOVAL OF TEMPORARY AND EMERGENCY ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAutomatically [Selection: remove; disable] temporary and emergency accounts after \u003cinsert param-id=\"ac-2_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires the removal or disabling of both temporary and emergency accounts automatically after a predefined time-period has elapsed, rather than at the convenience of the systems administrator. Automatic removal or disabling of accounts provides a more consistent implementation.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-2_e", + "desc": "organization-defined time-period for each type of account", + "value": "organization-defined time-period for each type of account" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.3", + "title": "DISABLE ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAutomatically disable accounts when the accounts:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ac.2.3.a", + "prose": [ + "\u003cp class=\"description\"\u003eHave expired;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "ac.2.3.b", + "prose": [ + "\u003cp class=\"description\"\u003eAre no longer associated to a user;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (3)(b)" + } + ] + }, + { + "class": "item", + "id": "ac.2.3.c", + "prose": [ + "\u003cp class=\"description\"\u003eAre in violation of organizational policy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (3)(c)" + } + ] + }, + { + "class": "item", + "id": "ac.2.3.d", + "prose": [ + "\u003cp class=\"description\"\u003eAre no longer used by applications, services, or the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (3)(d)" + } + ] + }, + { + "class": "item", + "id": "ac.2.3.e", + "prose": [ + "\u003cp class=\"description\"\u003eHave been inactive for \u003cinsert param-id=\"ac-2_f\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (3)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-2_f", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.4", + "title": "AUTOMATED AUDIT ACTIONS", + "props": [ + { + "class": "name", + "value": "AC-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAutomatically audit account creation, modification, enabling, disabling, and removal actions, and notify \u003cinsert param-id=\"ac-2_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + } + ] + } + ], + "params": [ + { + "id": "ac-2_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.5", + "title": "INACTIVITY LOGOUT", + "props": [ + { + "class": "name", + "value": "AC-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that users log out when \u003cinsert param-id=\"ac-2_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is behavior/policy-based and requires users to take physical action to log out when they are expecting inactivity longer than the defined period.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.11" + } + ] + } + ], + "params": [ + { + "id": "ac-2_h", + "desc": "organization-defined time-period of expected inactivity or description of when to log out", + "value": "organization-defined time-period of expected inactivity or description of when to log out" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.6", + "title": "DYNAMIC PRIVILEGE MANAGEMENT", + "props": [ + { + "class": "name", + "value": "AC-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement the following dynamic privilege management capabilities: \u003cinsert param-id=\"ac-2_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn contrast to conventional access control approaches which employ static system accounts and predefined user privileges, dynamic access control approaches rely on run time access control decisions facilitated by dynamic privilege management such as attribute based access control (ABAC). While user identities remain relatively constant over time, user privileges typically change more frequently based on ongoing mission or business requirements and operational needs of organizations. Dynamic privilege management can include, for example, immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also include those mechanisms that change user privileges based on dynamic rules as opposed to editing specific user profiles. Examples include automatic adjustments of user privileges if they are operating out of their normal work times, their job function or assignment changes, or if systems are under duress or in emergency situations. This control enhancement also includes the effects of privilege changes, for example, the changes to encryption keys used for communications.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + } + ] + } + ], + "params": [ + { + "id": "ac-2_i", + "desc": "organization-defined list of dynamic privilege management capabilities", + "value": "organization-defined list of dynamic privilege management capabilities" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.7", + "title": "ROLE-BASED SCHEMES", + "props": [ + { + "class": "name", + "value": "AC-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.2.7.a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish and administer privileged user accounts in accordance with a role-based access scheme that organizes allowed system access and privileges into roles;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "ac.2.7.b", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor privileged role assignments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (7)(b)" + } + ] + }, + { + "class": "item", + "id": "ac.2.7.c", + "prose": [ + "\u003cp class=\"description\"\u003eRevoke access when privileged role assignments are no longer appropriate.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (7)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.8", + "title": "DYNAMIC ACCOUNT MANAGEMENT", + "props": [ + { + "class": "name", + "value": "AC-2 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCreate, activate, manage, and deactivate \u003cinsert param-id=\"ac-2_j\"/\u003e dynamically.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eApproaches for dynamically creating, activating, managing, and deactivating system or service/application accounts rely on automatically provisioning the accounts at run time for entities that were previously unknown. Organizations plan for the dynamic creation, activation, management, and deactivation of these accounts by establishing trust relationships, business rules, and mechanisms with appropriate authorities to validate related authorizations and privileges.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + } + ] + } + ], + "params": [ + { + "id": "ac-2_j", + "desc": "organization-defined system accounts", + "value": "organization-defined system accounts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.9", + "title": "RESTRICTIONS ON USE OF SHARED AND GROUP ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-2 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eOnly permit the use of shared and group accounts that meet \u003cinsert param-id=\"ac-2_k\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBefore permitting the use of shared or group accounts, organizations consider the increased risk due to the lack of accountability with such accounts.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-2_k", + "desc": "organization-defined conditions for establishing shared and group accounts", + "value": "organization-defined conditions for establishing shared and group accounts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.10", + "title": "SHARED AND GROUP ACCOUNT CREDENTIAL CHANGE", + "props": [ + { + "class": "name", + "value": "AC-2 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eChange shared and group account credentials when members leave the group.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is intended to ensure that former group members do not retain access to the shared/group account.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.11", + "title": "USAGE CONDITIONS", + "props": [ + { + "class": "name", + "value": "AC-2 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce \u003cinsert param-id=\"ac-2_l\"/\u003e for \u003cinsert param-id=\"ac-2_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement helps to enforce the principle of least privilege, increase user accountability, and enable more effective account monitoring. Such monitoring includes, for example, alerts generated if the account is used outside of specified parameters. Organizations can describe the specific conditions or circumstances under which system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-2_l", + "desc": "organization-defined circumstances and/or usage conditions", + "value": "organization-defined circumstances and/or usage conditions" + }, + { + "id": "ac-2_m", + "desc": "organization-defined system accounts", + "value": "organization-defined system accounts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.12", + "title": "ACCOUNT MONITORING FOR ATYPICAL USAGE", + "props": [ + { + "class": "name", + "value": "AC-2 (12)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.2.12.a", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor system accounts for \u003cinsert param-id=\"ac-2_n\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (12)(a)" + } + ] + }, + { + "class": "item", + "id": "ac.2.12.b", + "prose": [ + "\u003cp class=\"description\"\u003eReport atypical usage of system accounts to \u003cinsert param-id=\"ac-2_o\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (12)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAtypical usage includes, for example, accessing systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations. Account monitoring may inadvertently create privacy risks. Data collected to identify atypical usage may reveal previously unknown information about the behavior of individuals. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#ca.7" + }, + { + "href": "#ir.8" + }, + { + "href": "#si.4" + } + ] + } + ], + "params": [ + { + "id": "ac-2_n", + "desc": "organization-defined atypical usage", + "value": "organization-defined atypical usage" + }, + { + "id": "ac-2_o", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.13", + "title": "DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AC-2 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDisable accounts of users posing a significant risk within \u003cinsert param-id=\"ac-2_p\"/\u003e of discovery of the risk.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUsers posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to systems to cause harm or through whom adversaries will cause harm. Such harm includes the potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination and cooperation among authorizing officials, system administrators, and human resource managers is essential for timely execution of this control enhancement.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#si.4" + } + ] + } + ], + "params": [ + { + "id": "ac-2_p", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.14", + "title": "PROHIBIT SPECIFIC ACCOUNT TYPES", + "props": [ + { + "class": "name", + "value": "AC-2 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit the creation and use of [Selection (one or more): shared; guest; anonymous; temporary; emergency] accounts for access to \u003cinsert param-id=\"ac-2_q\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNIST Special Publications 800-162, 800-178.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.4" + } + ] + } + ], + "params": [ + { + "id": "ac-2_q", + "desc": "organization-defined information types", + "value": "organization-defined information types" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.2.15", + "title": "ATTRIBUTE-BASED SCHEMES", + "props": [ + { + "class": "name", + "value": "AC-2 (15)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.2.15.a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish and administer privileged user accounts in accordance with an attribute-based access scheme that specifies allowed system access and privileges based on attributes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (15)(a)" + } + ] + }, + { + "class": "item", + "id": "ac.2.15.b", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor privileged attribute-based assignments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (15)(b)" + } + ] + }, + { + "class": "item", + "id": "ac.2.15.c", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor changes to attributes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (15)(c)" + } + ] + }, + { + "class": "item", + "id": "ac.2.15.d", + "prose": [ + "\u003cp class=\"description\"\u003eRevoke access when privileged attribute-based assignments are no longer appropriate.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-2 (15)(d)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.3", + "title": "ACCESS ENFORCEMENT", + "props": [ + { + "class": "name", + "value": "AC-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAccess control policies control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. In addition to enforcing authorized access at the system level and recognizing that systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.16" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.20" + }, + { + "href": "#ac.21" + }, + { + "href": "#ac.22" + }, + { + "href": "#ac.24" + }, + { + "href": "#ac.25" + }, + { + "href": "#au.9" + }, + { + "href": "#ca.9" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.11" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.6" + }, + { + "href": "#ia.7" + }, + { + "href": "#ia.11" + }, + { + "href": "#ma.3" + }, + { + "href": "#ma.4" + }, + { + "href": "", + "value": "MA-5 MP-4" + }, + { + "href": "#pm.25" + }, + { + "href": "#ps.3" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.4" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.28" + }, + { + "href": "#sc.31" + }, + { + "href": "#sc.34" + }, + { + "href": "#si.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.3.1", + "title": "RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.2", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "AC-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce dual authorization for \u003cinsert param-id=\"ac-3_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDual authorization may also be known as two-person control. Dual authorization mechanisms require the approval of two authorized individuals to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.9" + }, + { + "href": "#mp.6" + } + ] + } + ], + "params": [ + { + "id": "ac-3_a", + "desc": "organization-defined privileged commands and/or other organization-defined actions", + "value": "organization-defined privileged commands and/or other organization-defined actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.3", + "title": "MANDATORY ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "AC-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce \u003cinsert param-id=\"ac-3_b\"/\u003e over all subjects and objects where the policy:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ac.3.3.a", + "prose": [ + "\u003cp class=\"description\"\u003eIs uniformly enforced across all subjects and objects within the boundary of the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "ac.3.3.b", + "prose": [ + "\u003cp class=\"description\"\u003eSpecifies that a subject that has been granted access to information is constrained from doing any of the following;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)" + } + ], + "parts": [ + { + "class": "item", + "id": "ac.3.3.b.1", + "prose": [ + "\u003cp class=\"description\"\u003ePassing the information to unauthorized subjects or objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(1)" + } + ] + }, + { + "class": "item", + "id": "ac.3.3.b.2", + "prose": [ + "\u003cp class=\"description\"\u003eGranting its privileges to other subjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(2)" + } + ] + }, + { + "class": "item", + "id": "ac.3.3.b.3", + "prose": [ + "\u003cp class=\"description\"\u003eChanging one or more security attributes on subjects, objects, the system, or system components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(3)" + } + ] + }, + { + "class": "item", + "id": "ac.3.3.b.4", + "prose": [ + "\u003cp class=\"description\"\u003eChoosing the security attributes and attribute values to be associated with newly created or modified objects; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(4)" + } + ] + }, + { + "class": "item", + "id": "ac.3.3.b.5", + "prose": [ + "\u003cp class=\"description\"\u003eChanging the rules governing access control; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(5)" + } + ] + } + ] + }, + { + "class": "item", + "id": "ac.3.3.c", + "prose": [ + "\u003cp class=\"description\"\u003eSpecifies that \u003cinsert param-id=\"ac-3_c\"/\u003e may explicitly be granted \u003cinsert param-id=\"ac-3_d\"/\u003e such that they are not limited by any of the above constraints.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMandatory access control is a type of nondiscretionary access control. The above class of mandatory access control policies constrains what actions subjects can take with information obtained from data objects for which they have already been granted access. This prevents the subjects from passing the information to unauthorized subjects and objects. This class of mandatory access control policies also constrains what actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the system has control. Otherwise, the access control policy can be circumvented. This enforcement is provided by an implementation that meets the reference monitor concept as described in AC-25. The policy is bounded by the system boundary (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is a policy mandate that establishes a policy regarding access to controlled unclassified information or classified information and some users of the system are not authorized access to all such information resident in the system. This control can operate in conjunction with AC-3(4). A subject constrained in its operation by policies governed by this control is still able to operate under the less rigorous constraints of AC-3(4), but policies governed by this control take precedence over the less rigorous constraints of AC-3(4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity label, AC-3(4) permits the subject to pass the information to any subject with the same sensitivity label as the subject.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.7" + } + ] + } + ], + "params": [ + { + "id": "ac-3_b", + "desc": "organization-defined mandatory access control policy", + "value": "organization-defined mandatory access control policy" + }, + { + "id": "ac-3_c", + "desc": "organization-defined subjects", + "value": "organization-defined subjects" + }, + { + "id": "ac-3_d", + "desc": "organization-defined privileges", + "value": "organization-defined privileges" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.4", + "title": "DISCRETIONARY ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "AC-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce \u003cinsert param-id=\"ac-3_e\"/\u003e over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ac.3.4.a", + "prose": [ + "\u003cp class=\"description\"\u003ePass the information to any other subjects or objects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "ac.3.4.b", + "prose": [ + "\u003cp class=\"description\"\u003eGrant its privileges to other subjects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "ac.3.4.c", + "prose": [ + "\u003cp class=\"description\"\u003eChange security attributes on subjects, objects, the system, or the system\u0026#x92;s components;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(c)" + } + ] + }, + { + "class": "item", + "id": "ac.3.4.d", + "prose": [ + "\u003cp class=\"description\"\u003eChoose the security attributes to be associated with newly created or revised objects; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(d)" + } + ] + }, + { + "class": "item", + "id": "ac.3.4.e", + "prose": [ + "\u003cp class=\"description\"\u003eChange the rules governing access control.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen discretionary access control policies are implemented, subjects are not constrained regarding what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3(3). A subject that is constrained in its operation by policies governed by AC-3(3) is still able to operate under the less rigorous constraints of this control enhancement. Therefore, while AC-3(3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3(4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the system boundary. Once the information is passed outside of the control of the system, additional means may be required to help ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-3_e", + "desc": "organization-defined discretionary access control policy", + "value": "organization-defined discretionary access control policy" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.5", + "title": "SECURITY-RELEVANT INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent access to \u003cinsert param-id=\"ac-3_f\"/\u003e except during secure, non-operable system states.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity-relevant information is any information within systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the isolation of code and data. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Secure, non-operable system states include the times in which systems are not performing mission/business-related processing, for example, the system is off-line for maintenance, troubleshooting, boot-up, or shut down.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#sc.39" + } + ] + } + ], + "params": [ + { + "id": "ac-3_f", + "desc": "organization-defined security-relevant information", + "value": "organization-defined security-relevant information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.6", + "title": "PROTECTION OF USER AND SYSTEM INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-4 and SC-28\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.4" + }, + { + "href": "#sc.28" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.7", + "title": "ROLE-BASED ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "AC-3 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce a role-based access control policy over defined subjects and objects and control access based upon \u003cinsert param-id=\"ac-3_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRole-based access control (RBAC) is an access control policy that restricts system access to authorized users. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on the systems associated with the organization-defined roles. When users are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3(3) define the scope of the subjects and objects covered by the policy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.2" + } + ] + } + ], + "params": [ + { + "id": "ac-3_g", + "desc": "organization-defined roles and users authorized to assume such roles", + "value": "organization-defined roles and users authorized to assume such roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.8", + "title": "REVOCATION OF ACCESS AUTHORIZATIONS", + "props": [ + { + "class": "name", + "value": "AC-3 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on \u003cinsert param-id=\"ac-3_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRevocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object is opened or the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations provide alternative approaches on how to make revocations immediate if systems cannot provide such capability and immediate revocation is necessary.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-3_h", + "desc": "organization-defined rules governing the timing of revocations of access authorizations", + "value": "organization-defined rules governing the timing of revocations of access authorizations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.9", + "title": "CONTROLLED RELEASE", + "props": [ + { + "class": "name", + "value": "AC-3 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRelease information outside of the established system boundary only if:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ac.3.9.a", + "prose": [ + "\u003cp class=\"description\"\u003eThe receiving \u003cinsert param-id=\"ac-3_i\"/\u003e provides \u003cinsert param-id=\"ac-3_j\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (9)(a)" + } + ] + }, + { + "class": "item", + "id": "ac.3.9.b", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"ac-3_k\"/\u003e are used to validate the appropriateness of the information designated for release.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (9)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystems can only protect organizational information within the confines of established system boundaries. Additional security controls may be needed to ensure that such information is adequately protected once it is passed beyond the established system boundaries. In situations where the system is unable to determine the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external systems are providing adequate security. The means used to determine the adequacy of security provided by external systems include, for example, conducting inspections or periodic testing and assessments; establishing agreements between the organization and its counterpart organizations; or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular system or organization.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.16" + } + ] + } + ], + "params": [ + { + "id": "ac-3_i", + "desc": "organization-defined system or system component", + "value": "organization-defined system or system component" + }, + { + "id": "ac-3_j", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "ac-3_k", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.10", + "title": "AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS", + "props": [ + { + "class": "name", + "value": "AC-3 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy an audited override of automated access control mechanisms under \u003cinsert param-id=\"ac-3_l\"/\u003e by \u003cinsert param-id=\"ac-3_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, for example, where there is a threat to human life or an event that threatens the organization\u0026#x92;s ability carry out critical missions or business functions, an override capability for access control mechanisms may be needed. Such override conditions are defined by organizations and are used only in those limited circumstances.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.10" + }, + { + "href": "#au.12" + }, + { + "href": "#au.14" + } + ] + } + ], + "params": [ + { + "id": "ac-3_l", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + }, + { + "id": "ac-3_m", + "desc": "organization-defined roles", + "value": "organization-defined roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.11", + "title": "RESTRICT ACCESS TO SPECIFIC INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-3 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRestrict direct access to data repositories containing \u003cinsert param-id=\"ac-3_n\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is intended to provide flexibility regarding access control of specific pieces of information within a system. For example, role-based access could be employed to allow access to only a specific type of personally identifiable information within a database rather than allowing access to the database in its entirety.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-3_n", + "desc": "organization-defined information types", + "value": "organization-defined information types" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.12", + "title": "ASSERT AND ENFORCE APPLICATION ACCESS", + "props": [ + { + "class": "name", + "value": "AC-3 (12)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.3.12.a", + "prose": [ + "\u003cp class=\"description\"\u003eRequire applications to assert, as part of the installation process, the access needed to the following system applications and functions: \u003cinsert param-id=\"ac-3_o\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (12)(a)" + } + ] + }, + { + "class": "item", + "id": "ac.3.12.b", + "prose": [ + "\u003cp class=\"description\"\u003eProvide an enforcement mechanism to prevent other-than-asserted access.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-3 (12)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is intended to address applications that need to access existing system applications and functions including, for example, user contacts; global positioning system; camera; keyboard; microphone; network; or phones or other files.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + } + ] + } + ], + "params": [ + { + "id": "ac-3_o", + "desc": "organization-defined system applications and functions", + "value": "organization-defined system applications and functions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.3.13", + "title": "ATTRIBUTE-BASED ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "AC-3 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce attribute-based access control policy over defined subjects and objects and control access based upon \u003cinsert param-id=\"ac-3_p\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAttribute-based access control (ABAC) is an access control policy that restricts system access to authorized users based on their organizational attributes, such as job function; environmental attributes, such as time of day; and resource attributes, such as the classification of a document. Organizations can create specific rules based on attributes and the authorizations (i.e., privileges) to perform needed operations on the systems associated with the organization-defined attributes and rules. When users are assigned to attributes defined in ABAC policies or rules, they can be provisioned to a system with appropriate privileges or dynamically granted access to a protected resource upon access. ABAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing ABAC with mandatory access controls, the requirements in AC-3(3) define the scope of the subjects and objects covered by the policy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.2" + } + ] + } + ], + "params": [ + { + "id": "ac-3_p", + "desc": "organization-defined attributes to assume access permissions", + "value": "organization-defined attributes to assume access permissions" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.4", + "title": "INFORMATION FLOW ENFORCEMENT", + "params": [ + { + "id": "ac-4_a", + "desc": "organization-defined information flow control policies", + "value": "organization-defined information flow control policies" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce approved authorizations for controlling the flow of information within the system and between interconnected systems based on \u003cinsert param-id=\"ac-4_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation flow control regulates where information can travel within a system and between systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between systems in different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners or stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example, prohibiting information transfers between interconnected systems (i.e., allowing access only); employing hardware mechanisms to enforce one-way information flows; and implementing trustworthy regrading mechanisms to reassign security attributes and security labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations within systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices that employ rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content. Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.16" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.21" + }, + { + "href": "#au.10" + }, + { + "href": "#ca.9" + }, + { + "href": "#cm.7" + }, + { + "href": "#pm.25" + }, + { + "href": "#sc.4" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.16" + }, + { + "href": "#sc.31" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.4.1", + "title": "OBJECT SECURITY ATTRIBUTES", + "props": [ + { + "class": "name", + "value": "AC-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUse \u003cinsert param-id=\"ac-4_b\"/\u003e associated with \u003cinsert param-id=\"ac-4_c\"/\u003e to enforce \u003cinsert param-id=\"ac-4_d\"/\u003e as a basis for flow control decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation flow enforcement mechanisms compare security attributes associated with information (data content and data structure) and source/destination objects, and respond appropriately when the mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. Security attributes can also include, for example, source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security attributes can be used, for example, to control the release of certain types of information.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-4_b", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + }, + { + "id": "ac-4_c", + "desc": "organization-defined information, source, and destination objects", + "value": "organization-defined information, source, and destination objects" + }, + { + "id": "ac-4_d", + "desc": "organization-defined information flow control policies", + "value": "organization-defined information flow control policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.2", + "title": "PROCESSING DOMAINS", + "props": [ + { + "class": "name", + "value": "AC-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUse protected processing domains to enforce \u003cinsert param-id=\"ac-4_e\"/\u003e as a basis for flow control decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWithin systems, protected processing domains are processing spaces that have controlled interactions with other processing spaces, enabling control of information flows between these spaces and to/from data/information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, system processes are assigned to domains; information is identified by types; and information flows are controlled based on allowed information accesses (determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.39" + } + ] + } + ], + "params": [ + { + "id": "ac-4_e", + "desc": "organization-defined information flow control policies", + "value": "organization-defined information flow control policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.3", + "title": "DYNAMIC INFORMATION FLOW CONTROL", + "props": [ + { + "class": "name", + "value": "AC-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce dynamic information flow control based on \u003cinsert param-id=\"ac-4_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational policies regarding dynamic information flow control include, for example, allowing or disallowing information flows based on changing conditions or mission/operational considerations. Changing conditions include, for example, changes in organizational risk tolerance due to changes in the immediacy of mission/business needs, changes in the threat environment, and detection of potentially harmful or adverse events.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.4" + } + ] + } + ], + "params": [ + { + "id": "ac-4_f", + "desc": "organization-defined policies", + "value": "organization-defined policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.4", + "title": "FLOW CONTROL OF ENCRYPTED INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent encrypted information from bypassing \u003cinsert param-id=\"ac-4_g\"/\u003e by [Selection (one or more): decrypting the information; blocking the flow of the encrypted information; terminating communications sessions attempting to pass encrypted information; \u003cinsert param-id=\"ac-4_h\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContent checking, security policy filters, and data type identifiers are examples of flow control mechanisms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.4" + } + ] + } + ], + "params": [ + { + "id": "ac-4_g", + "desc": "organization-defined flow control mechanisms", + "value": "organization-defined flow control mechanisms" + }, + { + "id": "ac-4_h", + "desc": "organization-defined procedure or method", + "value": "organization-defined procedure or method" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.5", + "title": "EMBEDDED DATA TYPES", + "props": [ + { + "class": "name", + "value": "AC-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce \u003cinsert param-id=\"ac-4_i\"/\u003e on embedding data types within other data types.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEmbedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes, for example, inserting executable files as objects within word processing files, inserting references or descriptive information into a media file, and compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-4_i", + "desc": "organization-defined limitations", + "value": "organization-defined limitations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.6", + "title": "METADATA", + "props": [ + { + "class": "name", + "value": "AC-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce information flow control based on \u003cinsert param-id=\"ac-4_j\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMetadata is information used to describe the characteristics of data. Metadata can include structural metadata describing data structures or descriptive metadata describing data contents. Enforcing allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata regarding data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., ensuring sufficiently strong binding techniques with appropriate levels of assurance).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#si.7" + } + ] + } + ], + "params": [ + { + "id": "ac-4_j", + "desc": "organization-defined metadata", + "value": "organization-defined metadata" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.7", + "title": "ONE-WAY FLOW MECHANISMS", + "props": [ + { + "class": "name", + "value": "AC-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce \u003cinsert param-id=\"ac-4_k\"/\u003e using hardware mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-4_k", + "desc": "organization-defined one-way information flows", + "value": "organization-defined one-way information flows" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.8", + "title": "SECURITY POLICY FILTERS", + "props": [ + { + "class": "name", + "value": "AC-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce information flow control using \u003cinsert param-id=\"ac-4_l\"/\u003e as a basis for flow control decisions for \u003cinsert param-id=\"ac-4_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganization-defined security policy filters can address data structures and content. For example, security policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security policy filters for data content can check for specific words enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data refers to digital information without a data structure or with a data structure that does not facilitate the development of rule sets to address the sensitivity of the information conveyed by the data or the flow enforcement decisions. Unstructured data consists of bitmap objects that are inherently non-language-based (i.e., image, video, or audio files); and textual objects that are based on written or printed languages. Organizations can implement more than one security policy filter to meet information flow control objectives.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-4_l", + "desc": "organization-defined security policy filters", + "value": "organization-defined security policy filters" + }, + { + "id": "ac-4_m", + "desc": "organization-defined information flows", + "value": "organization-defined information flows" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.9", + "title": "HUMAN REVIEWS", + "props": [ + { + "class": "name", + "value": "AC-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce the use of human reviews for \u003cinsert param-id=\"ac-4_n\"/\u003e under the following conditions: \u003cinsert param-id=\"ac-4_o\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations define security policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of, or as a complement to, automated security policy filtering. Human reviews may also be employed as deemed necessary by organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-4_n", + "desc": "organization-defined information flows", + "value": "organization-defined information flows" + }, + { + "id": "ac-4_o", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.10", + "title": "ENABLE AND DISABLE SECURITY POLICY FILTERS", + "props": [ + { + "class": "name", + "value": "AC-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide the capability for privileged administrators to enable and disable \u003cinsert param-id=\"ac-4_p\"/\u003e under the following conditions: \u003cinsert param-id=\"ac-4_q\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor example, as allowed by the system authorization, administrators can enable security policy filters to accommodate approved data types.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-4_p", + "desc": "organization-defined security policy filters", + "value": "organization-defined security policy filters" + }, + { + "id": "ac-4_q", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.11", + "title": "CONFIGURATION OF SECURITY POLICY FILTERS", + "props": [ + { + "class": "name", + "value": "AC-4 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide the capability for privileged administrators to configure \u003cinsert param-id=\"ac-4_r\"/\u003e to support different security policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor example, to reflect changes in security policies, administrators can change the list of \u0026#x93;dirty words\u0026#x94; that security policy mechanisms check in accordance with the definitions provided by organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-4_r", + "desc": "organization-defined security policy filters", + "value": "organization-defined security policy filters" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.12", + "title": "DATA TYPE IDENTIFIERS", + "props": [ + { + "class": "name", + "value": "AC-4 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eWhen transferring information between different security domains, use \u003cinsert param-id=\"ac-4_s\"/\u003e to validate data essential for information flow decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData type identifiers include, for example, filenames, file types, file signatures/tokens, and multiple internal file signatures/tokens. Systems may allow transfer of data only if compliant with data type format specifications.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-4_s", + "desc": "organization-defined data type identifiers", + "value": "organization-defined data type identifiers" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.13", + "title": "DECOMPOSITION INTO POLICY-RELEVANT SUBCOMPONENTS", + "props": [ + { + "class": "name", + "value": "AC-4 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eWhen transferring information between different security domains, decompose information into \u003cinsert param-id=\"ac-4_t\"/\u003e for submission to policy enforcement mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePolicy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security domains. Parsing transfer files facilitates policy decisions on source, destination, certificates, classification, attachments, and other security-related component differentiators.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-4_t", + "desc": "organization-defined policy-relevant subcomponents", + "value": "organization-defined policy-relevant subcomponents" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.14", + "title": "SECURITY POLICY FILTER CONSTRAINTS", + "props": [ + { + "class": "name", + "value": "AC-4 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eWhen transferring information between different security domains, implement \u003cinsert param-id=\"ac-4_u\"/\u003e requiring fully enumerated formats that restrict data structure and content.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData structure and content restrictions reduce the range of potential malicious or unsanctioned content in cross-domain transactions. Security policy filters that restrict data structures include, for example, restricting file sizes and field lengths. Data content policy filters include, for example, encoding formats for character sets; restricting character data fields to only contain alpha-numeric characters; prohibiting special characters; and validating schema structures.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-4_u", + "desc": "organization-defined security policy filters", + "value": "organization-defined security policy filters" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.15", + "title": "DETECTION OF UNSANCTIONED INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-4 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eWhen transferring information between different security domains, examine the information for the presence of \u003cinsert param-id=\"ac-4_v\"/\u003e and prohibit the transfer of such information in accordance with the \u003cinsert param-id=\"ac-4_w\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetection of unsanctioned information includes, for example, checking all information to be transferred for malicious code and dirty words.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + } + ] + } + ], + "params": [ + { + "id": "ac-4_v", + "desc": "organized-defined unsanctioned information", + "value": "organized-defined unsanctioned information" + }, + { + "id": "ac-4_w", + "desc": "organization-defined security policy", + "value": "organization-defined security policy" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.16", + "title": "INFORMATION TRANSFERS ON INTERCONNECTED SYSTEMS", + "props": [ + { + "class": "name", + "value": "AC-4 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.17", + "title": "DOMAIN AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "AC-4 (17)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUniquely identify and authenticate source and destination points by [Selection (one or more): organization, system, application, service, individual] for information transfer.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAttribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in systems, allows the forensic reconstruction of events when required, and encourages policy compliance by attributing policy violations to specific organizations/individuals. Successful domain authentication requires that system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.9" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.18", + "title": "SECURITY ATTRIBUTE BINDING", + "props": [ + { + "class": "name", + "value": "AC-4 (18)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-16\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.16" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.19", + "title": "VALIDATION OF METADATA", + "props": [ + { + "class": "name", + "value": "AC-4 (19)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eWhen transferring information between different security domains, apply the same security policy filtering to metadata as it applies to data payloads.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires the validation of metadata and the data to which the metadata applies. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions, considering metadata and the data to which the metadata applies as part of the payload. All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.20", + "title": "APPROVED SOLUTIONS", + "props": [ + { + "class": "name", + "value": "AC-4 (20)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"ac-4_x\"/\u003e to control the flow of \u003cinsert param-id=\"ac-4_y\"/\u003e across security domains.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The Unified Cross Domain Management Office provides a baseline listing of approved cross-domain solutions.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-4_x", + "desc": "organization-defined solutions in approved configurations", + "value": "organization-defined solutions in approved configurations" + }, + { + "id": "ac-4_y", + "desc": "organization-defined information", + "value": "organization-defined information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.21", + "title": "PHYSICAL AND LOGICAL SEPARATION OF INFORMATION FLOWS", + "props": [ + { + "class": "name", + "value": "AC-4 (21)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eSeparate information flows logically or physically using \u003cinsert param-id=\"ac-4_z\"/\u003e to accomplish \u003cinsert param-id=\"ac-4_aa\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEnforcing the separation of information flows by type can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths perhaps not otherwise achievable. Types of separable information include, for example, inbound and outbound communications traffic, service requests and responses, and information of differing security categories.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.32" + } + ] + } + ], + "params": [ + { + "id": "ac-4_z", + "desc": "organization-defined mechanisms and/or techniques", + "value": "organization-defined mechanisms and/or techniques" + }, + { + "id": "ac-4_aa", + "desc": "organization-defined required separations by types of information", + "value": "organization-defined required separations by types of information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.4.22", + "title": "ACCESS ONLY", + "props": [ + { + "class": "name", + "value": "AC-4 (22)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe system, for example, provides a desktop for users to access each connected security domain without providing any mechanisms to allow transfer of information between the different security domains.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.5", + "title": "SEPARATION OF DUTIES", + "params": [ + { + "id": "ac-5_a", + "desc": "organization-defined duties of individuals", + "value": "organization-defined duties of individuals" + } + ], + "props": [ + { + "class": "name", + "value": "AC-5" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.5a", + "prose": [ + "\u003cp class=\"description\"\u003eSeparate \u003cinsert param-id=\"ac-5_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5a." + } + ] + }, + { + "class": "item", + "id": "ac.5b", + "prose": [ + "\u003cp class=\"description\"\u003eDocument separation of duties of individuals; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5b." + } + ] + }, + { + "class": "item", + "id": "ac.5c", + "prose": [ + "\u003cp class=\"description\"\u003eDefine system access authorizations to support separation of duties.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-5c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSeparation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example, dividing mission functions and system support functions among different individuals and/or roles; conducting system support functions with different individuals; and ensuring security personnel administering access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of organizational systems and system components when developing policy on separation of duties.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#au.9" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.11" + }, + { + "href": "#cp.9" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.5" + }, + { + "href": "#ma.3" + }, + { + "href": "#ma.5" + }, + { + "href": "#ps.2" + }, + { + "href": "#sa.17" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.6", + "title": "LEAST PRIVILEGE", + "props": [ + { + "class": "name", + "value": "AC-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions or business functions. Organizations consider the creation of additional processes, roles, and system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.16" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.11" + }, + { + "href": "#pl.2" + }, + { + "href": "#pm.12" + }, + { + "href": "#sa.15" + }, + { + "href": "#sa.17" + }, + { + "href": "#sc.38" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.6.1", + "title": "AUTHORIZE ACCESS TO SECURITY FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eExplicitly authorize access to \u003cinsert param-id=\"ac-6_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and establishing intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#au.9" + }, + { + "href": "#pe.2" + } + ] + } + ], + "params": [ + { + "id": "ac-6_a", + "desc": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information", + "value": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.2", + "title": "NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that users of system accounts, or roles, with access to \u003cinsert param-id=\"ac-6_b\"/\u003e, use non-privileged accounts or roles, when accessing nonsecurity functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#pl.4" + } + ] + } + ], + "params": [ + { + "id": "ac-6_b", + "desc": "organization-defined security functions or security-relevant information", + "value": "organization-defined security functions or security-relevant information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.3", + "title": "NETWORK ACCESS TO PRIVILEGED COMMANDS", + "props": [ + { + "class": "name", + "value": "AC-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize network access to \u003cinsert param-id=\"ac-6_c\"/\u003e only for \u003cinsert param-id=\"ac-6_d\"/\u003e and document the rationale for such access in the security plan for the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNetwork access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + } + ] + } + ], + "params": [ + { + "id": "ac-6_c", + "desc": "organization-defined privileged commands", + "value": "organization-defined privileged commands" + }, + { + "id": "ac-6_d", + "desc": "organization-defined compelling operational needs", + "value": "organization-defined compelling operational needs" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.4", + "title": "SEPARATE PROCESSING DOMAINS", + "props": [ + { + "class": "name", + "value": "AC-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide separate processing domains to enable finer-grained allocation of user privileges.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProviding separate processing domains for finer-grained allocation of user privileges includes, for example, using virtualization techniques to allow additional user privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying actual machine; employing hardware/software domain separation mechanisms; and implementing separate physical domains.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.30" + }, + { + "href": "#sc.32" + }, + { + "href": "#sc.39" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.5", + "title": "PRIVILEGED ACCOUNTS", + "props": [ + { + "class": "name", + "value": "AC-6 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRestrict privileged accounts on the system to \u003cinsert param-id=\"ac-6_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided they retain the ability to control system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.2" + }, + { + "href": "#ma.3" + }, + { + "href": "#ma.4" + } + ] + } + ], + "params": [ + { + "id": "ac-6_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.6", + "title": "PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS", + "props": [ + { + "class": "name", + "value": "AC-6 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit privileged access to the system by non-organizational users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.8" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.7", + "title": "REVIEW OF USER PRIVILEGES", + "props": [ + { + "class": "name", + "value": "AC-6 (7)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.6.7.a", + "prose": [ + "\u003cp class=\"description\"\u003eReview \u003cinsert param-id=\"ac-6_f\"/\u003e the privileges assigned to \u003cinsert param-id=\"ac-6_g\"/\u003e to validate the need for such privileges; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "ac.6.7.b", + "prose": [ + "\u003cp class=\"description\"\u003eReassign or remove privileges, if necessary, to correctly reflect organizational mission and business needs.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-6 (7)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe need for certain assigned user privileges may change over time reflecting changes in organizational missions and business functions, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + } + ] + } + ], + "params": [ + { + "id": "ac-6_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ac-6_g", + "desc": "organization-defined roles or classes of users", + "value": "organization-defined roles or classes of users" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.8", + "title": "PRIVILEGE LEVELS FOR CODE EXECUTION", + "props": [ + { + "class": "name", + "value": "AC-6 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent the following software from executing at higher privilege levels than users executing the software: \u003cinsert param-id=\"ac-6_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, software applications/programs need to execute with elevated privileges to perform required functions. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-6_h", + "desc": "organization-defined software", + "value": "organization-defined software" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.9", + "title": "AUDITING USE OF PRIVILEGED FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAudit the execution of privileged functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMisuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.6.10", + "title": "PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AC-6 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent non-privileged users from executing privileged functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged functions include, for example, disabling, circumventing, or altering implemented security or privacy controls, establishing system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.7", + "title": "UNSUCCESSFUL LOGON ATTEMPTS", + "params": [ + { + "id": "ac-7_a", + "desc": "organization-defined number", + "value": "organization-defined number" + }, + { + "id": "ac-7_b", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + }, + { + "id": "ac-7_c", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + }, + { + "id": "ac-7_d", + "desc": "organization-defined delay algorithm", + "value": "organization-defined delay algorithm" + }, + { + "id": "ac-7_e", + "desc": "organization-defined action", + "value": "organization-defined action" + } + ], + "props": [ + { + "class": "name", + "value": "AC-7" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.7a", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce a limit of \u003cinsert param-id=\"ac-7_a\"/\u003e consecutive invalid logon attempts by a user during a \u003cinsert param-id=\"ac-7_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7a." + } + ] + }, + { + "class": "item", + "id": "ac.7b", + "prose": [ + "\u003cp class=\"description\"\u003eAutomatically [Selection (one or more): lock the account/node for an \u003cinsert param-id=\"ac-7_c\"/\u003e; lock the account/node until released by an administrator; delay next logon prompt per \u003cinsert param-id=\"ac-7_d\"/\u003e; take \u003cinsert param-id=\"ac-7_e\"/\u003e] when the maximum number of unsuccessful attempts is exceeded.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-7b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by systems are usually temporary and automatically release after a predetermined time established by organizations. If a delay algorithm is selected, organizations may employ different algorithms for different components of the system based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.9" + }, + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#ia.5" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.7.1", + "title": "AUTOMATIC ACCOUNT LOCK", + "props": [ + { + "class": "name", + "value": "AC-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.7.2", + "title": "PURGE OR WIPE MOBILE DEVICE", + "props": [ + { + "class": "name", + "value": "AC-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePurge or wipe information from \u003cinsert param-id=\"ac-7_f\"/\u003e based on \u003cinsert param-id=\"ac-7_g\"/\u003e after \u003cinsert param-id=\"ac-7_h\"/\u003e consecutive, unsuccessful device logon attempts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies only to mobile devices for which a logon occurs. The logon is to the mobile device, not to any one account on the device. Successful logons to accounts on mobile devices reset the unsuccessful logon count to zero. Purging or wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#mp.5" + }, + { + "href": "#mp.6" + } + ] + } + ], + "params": [ + { + "id": "ac-7_f", + "desc": "organization-defined mobile devices", + "value": "organization-defined mobile devices" + }, + { + "id": "ac-7_g", + "desc": "organization-defined purging or wiping requirements and techniques", + "value": "organization-defined purging or wiping requirements and techniques" + }, + { + "id": "ac-7_h", + "desc": "organization-defined number", + "value": "organization-defined number" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.7.3", + "title": "BIOMETRIC ATTEMPT LIMITING", + "props": [ + { + "class": "name", + "value": "AC-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eLimit the number of unsuccessful biometric logon attempts to \u003cinsert param-id=\"ac-7_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBiometrics are probabilistic in nature. The ability to successfully authenticate can be impacted by many factors, including matching performance and presentation attack detection mechanisms. Organizations select the appropriate number of attempts and fall back mechanisms for users based on these, and other organizationally defined factors.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.3" + } + ] + } + ], + "params": [ + { + "id": "ac-7_i", + "desc": "organization-defined number", + "value": "organization-defined number" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.7.4", + "title": "USE OF ALTERNATE FACTOR", + "props": [ + { + "class": "name", + "value": "AC-7 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAllow the use of one or more additional authentication factors after the number of organization-defined consecutive invalid logon attempts have been exceeded.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement supports the objective of availability and allows a user that has inadvertently been locked out to use additional authentication factors to bypass the lockout.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.3" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-124", + "value": "NIST Special Publication 800-124" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.8", + "title": "SYSTEM USE NOTIFICATION", + "params": [ + { + "id": "ac-8_a", + "desc": "organization-defined system use notification message or banner", + "value": "organization-defined system use notification message or banner" + }, + { + "id": "ac-8_b", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-8" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.8a", + "prose": [ + "\u003cp class=\"description\"\u003eDisplay \u003cinsert param-id=\"ac-8_a\"/\u003e to users before granting access to the system that provides privacy and security notices consistent with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines and state that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a." + } + ], + "parts": [ + { + "class": "item", + "id": "ac.8a.1", + "prose": [ + "\u003cp class=\"description\"\u003eUsers are accessing a U.S. Government system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a.1." + } + ] + }, + { + "class": "item", + "id": "ac.8a.2", + "prose": [ + "\u003cp class=\"description\"\u003eSystem usage may be monitored, recorded, and subject to audit;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a.2." + } + ] + }, + { + "class": "item", + "id": "ac.8a.3", + "prose": [ + "\u003cp class=\"description\"\u003eUnauthorized use of the system is prohibited and subject to criminal and civil penalties; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a.3." + } + ] + }, + { + "class": "item", + "id": "ac.8a.4", + "prose": [ + "\u003cp class=\"description\"\u003eUse of the system indicates consent to monitoring and recording;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "ac.8b", + "prose": [ + "\u003cp class=\"description\"\u003eRetain the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8b." + } + ] + }, + { + "class": "item", + "id": "ac.8c", + "prose": [ + "\u003cp class=\"description\"\u003eFor publicly accessible systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8c." + } + ], + "parts": [ + { + "class": "item", + "id": "ac.8c.1", + "prose": [ + "\u003cp class=\"description\"\u003eDisplay system use information \u003cinsert param-id=\"ac-8_b\"/\u003e, before granting further access to the publicly accessible system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8c.1." + } + ] + }, + { + "class": "item", + "id": "ac.8c.2", + "prose": [ + "\u003cp class=\"description\"\u003eDisplay references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8c.2." + } + ] + }, + { + "class": "item", + "id": "ac.8c.3", + "prose": [ + "\u003cp class=\"description\"\u003eInclude a description of the authorized uses of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-8c.3." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem use notifications can be implemented using messages or warning banners displayed before individuals log in to systems. System use notifications are used only for access via logon interfaces with human users. Such notifications are not required when human interfaces do not exist. Based on an assessment of risk, organizations consider whether or not a secondary system use notification is needed to access applications or other system resources after the initial network logon. Organizations consider system use notification messages or banners displayed in multiple languages based on organizational needs and the demographics of system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.14" + }, + { + "href": "#pl.4" + }, + { + "href": "#si.4" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.9", + "title": "PREVIOUS LOGON (ACCESS) NOTIFICATION", + "props": [ + { + "class": "name", + "value": "AC-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eNotify the user, upon successful logon (access) to the system, of the date and time of the last logon (access).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control is applicable to logons to systems via human user interfaces and logons to systems that occur in other types of architectures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.7" + }, + { + "href": "#pl.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.9.1", + "title": "UNSUCCESSFUL LOGONS", + "props": [ + { + "class": "name", + "value": "AC-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eNotify the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.9.2", + "title": "SUCCESSFUL AND UNSUCCESSFUL LOGONS", + "props": [ + { + "class": "name", + "value": "AC-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eNotify the user, upon successful logon/access, of the number of [Selection: successful logons/accesses; unsuccessful logon/access attempts; both] during \u003cinsert param-id=\"ac-9_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-9_a", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.9.3", + "title": "NOTIFICATION OF ACCOUNT CHANGES", + "props": [ + { + "class": "name", + "value": "AC-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eNotify the user, upon successful logon/access, of changes to \u003cinsert param-id=\"ac-9_b\"/\u003e during \u003cinsert param-id=\"ac-9_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-9_b", + "desc": "organization-defined security-related characteristics/parameters of the user\u0026#x92;s account", + "value": "organization-defined security-related characteristics/parameters of the user’s account" + }, + { + "id": "ac-9_c", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.9.4", + "title": "ADDITIONAL LOGON INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eNotify the user, upon successful logon/access, of the following additional information: \u003cinsert param-id=\"ac-9_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement permits organizations to specify additional information to be provided to users upon logon including, for example, the location of last logon. User location is defined as that information which can be determined by systems, for example, Internet Protocol (IP) addresses from which network logons occurred, notifications of local logons, or device identifiers.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-9_d", + "desc": "organization-defined information to be included in addition to the date and time of the last logon/access", + "value": "organization-defined information to be included in addition to the date and time of the last logon/access" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.10", + "title": "CONCURRENT SESSION CONTROL", + "params": [ + { + "id": "ac-10_a", + "desc": "organization-defined account and/or account type", + "value": "organization-defined account and/or account type" + }, + { + "id": "ac-10_b", + "desc": "organization-defined number", + "value": "organization-defined number" + } + ], + "props": [ + { + "class": "name", + "value": "AC-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eLimit the number of concurrent sessions for each \u003cinsert param-id=\"ac-10_a\"/\u003e to \u003cinsert param-id=\"ac-10_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may define the maximum number of concurrent sessions for system accounts globally, by account type, by account, or a combination thereof. For example, organizations may limit the number of concurrent sessions for system administrators or other individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for system accounts and does not address concurrent sessions by single users via multiple system accounts.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.23" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.11", + "title": "DEVICE LOCK", + "params": [ + { + "id": "ac-11_a", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ], + "props": [ + { + "class": "name", + "value": "AC-11" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.11a", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent further access to the system by initiating a device lock after \u003cinsert param-id=\"ac-11_a\"/\u003e of inactivity or upon receiving a request from a user; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-11a." + } + ] + }, + { + "class": "item", + "id": "ac.11b", + "prose": [ + "\u003cp class=\"description\"\u003eRetain the device lock until the user reestablishes access using established identification and authentication procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-11b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevice locks are temporary actions taken to prevent logical access to organizational systems when users stop work and move away from the immediate vicinity of those systems but do not want to log out because of the temporary nature of their absences. Device locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Device locks are not an acceptable substitute for logging out of systems, for example, if organizations require users to log out at the end of workdays.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.7" + }, + { + "href": "#ia.11" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.11.1", + "title": "PATTERN-HIDING DISPLAYS", + "props": [ + { + "class": "name", + "value": "AC-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eConceal, via the device lock, information previously visible on the display with a publicly viewable image.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe pattern-hiding display can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the caveat that controlled unclassified information is not displayed.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.11.2", + "title": "REQUIRE USER-INITIATED LOCK", + "props": [ + { + "class": "name", + "value": "AC-11 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the user to initiate a device lock before leaving the system unattended.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is behavior/policy-based and as such, requires users to take physical action to initiate the device lock.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.4" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.12", + "title": "SESSION TERMINATION", + "params": [ + { + "id": "ac-12_a", + "desc": "organization-defined conditions or trigger events requiring session disconnect", + "value": "organization-defined conditions or trigger events requiring session disconnect" + } + ], + "props": [ + { + "class": "name", + "value": "AC-12" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAutomatically terminate a user session after \u003cinsert param-id=\"ac-12_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the termination of user-initiated logical sessions in contrast to SC-10 which addresses the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational system. Such user sessions can be terminated without terminating network sessions. Session termination terminates all processes associated with a user\u0026#x92;s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on system use.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ma.4" + }, + { + "href": "#sc.10" + }, + { + "href": "#sc.23" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.12.1", + "title": "USER-INITIATED LOGOUTS", + "props": [ + { + "class": "name", + "value": "AC-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a logout capability for user-initiated communications sessions whenever authentication is used to gain access to \u003cinsert param-id=\"ac-12_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web-based services.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-12_b", + "desc": "organization-defined information resources", + "value": "organization-defined information resources" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.12.2", + "title": "TERMINATION MESSAGE", + "props": [ + { + "class": "name", + "value": "AC-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDisplay an explicit logout message to users indicating the reliable termination of authenticated communications sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLogout messages for web page access, for example, can be displayed after authenticated sessions have been terminated. However, for some types of interactive sessions including, for example, file transfer protocol (FTP) sessions, systems typically send logout messages as final messages prior to terminating sessions.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.12.3", + "title": "TIMEOUT WARNING MESSAGE", + "props": [ + { + "class": "name", + "value": "AC-12 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDisplay an explicit message to users indicating that the session is about to end.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTo increase usability, notify users of pending session termination and prompt for activity if users desire to continue the session.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.13", + "title": "SUPERVISION AND REVIEW — ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "AC-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-2 and AU-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#au.6" + } + ] + }, + { + "class": "SP800-53", + "id": "ac.14", + "title": "PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION", + "params": [ + { + "id": "ac-14_a", + "desc": "organization-defined user actions", + "value": "organization-defined user actions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-14" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.14a", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify \u003cinsert param-id=\"ac-14_a\"/\u003e that can be performed on the system without identification or authentication consistent with organizational missions and business functions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-14a." + } + ] + }, + { + "class": "item", + "id": "ac.14b", + "prose": [ + "\u003cp class=\"description\"\u003eDocument and provide supporting rationale in the security plan for the system, user actions not requiring identification or authentication.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-14b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses situations in which organizations determine that no identification or authentication is required in organizational systems. Organizations may allow a limited number of user actions without identification or authentication including, for example, when individuals access public websites or other publicly accessible federal systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances, allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational systems without identification and authentication and therefore, the values for assignment statements can be none.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.8" + }, + { + "href": "#ia.2" + }, + { + "href": "#pl.2" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.14.1", + "title": "NECESSARY USES", + "props": [ + { + "class": "name", + "value": "AC-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-14\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.14" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.15", + "title": "AUTOMATED MARKING", + "props": [ + { + "class": "name", + "value": "AC-15" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-3\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.3" + } + ] + }, + { + "class": "SP800-53", + "id": "ac.16", + "title": "SECURITY AND PRIVACY ATTRIBUTES", + "params": [ + { + "id": "ac-16_a", + "desc": "organization-defined types of security and privacy attributes", + "value": "organization-defined types of security and privacy attributes" + }, + { + "id": "ac-16_b", + "desc": "organization-defined security and privacy attribute values", + "value": "organization-defined security and privacy attribute values" + }, + { + "id": "ac-16_c", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + }, + { + "id": "ac-16_d", + "desc": "organization-defined systems", + "value": "organization-defined systems" + }, + { + "id": "ac-16_e", + "desc": "organization-defined values or ranges", + "value": "organization-defined values or ranges" + } + ], + "props": [ + { + "class": "name", + "value": "AC-16" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.16a", + "prose": [ + "\u003cp class=\"description\"\u003eProvide the means to associate \u003cinsert param-id=\"ac-16_a\"/\u003e having \u003cinsert param-id=\"ac-16_b\"/\u003e with information in storage, in process, and/or in transmission;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16a." + } + ] + }, + { + "class": "item", + "id": "ac.16b", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the security and privacy attribute associations are made and retained with the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16b." + } + ] + }, + { + "class": "item", + "id": "ac.16c", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish the permitted \u003cinsert param-id=\"ac-16_c\"/\u003e for \u003cinsert param-id=\"ac-16_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16c." + } + ] + }, + { + "class": "item", + "id": "ac.16d", + "prose": [ + "\u003cp class=\"description\"\u003eDetermine the permitted \u003cinsert param-id=\"ac-16_e\"/\u003e for each of the established security and privacy attributes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-16d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. Privacy attributes, which may be used independently, or in conjunction with security attributes, represent the basic properties or characteristics of an entity with respect to the management of personally identifiable information. Such attributes are used to enable the implementation of the need for the record in the performance of duties, the identification of personal information within data objects, and the identification of permitted uses of personal information. Attributes can be explicitly or implicitly associated with the information contained in organizational systems or system components. Security and privacy attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security and privacy attributes to subjects and objects is referred to as binding and is inclusive of setting the attribute value and the attribute type. Security and privacy attributes when bound to data or information, enable the enforcement of security policies for access control and information flow control and privacy policies including, for example, for data retention limits and permitted uses of personally identifiable information. Such enforcement occurs through organizational processes or system functions or mechanisms. Binding techniques implemented by systems affect the strength of attribute binding to information. Binding strength and the assurance associated with binding techniques play an important part in the trust organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations. The content or assigned values of the security and privacy attributes can directly affect the ability of individuals to access organizational information. Organizations can define the types of attributes needed for selected systems to support missions or business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings can include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations ensure that the security and privacy attribute values are meaningful and relevant. Labeling refers to the association of security and privacy attributes with subjects and objects represented by the internal data structures within organizational systems. This facilitates system-based enforcement of information security and privacy policies. Labels include, for example, access authorizations, nationality, data life cycle protection (i.e., encryption and data expiration), data subject consents, permissible data uses, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. Conversely, marking refers to the association of security and privacy attributes with objects in a human-readable form. This enables manual, procedural, or process-based enforcement of information security and privacy policies. Examples of attribute types include classification level for objects and clearance (access authorization) level for subjects. An attribute value for both attribute types is Top Secret.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.21" + }, + { + "href": "#ac.25" + }, + { + "href": "#au.2" + }, + { + "href": "#au.10" + }, + { + "href": "#ip.2" + }, + { + "href": "#mp.3" + }, + { + "href": "#pe.22" + }, + { + "href": "#sc.11" + }, + { + "href": "#sc.16" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.16.1", + "title": "DYNAMIC ATTRIBUTE ASSOCIATION", + "props": [ + { + "class": "name", + "value": "AC-16 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDynamically associate security and privacy attributes with \u003cinsert param-id=\"ac-16_f\"/\u003e in accordance with \u003cinsert param-id=\"ac-16_g\"/\u003e as information is created and combined.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic association of security and privacy attributes is appropriate whenever the security or privacy characteristics of information changes over time. Attributes may change, for example, due to information aggregation issues (i.e., the security and privacy characteristics of individual information elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), changes in the security category of information, and changes in security or privacy policies.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-16_f", + "desc": "organization-defined subjects and objects", + "value": "organization-defined subjects and objects" + }, + { + "id": "ac-16_g", + "desc": "organization-defined security and privacy policies", + "value": "organization-defined security and privacy policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.2", + "title": "ATTRIBUTE VALUE CHANGES BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AC-16 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security and privacy attributes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe content or assigned values of security and privacy attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.3", + "title": "MAINTENANCE OF ATTRIBUTE ASSOCIATIONS BY SYSTEM", + "props": [ + { + "class": "name", + "value": "AC-16 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain the association and integrity of \u003cinsert param-id=\"ac-16_h\"/\u003e to \u003cinsert param-id=\"ac-16_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMaintaining the association and integrity of security and privacy attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. Automated policy actions include, for example, retention date expirations, access control decisions, and information flow control decisions.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-16_h", + "desc": "organization-defined security and privacy attributes", + "value": "organization-defined security and privacy attributes" + }, + { + "id": "ac-16_i", + "desc": "organization-defined subjects and objects", + "value": "organization-defined subjects and objects" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.4", + "title": "ASSOCIATION OF ATTRIBUTES BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AC-16 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide the capability to associate \u003cinsert param-id=\"ac-16_j\"/\u003e with \u003cinsert param-id=\"ac-16_k\"/\u003e by authorized individuals (or processes acting on behalf of individuals).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe support provided by systems can include, for example, prompting users to select specific security or privacy attributes to be associated with specific information objects; employing automated mechanisms to categorize information with appropriate security or privacy attributes based on defined policies; or ensuring that the combination of selected security or privacy attributes selected is valid. Organizations consider the creation, deletion, or modification of security and privacy attributes when defining auditable events.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-16_j", + "desc": "organization-defined security and privacy attributes", + "value": "organization-defined security and privacy attributes" + }, + { + "id": "ac-16_k", + "desc": "organization-defined subjects and objects", + "value": "organization-defined subjects and objects" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.5", + "title": "ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES", + "props": [ + { + "class": "name", + "value": "AC-16 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDisplay security and privacy attributes in human-readable form on each object that the system transmits to output devices to identify \u003cinsert param-id=\"ac-16_l\"/\u003e using \u003cinsert param-id=\"ac-16_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem outputs include, for example, pages, screens, or equivalent. System output devices include, for example, printers, notebook computers, video displays on workstations, and personal digital assistants. To mitigate the risk of unauthorized exposure of selected information, for example, shoulder surfing, the outputs display full attribute values when unmasked by the subscriber.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-16_l", + "desc": "organization-identified special dissemination, handling, or distribution instructions", + "value": "organization-identified special dissemination, handling, or distribution instructions" + }, + { + "id": "ac-16_m", + "desc": "organization-identified human-readable, standard naming conventions", + "value": "organization-identified human-readable, standard naming conventions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.6", + "title": "MAINTENANCE OF ATTRIBUTE ASSOCIATION BY ORGANIZATION", + "props": [ + { + "class": "name", + "value": "AC-16 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire personnel to associate, and maintain the association of \u003cinsert param-id=\"ac-16_n\"/\u003e with \u003cinsert param-id=\"ac-16_o\"/\u003e in accordance with \u003cinsert param-id=\"ac-16_p\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires individual users (as opposed to the system) to maintain associations of security and privacy attributes with subjects and objects.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-16_n", + "desc": "organization-defined security and privacy attributes", + "value": "organization-defined security and privacy attributes" + }, + { + "id": "ac-16_o", + "desc": "organization-defined subjects and objects", + "value": "organization-defined subjects and objects" + }, + { + "id": "ac-16_p", + "desc": "organization-defined security and privacy policies", + "value": "organization-defined security and privacy policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.7", + "title": "CONSISTENT ATTRIBUTE INTERPRETATION", + "props": [ + { + "class": "name", + "value": "AC-16 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a consistent interpretation of security and privacy attributes transmitted between distributed system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTo enforce security and privacy policies across multiple components in distributed systems, organizations provide a consistent interpretation of the attributes used in access enforcement and flow enforcement decisions. Organizations establish agreements and processes to ensure that all distributed system components implement security and privacy attributes with consistent interpretations in automated access and flow enforcement actions.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.8", + "title": "ASSOCIATION TECHNIQUES AND TECHNOLOGIES", + "props": [ + { + "class": "name", + "value": "AC-16 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"ac-16_q\"/\u003e with \u003cinsert param-id=\"ac-16_r\"/\u003e in associating security and privacy attributes to information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe association (i.e., binding) of security and privacy attributes to information within systems is important for conducting automated access enforcement and flow enforcement actions. The association of such attributes can be accomplished with technologies and techniques providing different levels of assurance. For example, systems can cryptographically bind attributes to information using digital signatures with the supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-16_q", + "desc": "organization-defined techniques and technologies", + "value": "organization-defined techniques and technologies" + }, + { + "id": "ac-16_r", + "desc": "organization-defined level of assurance", + "value": "organization-defined level of assurance" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.9", + "title": "ATTRIBUTE REASSIGNMENT", + "props": [ + { + "class": "name", + "value": "AC-16 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eReassign security and privacy attributes associated with information only via re-grading mechanisms validated using \u003cinsert param-id=\"ac-16_s\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eValidated re-grading mechanisms are employed by organizations to provide the requisite levels of assurance for security and privacy attribute reassignment activities. The validation is facilitated by ensuring that re-grading mechanisms are single purpose and of limited function. Since attribute reassignments can directly affect security and privacy policy enforcement actions, using trustworthy re-grading mechanisms is necessary to ensure that such mechanisms perform in a consistent and correct mode of operation.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-16_s", + "desc": "organization-defined techniques or procedures", + "value": "organization-defined techniques or procedures" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.10", + "title": "ATTRIBUTE CONFIGURATION BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AC-16 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide authorized individuals the capability to define or change the type and value of security and privacy attributes available for association with subjects and objects.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe content or assigned values of security and privacy attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals only.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.16.11", + "title": "AUDIT CHANGES", + "props": [ + { + "class": "name", + "value": "AC-16 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAudit changes to security and privacy attributes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.17", + "title": "REMOTE ACCESS", + "props": [ + { + "class": "name", + "value": "AC-17" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.17a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish and document usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17a." + } + ] + }, + { + "class": "item", + "id": "ac.17b", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize remote access to the system prior to allowing such connections.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRemote access is access to organizational systems (or processes acting on behalf of users) communicating through external networks such as the Internet. Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs provides sufficient assurance to the organization that it can effectively treat such connections as internal networks if the cryptographic mechanisms used are implemented in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. VPNs with encrypted tunnels can also affect the capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the specific formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.20" + }, + { + "href": "#cm.10" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.8" + }, + { + "href": "#ma.4" + }, + { + "href": "#pe.17" + }, + { + "href": "#pl.2" + }, + { + "href": "#pl.4" + }, + { + "href": "#sc.10" + }, + { + "href": "#si.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.17.1", + "title": "AUTOMATED MONITORING AND CONTROL", + "props": [ + { + "class": "name", + "value": "AC-17 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor and control remote access methods.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated monitoring and control of remote access methods allows organizations to detect attacks and ensure compliance with remote access policies by auditing connection activities of remote users on a variety of system components including, for example, servers, workstations, notebook computers, smart phones, and tablets.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.12" + }, + { + "href": "#au.14" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.2", + "title": "PROTECTION OF CONFIDENTIALITY AND INTEGRITY USING ENCRYPTION", + "props": [ + { + "class": "name", + "value": "AC-17 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe encryption strength of mechanism is selected based on the security categorization of the information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.3", + "title": "MANAGED ACCESS CONTROL POINTS", + "props": [ + { + "class": "name", + "value": "AC-17 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRoute all remote accesses through \u003cinsert param-id=\"ac-17_a\"/\u003e managed network access control points.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLimiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the Trusted Internet Connections initiative requirements for external network connections.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.7" + } + ] + } + ], + "params": [ + { + "id": "ac-17_a", + "desc": "organization-defined number", + "value": "organization-defined number" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.4", + "title": "PRIVILEGED COMMANDS AND ACCESS", + "props": [ + { + "class": "name", + "value": "AC-17 (4)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.17.4.a", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize the execution of privileged commands and access to security-relevant information via remote access only for \u003cinsert param-id=\"ac-17_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "ac.17.4.b", + "prose": [ + "\u003cp class=\"description\"\u003eDocument the rationale for such access in the security plan for the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-17 (4)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + } + ] + } + ], + "params": [ + { + "id": "ac-17_b", + "desc": "organization-defined needs", + "value": "organization-defined needs" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.5", + "title": "MONITORING FOR UNAUTHORIZED CONNECTIONS", + "props": [ + { + "class": "name", + "value": "AC-17 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.6", + "title": "PROTECTION OF INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-17 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect information about remote access mechanisms from unauthorized use and disclosure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#ps.6" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.7", + "title": "ADDITIONAL PROTECTION FOR SECURITY FUNCTION ACCESS", + "props": [ + { + "class": "name", + "value": "AC-17 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-3(10)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "AC-3(10)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.8", + "title": "DISABLE NONSECURE NETWORK PROTOCOLS", + "props": [ + { + "class": "name", + "value": "AC-17 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.17.9", + "title": "DISCONNECT OR DISABLE ACCESS", + "props": [ + { + "class": "name", + "value": "AC-17 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide the capability to expeditiously disconnect or disable remote access to the system within \u003cinsert param-id=\"ac-17_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the system or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions or business functions and the need to eliminate immediate or future remote access to systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-17_c", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-46", + "value": "NIST Special Publication 800-46" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-77", + "value": "NIST Special Publication 800-77" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-113", + "value": "NIST Special Publication 800-113" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-114", + "value": "NIST Special Publication 800-114" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-121", + "value": "NIST Special Publication 800-121" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.18", + "title": "WIRELESS ACCESS", + "props": [ + { + "class": "name", + "value": "AC-18" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.18a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish usage restrictions, configuration/connection requirements, and implementation guidance for wireless access; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18a." + } + ] + }, + { + "class": "item", + "id": "ac.18b", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize wireless access to the system prior to allowing such connections.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-18b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWireless technologies include, for example, microwave, packet radio (ultra-high frequency/very high frequency), 802.11x, and Bluetooth. Wireless networks use authentication protocols which provide credential protection and mutual authentication.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.19" + }, + { + "href": "#ca.9" + }, + { + "href": "#cm.7" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.8" + }, + { + "href": "#pl.4" + }, + { + "href": "#sc.40" + }, + { + "href": "#sc.43" + }, + { + "href": "#si.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.18.1", + "title": "AUTHENTICATION AND ENCRYPTION", + "props": [ + { + "class": "name", + "value": "AC-18 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect wireless access to the system using authentication of [Selection (one or more): users; devices] and encryption.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.18.2", + "title": "MONITORING UNAUTHORIZED CONNECTIONS", + "props": [ + { + "class": "name", + "value": "AC-18 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.18.3", + "title": "DISABLE WIRELESS NETWORKING", + "props": [ + { + "class": "name", + "value": "AC-18 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDisable, when not intended for use, wireless networking capabilities internally embedded within system components prior to issuance and deployment.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.18.4", + "title": "RESTRICT CONFIGURATIONS BY USERS", + "props": [ + { + "class": "name", + "value": "AC-18 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify and explicitly authorize users allowed to independently configure wireless networking capabilities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.7" + }, + { + "href": "#sc.15" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.18.5", + "title": "ANTENNAS AND TRANSMISSION POWER LEVELS", + "props": [ + { + "class": "name", + "value": "AC-18 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eSelect radio antennas and calibrate transmission power levels to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eActions that may be taken by organizations to limit the unauthorized use of wireless communications outside of organization-controlled boundaries include, for example, reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be captured outside of the physical perimeters of the organization; employing measures such as emissions security to control wireless emanations; and using directional or beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such mitigating actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational systems as well as other systems that may be operating in the area.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.19" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-48", + "value": "NIST Special Publication 800-48" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-94", + "value": "NIST Special Publication 800-94" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-97", + "value": "NIST Special Publication 800-97" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.19", + "title": "ACCESS CONTROL FOR MOBILE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-19" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.19a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19a." + } + ] + }, + { + "class": "item", + "id": "ac.19b", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize the connection of mobile devices to organizational systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19b." + } + ] + }, + { + "class": "item", + "id": "ac.19c", + "prose": [ + "\u003cp class=\"description\"\u003eProtect and control mobile devices when outside of controlled areas.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA mobile device is a computing device that has a small form factor such that it can easily be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Mobile device functionality may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually near the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of notebook/desktop systems, depending upon the nature and intended purpose of the device. Controlled areas are areas or spaces for which organizations provide sufficient physical or procedural safeguards to meet the requirements established for protecting information and systems. Due to the large variety of mobile devices with different characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software, scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware. Usage restrictions and authorization to connect may vary among organizational systems. For example, the organization may authorize the connection of mobile devices to the organizational network and impose a set of usage restrictions while a system owner may withhold authorization for mobile device connection to specific applications or may impose additional usage restrictions before allowing mobile device connections to a system. The need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards for mobile devices are reflected in other security controls allocated to the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some overlap by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.7" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.20" + }, + { + "href": "#ca.9" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + }, + { + "href": "#ia.3" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#mp.7" + }, + { + "href": "#pl.4" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.34" + }, + { + "href": "#sc.43" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.19.1", + "title": "USE OF WRITABLE AND PORTABLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-19 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.19.2", + "title": "USE OF PERSONALLY OWNED PORTABLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-19 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.19.3", + "title": "USE OF PORTABLE STORAGE DEVICES WITH NO IDENTIFIABLE OWNER", + "props": [ + { + "class": "name", + "value": "AC-19 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.19.4", + "title": "RESTRICTIONS FOR CLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-19 (4)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.19.4.a", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit the use of unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "ac.19.4.b", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)" + } + ], + "parts": [ + { + "class": "item", + "id": "ac.19.4.b.1", + "prose": [ + "\u003cp class=\"description\"\u003eConnection of unclassified mobile devices to classified systems is prohibited;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(1)" + } + ] + }, + { + "class": "item", + "id": "ac.19.4.b.2", + "prose": [ + "\u003cp class=\"description\"\u003eConnection of unclassified mobile devices to unclassified systems requires approval from the authorizing official;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(2)" + } + ] + }, + { + "class": "item", + "id": "ac.19.4.b.3", + "prose": [ + "\u003cp class=\"description\"\u003eUse of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(3)" + } + ] + }, + { + "class": "item", + "id": "ac.19.4.b.4", + "prose": [ + "\u003cp class=\"description\"\u003eUnclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by \u003cinsert param-id=\"ac-19_a\"/\u003e, and if classified information is found, the incident handling policy is followed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(4)" + } + ] + } + ] + }, + { + "class": "item", + "id": "ac.19.4.c", + "prose": [ + "\u003cp class=\"description\"\u003eRestrict the connection of classified mobile devices to classified systems in accordance with \u003cinsert param-id=\"ac-19_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + }, + { + "href": "#ir.4" + } + ] + } + ], + "params": [ + { + "id": "ac-19_a", + "desc": "organization-defined security officials", + "value": "organization-defined security officials" + }, + { + "id": "ac-19_b", + "desc": "organization-defined security policies", + "value": "organization-defined security policies" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.19.5", + "title": "FULL DEVICE AND CONTAINER-BASED ENCRYPTION", + "props": [ + { + "class": "name", + "value": "AC-19 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy [Selection: full-device encryption; container encryption] to protect the confidentiality and integrity of information on \u003cinsert param-id=\"ac-19_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContainer-based encryption provides a more fine-grained approach to the encryption of data/information on mobile devices, including, for example, encrypting selected data structures such as files, records, or fields.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + }, + { + "href": "#sc.28" + } + ] + } + ], + "params": [ + { + "id": "ac-19_c", + "desc": "organization-defined mobile devices", + "value": "organization-defined mobile devices" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-114", + "value": "NIST Special Publication 800-114" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-124", + "value": "NIST Special Publication 800-124" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-164", + "value": "NIST Special Publication 800-164" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.20", + "title": "USE OF EXTERNAL SYSTEMS", + "props": [ + { + "class": "name", + "value": "AC-20" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ac.20a", + "prose": [ + "\u003cp class=\"description\"\u003eAccess the system from external systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20a." + } + ] + }, + { + "class": "item", + "id": "ac.20b", + "prose": [ + "\u003cp class=\"description\"\u003eProcess, store, or transmit organization-controlled information using external systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal systems are systems or components of systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External systems include, for example, personally owned systems, components, or devices; privately owned computing and communications devices in commercial or public facilities; systems owned or controlled by nonfederal organizations; and federal systems that are not owned by, operated by, or under the direct supervision and authority of the organization. This includes systems managed by contractors, systems owned by other federal agencies, and systems owned by other organizations within the same agency. This control addresses the use of external systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services from organizational systems. For some external systems (i.e., systems operated by other federal agencies and organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Systems within these organizations may not be considered external. These situations occur when, for example, there are pre-existing sharing and trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, regulations, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational systems and over which organizations have the authority to impose specific rules of behavior with regard to system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending on the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. This control does not apply to external systems used to access public interfaces to organizational systems. Organizations establish specific terms and conditions for the use of external systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: the specific types of applications that can be accessed on organizational systems from external systems; and the highest security category of information that can be processed, stored, or transmitted on external systems. If the terms and conditions with the owners of external systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.19" + }, + { + "href": "#ca.3" + }, + { + "href": "#pl.2" + }, + { + "href": "#pl.4" + }, + { + "href": "#sa.9" + }, + { + "href": "#sc.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.20.1", + "title": "LIMITS ON AUTHORIZED USE", + "props": [ + { + "class": "name", + "value": "AC-20 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePermit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ac.20.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eVerification of the implementation of required security and privacy controls on the external system as specified in the organization\u0026#x92;s security and privacy policies and security and privacy plans; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "ac.20.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eRetention of approved system connection or processing agreements with the organizational entity hosting the external system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-20 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement recognizes that there are circumstances where individuals using external systems need to access organizational systems. In those situations, organizations need confidence that the external systems contain the necessary security controls so as not to compromise, damage, or otherwise harm organizational systems. Verification that the required security controls have been implemented can be achieved, for example, by external, independent assessments, attestations, or other means, depending on the confidence level required by organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.20.2", + "title": "PORTABLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-20 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e[Selection: Restrict the use of organization-controlled portable storage devices by authorized individuals on external systems using the following \u003cinsert param-id=\"ac-20_a\"/\u003e; Prohibit the use of organization-controlled portable storage devices by authorized individuals on external systems].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLimits on the use of organization-controlled portable storage devices in external systems include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.7" + }, + { + "href": "#sc.41" + } + ] + } + ], + "params": [ + { + "id": "ac-20_a", + "desc": "organization-defined restrictions", + "value": "organization-defined restrictions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.20.3", + "title": "NON-ORGANIZATIONALLY OWNED SYSTEMS AND COMPONENTS", + "props": [ + { + "class": "name", + "value": "AC-20 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e[Selection: Restrict the use of non-organizationally owned systems or system components to process, store, or transmit organizational information using the following \u003cinsert param-id=\"ac-20_b\"/\u003e; Prohibit the use of non-organizationally owned systems or system components to process, store, or transmit organizational information].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNon-organizationally owned systems or system components include systems or system components owned by other organizations and personally owned devices. There are potential risks to using non-organizationally owned systems or system components. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, the use of such systems or system components may be allowed but restricted in some way. Restrictions include, for example, requiring the implementation of approved security and privacy controls prior to authorizing the connection of non-organizationally owned systems and components; limiting access to certain types of information, services, or applications; using virtualization techniques to limit processing and storage activities to servers or other system components provisioned by the organization; and agreeing to the specified terms and conditions for usage. Organizations consult with the Office of the General Counsel regarding any legal issues associated with using personally owned devices, including, for example, requirements for conducting forensic analyses during investigations after an incident.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-20_b", + "desc": "organization-defined restrictions", + "value": "organization-defined restrictions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.20.4", + "title": "NETWORK ACCESSIBLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "AC-20 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit the use of \u003cinsert param-id=\"ac-20_c\"/\u003e in external systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNetwork accessible storage devices in external systems include, for example, online storage devices in public, hybrid, or community cloud-based systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-20_c", + "desc": "organization-defined network accessible storage devices", + "value": "organization-defined network accessible storage devices" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ac.21", + "title": "INFORMATION SHARING", + "params": [ + { + "id": "ac-21_a", + "desc": "organization-defined information sharing circumstances where user discretion is required", + "value": "organization-defined information sharing circumstances where user discretion is required" + }, + { + "id": "ac-21_b", + "desc": "organization-defined automated mechanisms or manual processes", + "value": "organization-defined automated mechanisms or manual processes" + } + ], + "props": [ + { + "class": "name", + "value": "AC-21" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.21a", + "prose": [ + "\u003cp class=\"description\"\u003eFacilitate information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions and privacy authorizations on the information for \u003cinsert param-id=\"ac-21_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21a." + } + ] + }, + { + "class": "item", + "id": "ac.21b", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"ac-21_b\"/\u003e to assist users in making information sharing and collaboration decisions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-21b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to information that may be restricted in some manner based on some formal or administrative determination. Examples of such information include, contract-sensitive information, proprietary information, classified information related to special access programs or compartments, privileged medical information, and personally identifiable information. Risk analyses and privacy impact analyses can provide useful inputs to these determinations. Depending on the information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + }, + { + "href": "#sc.15" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.21.1", + "title": "AUTOMATED DECISION SUPPORT", + "props": [ + { + "class": "name", + "value": "AC-21 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.21.2", + "title": "INFORMATION SEARCH AND RETRIEVAL", + "props": [ + { + "class": "name", + "value": "AC-21 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement information search and retrieval services that enforce \u003cinsert param-id=\"ac-21_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-21_c", + "desc": "organization-defined information sharing restrictions", + "value": "organization-defined information sharing restrictions" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.22", + "title": "PUBLICLY ACCESSIBLE CONTENT", + "params": [ + { + "id": "ac-22_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AC-22" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ac.22a", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate individuals authorized to post information onto a publicly accessible system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22a." + } + ] + }, + { + "class": "item", + "id": "ac.22b", + "prose": [ + "\u003cp class=\"description\"\u003eTrain authorized individuals to ensure that publicly accessible information does not contain nonpublic information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22b." + } + ] + }, + { + "class": "item", + "id": "ac.22c", + "prose": [ + "\u003cp class=\"description\"\u003eReview the proposed content of information prior to posting onto the publicly accessible system to ensure that nonpublic information is not included; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22c." + } + ] + }, + { + "class": "item", + "id": "ac.22d", + "prose": [ + "\u003cp class=\"description\"\u003eReview the content on the publicly accessible system for nonpublic information \u003cinsert param-id=\"ac-22_a\"/\u003e and remove such information, if discovered.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AC-22d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn accordance with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines, the public is not authorized access to nonpublic information including, for example, information protected under the Privacy Act and proprietary information. This control addresses systems that are controlled by the organization and accessible to the public, typically without identification or authentication. The posting of information on non-organization systems is covered by organizational policy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#au.13" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.23", + "title": "DATA MINING PROTECTION", + "params": [ + { + "id": "ac-23_a", + "desc": "organization-defined data mining prevention and detection techniques", + "value": "organization-defined data mining prevention and detection techniques" + }, + { + "id": "ac-23_b", + "desc": "organization-defined data storage objects", + "value": "organization-defined data storage objects" + } + ], + "props": [ + { + "class": "name", + "value": "AC-23" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"ac-23_a\"/\u003e for \u003cinsert param-id=\"ac-23_b\"/\u003e to detect and protect against unauthorized data mining.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData storage objects include, for example, databases, database records, and database fields. Data mining prevention and detection techniques include, for example, limiting the types of responses provided to database queries; limiting the number and the frequency of database queries to increase the work factor needed to determine the contents of such databases; and notifying organizational personnel when atypical database queries or accesses occur. This control focuses on the protection of organizational information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is now available as open source information residing on external sites, for example, through social networking or social media websites.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.24", + "title": "ACCESS CONTROL DECISIONS", + "params": [ + { + "id": "ac-24_a", + "desc": "organization-defined access control decisions", + "value": "organization-defined access control decisions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-24" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish procedures to ensure \u003cinsert param-id=\"ac-24_a\"/\u003e are applied to each access request prior to access enforcement.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAccess control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when systems enforce access control decisions. While it is very common to have access control decisions and access enforcement implemented by the same entity, it is not required and it is not always an optimal implementation choice. For some architectures and distributed systems, different entities may perform access control decisions and access enforcement.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ac.24.1", + "title": "TRANSMIT ACCESS AUTHORIZATION INFORMATION", + "props": [ + { + "class": "name", + "value": "AC-24 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTransmit \u003cinsert param-id=\"ac-24_b\"/\u003e using \u003cinsert param-id=\"ac-24_c\"/\u003e to \u003cinsert param-id=\"ac-24_d\"/\u003e that enforce access control decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn distributed systems, authorization processes and access control decisions may occur in separate parts of the systems. In such instances, authorization information is transmitted securely so timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information, supporting security attributes. This is because in distributed systems, there are various access control decisions that need to be made and different entities make these decisions in a serial fashion, each requiring security attributes to make the decisions. Protecting access authorization information ensures that such information cannot be altered, spoofed, or compromised during transmission.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-24_b", + "desc": "organization-defined access authorization information", + "value": "organization-defined access authorization information" + }, + { + "id": "ac-24_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "ac-24_d", + "desc": "organization-defined systems", + "value": "organization-defined systems" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ac.24.2", + "title": "NO USER OR PROCESS IDENTITY", + "props": [ + { + "class": "name", + "value": "AC-24 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce access control decisions based on \u003cinsert param-id=\"ac-24_e\"/\u003e that do not include the identity of the user or process acting on behalf of the user.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions and, especially in the case of distributed systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ac-24_e", + "desc": "organization-defined security attributes", + "value": "organization-defined security attributes" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ac.25", + "title": "REFERENCE MONITOR", + "params": [ + { + "id": "ac-25_a", + "desc": "organization-defined access control policies", + "value": "organization-defined access control policies" + } + ], + "props": [ + { + "class": "name", + "value": "AC-25" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement a reference monitor for \u003cinsert param-id=\"ac-25_a\"/\u003e that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Reference monitors enforce mandatory access control policies, a type of access control that restricts access to objects based on the identity of subjects or groups to which the subjects belong. The access controls are mandatory because subjects with certain privileges (i.e., access permissions) are restricted from passing those privileges on to any other subjects, either directly or indirectly\u0026#x97;that is, the system strictly enforces the access control policy based on the rule set established by the policy. The tamperproof property of the reference monitor prevents adversaries from compromising the functioning of the mechanism. The always invoked property prevents adversaries from bypassing the mechanism and hence violating the security policy. The smallness property helps to ensure the completeness in the analysis and testing of the mechanism to detect weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.16" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.11" + }, + { + "href": "#sc.39" + }, + { + "href": "#si.13" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "AWARENESS AND TRAINING", + "controls": [ + { + "class": "SP800-53", + "id": "at.1", + "title": "AWARENESS AND TRAINING POLICY AND PROCEDURES", + "params": [ + { + "id": "at-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "at-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "at-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "at-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "at.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"at-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "at.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eA security and privacy awareness and training policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "at.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "at.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "at.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the security and privacy awareness and training policy and the associated security and privacy awareness and training controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "at.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"at-1_b\"/\u003e to manage the security and privacy awareness and training policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1b." + } + ] + }, + { + "class": "item", + "id": "at.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current security and privacy awareness and training:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "at.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"at-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1c.1." + } + ] + }, + { + "class": "item", + "id": "at.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"at-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "at.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the security and privacy awareness and training procedures implement the security and privacy awareness and training policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1d." + } + ] + }, + { + "class": "item", + "id": "at.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the awareness and training policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the AT family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "at.2", + "title": "AWARENESS TRAINING", + "params": [ + { + "id": "at-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide basic security and privacy awareness training to system users (including managers, senior executives, and contractors):\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "at.2a", + "prose": [ + "\u003cp class=\"description\"\u003eAs part of initial training for new users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2a." + } + ] + }, + { + "class": "item", + "id": "at.2b", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required by system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2b." + } + ] + }, + { + "class": "item", + "id": "at.2c", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"at-2_a\"/\u003e thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-2c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the content of security and privacy awareness training and security and privacy awareness techniques based on the specific organizational requirements and the systems to which personnel have authorized access. The content includes an understanding of the need for information security and privacy and actions by users to maintain security and privacy and to respond to suspected security and privacy incidents. The content also addresses an awareness of the need for operations security. Security and privacy awareness techniques can include, for example, displaying posters, offering supplies inscribed with security and privacy reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security and privacy awareness events. Awareness training after the initial training (i.e., described AT-2c) is conducted at a minimum frequency consistent with applicable laws, directives, regulations, and policies. Such training may be satisfied by one or more short ad hoc sessions and include topical information on recent attack schemes, changes to organizational security and privacy policies, revised security and privacy expectations, and/or a subset of topics from the initial training.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#ac.22" + }, + { + "href": "#at.3" + }, + { + "href": "#at.4" + }, + { + "href": "#cp.3" + }, + { + "href": "#ia.4" + }, + { + "href": "#ir.2" + }, + { + "href": "#ir.7" + }, + { + "href": "#ir.9" + }, + { + "href": "#pa.2" + }, + { + "href": "#pl.4" + }, + { + "href": "#pm.13" + }, + { + "href": "#pm.22" + }, + { + "href": "#ps.7" + }, + { + "href": "#sa.16" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "at.2.1", + "title": "PRACTICAL EXERCISES", + "props": [ + { + "class": "name", + "value": "AT-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInclude practical exercises in awareness training that simulate security and privacy incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePractical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links. Privacy-related practical exercises may include, for example, practice modules with quizzes on handling personally identifiable information and affected individuals in various scenarios.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cp.4" + }, + { + "href": "#ir.3" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.2.2", + "title": "INSIDER THREAT", + "props": [ + { + "class": "name", + "value": "AT-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInclude awareness training on recognizing and reporting potential indicators of insider threat.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePotential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to information not required for job performance, unexplained access to financial resources, bullying or sexual harassment of fellow employees, workplace violence, and other serious violations of organizational policies, procedures, directives, rules, or practices. Security and privacy awareness training includes how to communicate the concerns of employees and management regarding potential indicators of insider threat through organizational channels in accordance with established policies and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.12" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.2.3", + "title": "SOCIAL ENGINEERING AND MINING", + "props": [ + { + "class": "name", + "value": "AT-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInclude awareness training on recognizing and reporting potential and actual instances of social engineering and social mining.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSocial engineering is an attempt to trick someone into revealing information or taking an action that can be used to attack or compromise systems. Examples of social engineering include phishing, pretexting, baiting, quid pro quo, and tailgaiting. Social mining is an attempt, in a social setting, to gather information about the organization that may support future attacks. Security and privacy awareness training includes information on how to communicate concerns of employees and management regarding potential and actual instances of social engineering and mining through organizational channels based on established policies and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "at.3", + "title": "ROLE-BASED TRAINING", + "params": [ + { + "id": "at-3_a", + "desc": "organization-defined roles and responsibilities", + "value": "organization-defined roles and responsibilities" + }, + { + "id": "at-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide role-based security and privacy training to personnel with the following roles and responsibilities: \u003cinsert param-id=\"at-3_a\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "at.3a", + "prose": [ + "\u003cp class=\"description\"\u003eBefore authorizing access to the system or performing assigned duties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3a." + } + ] + }, + { + "class": "item", + "id": "at.3b", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required by system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3b." + } + ] + }, + { + "class": "item", + "id": "at.3c", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"at-3_b\"/\u003e thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the appropriate content of security and privacy training based on the assigned roles and responsibilities of individuals and the specific security and privacy requirements of organizations and the systems to which personnel have authorized access, including security-related technical training specifically tailored for assigned duties. Roles that may require role-based security and privacy training include, for example, system owners; authorizing officials; system security officers; privacy officers; enterprise architects; acquisition and procurement officials; systems engineers; system and software developers; system, network, and database administrators; personnel conducting configuration management activities; personnel performing verification and validation activities; auditors; personnel having access to system-level software; security and privacy control assessors; personnel with contingency planning and incident response duties; personnel with privacy management responsibilities; and personnel having access to personally identifiable information. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include, for example, policies, procedures, tools, methods, and artifacts for the security and privacy roles defined. Organizations provide the training necessary for individuals to fulfill their responsibilities related to operations and supply chain security within the context of organizational information security and privacy programs. Role-based security and privacy training also applies to contractors providing services to federal agencies.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#ac.22" + }, + { + "href": "#at.2" + }, + { + "href": "#at.4" + }, + { + "href": "#cp.3" + }, + { + "href": "#ir.2" + }, + { + "href": "#ir.7" + }, + { + "href": "#ir.9" + }, + { + "href": "#ir.10" + }, + { + "href": "#pl.4" + }, + { + "href": "#pm.13" + }, + { + "href": "#pm.24" + }, + { + "href": "#ps.7" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.11" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.16" + }, + { + "href": "#sa.19" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "at.3.1", + "title": "ENVIRONMENTAL CONTROLS", + "props": [ + { + "class": "name", + "value": "AT-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide \u003cinsert param-id=\"at-3_c\"/\u003e with initial and \u003cinsert param-id=\"at-3_d\"/\u003e training in the employment and operation of environmental controls.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEnvironmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, heating, ventilation, and air conditioning, and power within the facility. Organizations identify personnel with specific roles and responsibilities associated with environmental controls requiring specialized training.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.1" + }, + { + "href": "#pe.11" + }, + { + "href": "#pe.13" + }, + { + "href": "#pe.14" + }, + { + "href": "#pe.15" + } + ] + } + ], + "params": [ + { + "id": "at-3_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "at-3_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.3.2", + "title": "PHYSICAL SECURITY CONTROLS", + "props": [ + { + "class": "name", + "value": "AT-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide \u003cinsert param-id=\"at-3_e\"/\u003e with initial and \u003cinsert param-id=\"at-3_f\"/\u003e training in the employment and operation of physical security controls.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring/surveillance equipment, and security guards (deployment and operating procedures). Organizations identify personnel with specific roles and responsibilities associated with physical security controls requiring specialized training.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + } + ] + } + ], + "params": [ + { + "id": "at-3_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "at-3_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.3.3", + "title": "PRACTICAL EXERCISES", + "props": [ + { + "class": "name", + "value": "AT-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInclude practical exercises in security and privacy training that reinforce training objectives.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePractical exercises for security may include, for example, security training for software developers that includes simulated cyber-attacks exploiting common software vulnerabilities, or spear/whale phishing attacks targeted at senior leaders/executives. Practical exercises for privacy may include, for example, practice modules with quizzes on handling personally identifiable information in various scenarios, and model scenarios on conducting privacy impact assessments.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.3.4", + "title": "SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR", + "props": [ + { + "class": "name", + "value": "AT-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide training to personnel on \u003cinsert param-id=\"at-3_g\"/\u003e to recognize suspicious communications and anomalous behavior in organizational systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA well-trained workforce provides another organizational safeguard that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming in to organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email for example, receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor. Personnel are also trained on how to respond to suspicious email or web communications. For this process to work effectively, organizational personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in organizational systems can potentially provide early warning for the presence of malicious code. Recognition of such anomalous behavior by organizational personnel can supplement automated malicious code detection and protection tools and systems employed by organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "at-3_g", + "desc": "organization-defined indicators of malicious code", + "value": "organization-defined indicators of malicious code" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "at.3.5", + "title": "PERSONALLY IDENTIFIABLE INFORMATION PROCESSING", + "props": [ + { + "class": "name", + "value": "AT-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide personnel who process personally identifiable information with initial and \u003cinsert param-id=\"at-3_h\"/\u003e training on:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "at.3.5.a", + "prose": [ + "\u003cp class=\"description\"\u003eOrganizational authority for collecting personally identifiable information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "at.3.5.b", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorized uses of personally identifiable information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3 (5)(b)" + } + ] + }, + { + "class": "item", + "id": "at.3.5.c", + "prose": [ + "\u003cp class=\"description\"\u003eContent of System of Records Notices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3 (5)(c)" + } + ] + }, + { + "class": "item", + "id": "at.3.5.d", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorized sharing of personally identifiable information with external parties; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3 (5)(d)" + } + ] + }, + { + "class": "item", + "id": "at.3.5.e", + "prose": [ + "\u003cp class=\"description\"\u003eConsequences of unauthorized use or sharing of personally identifiable information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-3 (5)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRole-based training on handling personally identifiable information helps prevent unauthorized collections or uses of personally identifiable information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pa.3" + }, + { + "href": "#pa.4" + } + ] + } + ], + "params": [ + { + "id": "at-3_h", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "at.4", + "title": "TRAINING RECORDS", + "params": [ + { + "id": "at-4_a", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ], + "props": [ + { + "class": "name", + "value": "AT-4" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "at.4a", + "prose": [ + "\u003cp class=\"description\"\u003eDocument and monitor individual system security and privacy training activities including basic security and privacy awareness training and specific role-based system security and privacy training; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4a." + } + ] + }, + { + "class": "item", + "id": "at.4b", + "prose": [ + "\u003cp class=\"description\"\u003eRetain individual training records for \u003cinsert param-id=\"at-4_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AT-4b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDocumentation for specialized training may be maintained by individual supervisors at the option of the organization. The National Archives and Records Administration provides guidance on records retention.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#cp.3" + }, + { + "href": "#ir.2" + }, + { + "href": "#pm.14" + }, + { + "href": "#si.12" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "at.5", + "title": "CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS", + "props": [ + { + "class": "name", + "value": "AT-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PM-15\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pm.15" + } + ] + } + ] + }, + { + "class": "family", + "title": "AUDIT AND ACCOUNTABILITY", + "controls": [ + { + "class": "SP800-53", + "id": "au.1", + "title": "AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES", + "params": [ + { + "id": "au-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "au-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "au-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "au-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AU-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "au.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"au-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "au.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eAn audit and accountability policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "au.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "au.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "au.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "au.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"au-1_b\"/\u003e to manage the audit and accountability policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1b." + } + ] + }, + { + "class": "item", + "id": "au.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current audit and accountability:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "au.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"au-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1c.1." + } + ] + }, + { + "class": "item", + "id": "au.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"au-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "au.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the audit and accountability procedures implement the audit and accountability policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1d." + } + ] + }, + { + "class": "item", + "id": "au.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the audit and accountability policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the AU family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "au.2", + "title": "AUDIT EVENTS", + "params": [ + { + "id": "au-2_a", + "desc": "organization-defined auditable event types", + "value": "organization-defined auditable event types" + }, + { + "id": "au-2_b", + "desc": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event", + "value": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event" + } + ], + "props": [ + { + "class": "name", + "value": "AU-2" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "au.2a", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that the system can audit the following event types: \u003cinsert param-id=\"au-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2a." + } + ] + }, + { + "class": "item", + "id": "au.2b", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinate the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable event types;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2b." + } + ] + }, + { + "class": "item", + "id": "au.2c", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a rationale for why the auditable event types are deemed to be adequate to support after-the-fact investigations of security and privacy incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2c." + } + ] + }, + { + "class": "item", + "id": "au.2d", + "prose": [ + "\u003cp class=\"description\"\u003eSpecify that the following event types are to be audited within the system: \u003cinsert param-id=\"au-2_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-2d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAn event is any observable occurrence in an organizational system. Organizations identify audit event types as those events which are significant and relevant to the security of systems and the environments in which those systems operate to meet specific and ongoing audit needs. Audit event types can include, for example, password changes; failed logons or failed accesses related to systems; security attribute changes, administrative privilege usage, PIV credential usage, query parameters, or external credential usage. In determining the set of auditable event types, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other system needs, this control also requires identifying that subset of auditable event types that are audited at a given point in time. For example, organizations may determine that systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security and privacy controls and control enhancements for example, AC-2(4), AC-3(10), AC-6(9), AC-16(11), AC-17(1), CM-3.f, CM-5(1), IA-3(3.b), MA-4(1), MP-4(2), PA-4.d, PE-3, PM-22, RA-8, SC-7(9), SC-7(15), SI-3(8), SI-4(22), SI-7(8), and SI-10(1). Organizations also include auditable event types that are required by applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. Audit records can be generated at various levels, including at the packet level as information traverses the network. Selecting the appropriate level of auditing is an important aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable event types, the auditing necessary to cover related event types such as the steps in distributed, transaction-based processes and actions that occur in service-oriented architectures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.7" + }, + { + "href": "#ac.8" + }, + { + "href": "#ac.16" + }, + { + "href": "#ac.17" + }, + { + "href": "#au.3" + }, + { + "href": "#au.4" + }, + { + "href": "#au.5" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#au.11" + }, + { + "href": "#au.12" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#ia.3" + }, + { + "href": "#ma.4" + }, + { + "href": "#mp.4" + }, + { + "href": "#pa.4" + }, + { + "href": "#pe.3" + }, + { + "href": "#pm.22" + }, + { + "href": "#ra.8" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.18" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + }, + { + "href": "#si.10" + }, + { + "href": "#si.11" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.2.1", + "title": "COMPILATION OF AUDIT RECORDS FROM MULTIPLE SOURCES", + "props": [ + { + "class": "name", + "value": "AU-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AU-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#au.12" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.2.2", + "title": "SELECTION OF AUDIT EVENTS BY COMPONENT", + "props": [ + { + "class": "name", + "value": "AU-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AU-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#au.12" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.2.3", + "title": "REVIEWS AND UPDATES", + "props": [ + { + "class": "name", + "value": "AU-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the audited events \u003cinsert param-id=\"au-2_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOver time, the events that organizations believe should be audited may change. Reviewing and updating the set of audited events periodically is necessary to ensure that the current set is still necessary and sufficient.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "au-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.2.4", + "title": "PRIVILEGED FUNCTIONS", + "props": [ + { + "class": "name", + "value": "AU-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-6(9)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "AC-6(9)" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-92", + "value": "NIST Special Publication 800-92" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "au.3", + "title": "CONTENT OF AUDIT RECORDS", + "props": [ + { + "class": "name", + "value": "AU-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eThe system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user or process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results, for example, the security and privacy state of the system after the event occurred.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.8" + }, + { + "href": "#au.12" + }, + { + "href": "#au.14" + }, + { + "href": "#ma.4" + }, + { + "href": "#si.7" + }, + { + "href": "#si.11" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.3.1", + "title": "ADDITIONAL AUDIT INFORMATION", + "props": [ + { + "class": "name", + "value": "AU-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eGenerate audit records containing the following additional information: \u003cinsert param-id=\"au-3_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eImplementation of this control enhancement is dependent on system functionality to configure audit record content. Detailed information that organizations may consider in audit records includes, for example, full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "au-3_a", + "desc": "organization-defined additional, more detailed information", + "value": "organization-defined additional, more detailed information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.3.2", + "title": "CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT", + "props": [ + { + "class": "name", + "value": "AU-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide centralized management and configuration of the content to be captured in audit records generated by \u003cinsert param-id=\"au-3_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires that the content to be captured in audit records be configured from a central location (necessitating automation). Organizations coordinate the selection of required audit content to support the centralized management and configuration capability provided by the system.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#au.7" + } + ] + } + ], + "params": [ + { + "id": "au-3_b", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.3.3", + "title": "LIMIT PERSONALLY IDENTIFIABLE INFORMATION ELEMENTS", + "props": [ + { + "class": "name", + "value": "AU-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eLimit personally identifiable information contained in audit records to the following elements identified in the privacy risk assessment: \u003cinsert param-id=\"au-3_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLimiting personally identifiable information in audit records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "au-3_c", + "desc": "organization-defined elements", + "value": "organization-defined elements" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.4", + "title": "AUDIT STORAGE CAPACITY", + "params": [ + { + "id": "au-4_a", + "desc": "organization-defined audit record retention requirements", + "value": "organization-defined audit record retention requirements" + } + ], + "props": [ + { + "class": "name", + "value": "AU-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAllocate audit record storage capacity to accommodate \u003cinsert param-id=\"au-4_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Allocating sufficient audit storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of auditing capability.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.5" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#au.9" + }, + { + "href": "#au.11" + }, + { + "href": "#au.12" + }, + { + "href": "#au.14" + }, + { + "href": "#si.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.4.1", + "title": "TRANSFER TO ALTERNATE STORAGE", + "props": [ + { + "class": "name", + "value": "AU-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eOff-load audit records \u003cinsert param-id=\"au-4_b\"/\u003e onto a different system or media than the system being audited.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOff-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary system to a secondary or alternate system. It is a common process in systems with limited audit storage capacity; the audit storage is used only in a transitory fashion until the system can communicate with the secondary or alternate system designated for storing the audit records, at which point the information is transferred.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "au-4_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.5", + "title": "RESPONSE TO AUDIT PROCESSING FAILURES", + "params": [ + { + "id": "au-5_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "au-5_b", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + }, + { + "id": "au-5_c", + "desc": "organization-defined actions to be taken", + "value": "organization-defined actions to be taken" + } + ], + "props": [ + { + "class": "name", + "value": "AU-5" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "au.5a", + "prose": [ + "\u003cp class=\"description\"\u003eAlert \u003cinsert param-id=\"au-5_a\"/\u003e in the event of an audit processing failure within \u003cinsert param-id=\"au-5_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5a." + } + ] + }, + { + "class": "item", + "id": "au.5b", + "prose": [ + "\u003cp class=\"description\"\u003eTake the following additional actions: \u003cinsert param-id=\"au-5_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-5b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganization-defined actions include, for example, shutting down the system; overwriting oldest audit records; and stopping the generation of audit records. Examples of audit processing failures include, for example, software and hardware errors; failures in the audit capturing mechanisms; and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for audit processing failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. This control applies to each audit data storage repository (i.e., distinct system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.4" + }, + { + "href": "#au.7" + }, + { + "href": "#au.9" + }, + { + "href": "#au.11" + }, + { + "href": "#au.12" + }, + { + "href": "#au.14" + }, + { + "href": "#si.4" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.5.1", + "title": "AUDIT STORAGE CAPACITY", + "props": [ + { + "class": "name", + "value": "AU-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a warning to \u003cinsert param-id=\"au-5_d\"/\u003e within \u003cinsert param-id=\"au-5_e\"/\u003e when allocated audit record storage volume reaches \u003cinsert param-id=\"au-5_f\"/\u003e of repository maximum audit record storage capacity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may have multiple audit data storage repositories distributed across multiple system components, with each repository having different storage volume capacities.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "au-5_d", + "desc": "organization-defined personnel, roles, and/or locations", + "value": "organization-defined personnel, roles, and/or locations" + }, + { + "id": "au-5_e", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + }, + { + "id": "au-5_f", + "desc": "organization-defined percentage", + "value": "organization-defined percentage" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.5.2", + "title": "REAL-TIME ALERTS", + "props": [ + { + "class": "name", + "value": "AU-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide an alert in \u003cinsert param-id=\"au-5_g\"/\u003e to \u003cinsert param-id=\"au-5_h\"/\u003e when the following audit failure events occur: \u003cinsert param-id=\"au-5_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "au-5_g", + "desc": "organization-defined real-time-period", + "value": "organization-defined real-time-period" + }, + { + "id": "au-5_h", + "desc": "organization-defined personnel, roles, and/or locations", + "value": "organization-defined personnel, roles, and/or locations" + }, + { + "id": "au-5_i", + "desc": "organization-defined audit failure events requiring real-time alerts", + "value": "organization-defined audit failure events requiring real-time alerts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.5.3", + "title": "CONFIGURABLE TRAFFIC VOLUME THRESHOLDS", + "props": [ + { + "class": "name", + "value": "AU-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce configurable network communications traffic volume thresholds reflecting limits on auditing capacity and [Selection: rejects; delays] network traffic above those thresholds.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations have the capability to reject or delay the processing of network communications traffic if auditing such traffic is determined to exceed the storage capacity of the system audit function. The rejection or delay response is triggered by the established organizational traffic volume thresholds which can be adjusted based on changes to audit storage capacity.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.5.4", + "title": "SHUTDOWN ON FAILURE", + "props": [ + { + "class": "name", + "value": "AU-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInvoke a [Selection: full system shutdown; partial system shutdown; degraded operational mode with limited mission/business functionality available] in the event of \u003cinsert param-id=\"au-5_j\"/\u003e, unless an alternate audit capability exists.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the types of audit failures that can trigger automatic system shutdowns or degraded operations. Because of the importance of ensuring mission and business continuity, organizations may determine that the nature of the audit failure is not so severe that it warrants a complete shutdown of the system supporting the core organizational missions and business operations. In those instances, partial system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.15" + } + ] + } + ], + "params": [ + { + "id": "au-5_j", + "desc": "organization-defined audit failures", + "value": "organization-defined audit failures" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.6", + "title": "AUDIT REVIEW, ANALYSIS, AND REPORTING", + "params": [ + { + "id": "au-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "au-6_b", + "desc": "organization-defined inappropriate or unusual activity", + "value": "organization-defined inappropriate or unusual activity" + }, + { + "id": "au-6_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "AU-6" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "au.6a", + "prose": [ + "\u003cp class=\"description\"\u003eReview and analyze system audit records \u003cinsert param-id=\"au-6_a\"/\u003e for indications of \u003cinsert param-id=\"au-6_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6a." + } + ] + }, + { + "class": "item", + "id": "au.6b", + "prose": [ + "\u003cp class=\"description\"\u003eReport findings to \u003cinsert param-id=\"au-6_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6b." + } + ] + }, + { + "class": "item", + "id": "au.6c", + "prose": [ + "\u003cp class=\"description\"\u003eAdjust the level of audit review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-6c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at system boundaries, and use of mobile code or VoIP. Findings can be reported to organizational entities that include, for example, the incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities, the review/analysis may be carried out by other organizations granted such authority. The frequency, scope, and/or depth of the audit review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.7" + }, + { + "href": "#ac.17" + }, + { + "href": "#au.7" + }, + { + "href": "#au.16" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.10" + }, + { + "href": "#cm.11" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + }, + { + "href": "#ir.5" + }, + { + "href": "#ma.4" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.6" + }, + { + "href": "#ra.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.6.1", + "title": "AUTOMATED PROCESS INTEGRATION", + "props": [ + { + "class": "name", + "value": "AU-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.7" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.2", + "title": "AUTOMATED SECURITY ALERTS", + "props": [ + { + "class": "name", + "value": "AU-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.3", + "title": "CORRELATE AUDIT REPOSITORIES", + "props": [ + { + "class": "name", + "value": "AU-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAnalyze and correlate audit records across different repositories to gain organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and system) and supports cross-organization awareness.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.12" + }, + { + "href": "#ir.4" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.4", + "title": "CENTRAL REVIEW AND ANALYSIS", + "props": [ + { + "class": "name", + "value": "AU-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide and implement the capability to centrally review and analyze audit records from multiple components within the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms for centralized reviews and analyses include, for example, Security Information Management products.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.5", + "title": "INTEGRATED ANALYSIS OF AUDIT RECORDS", + "props": [ + { + "class": "name", + "value": "AU-6 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIntegrate analysis of audit records with analysis of [Selection (one or more): vulnerability scanning information; performance data; system monitoring information; \u003cinsert param-id=\"au-6_d\"/\u003e] to further enhance the ability to identify inappropriate or unusual activity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement does not require vulnerability scanning, the generation of performance data, or system monitoring. Rather, the enhancement requires that the analysis of information being otherwise produced in these areas is integrated with the analysis of audit information. Security Event and Information Management System tools can facilitate audit record aggregation/consolidation from multiple system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans and correlating attack detection events with scanning results. Correlation with performance data can uncover denial of service attacks or other types of attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.12" + }, + { + "href": "#ir.4" + } + ] + } + ], + "params": [ + { + "id": "au-6_d", + "desc": "organization-defined data/information collected from other sources", + "value": "organization-defined data/information collected from other sources" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.6", + "title": "CORRELATION WITH PHYSICAL MONITORING", + "props": [ + { + "class": "name", + "value": "AU-6 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCorrelate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe correlation of physical audit information and audit logs from systems may assist organizations in identifying examples of suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual\u0026#x92;s identity for logical access to certain systems with the additional physical security information that the individual was present at the facility when the logical access occurred, may be useful in investigations.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.7", + "title": "PERMITTED ACTIONS", + "props": [ + { + "class": "name", + "value": "AU-6 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eSpecify the permitted actions for each [Selection (one or more): system process; role; user] associated with the review, analysis, and reporting of audit information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations specify permitted actions for system processes, roles, and/or users associated with the review, analysis, and reporting of audit records through account management techniques. Specifying permitted actions on audit information is a way to enforce the principle of least privilege. Permitted actions are enforced by the system and include, for example, read, write, execute, append, and delete.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.8", + "title": "FULL TEXT ANALYSIS OF PRIVILEGED COMMANDS", + "props": [ + { + "class": "name", + "value": "AU-6 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePerform a full text analysis of audited privileged commands in a physically distinct component or subsystem of the system, or other system that is dedicated to that analysis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires a distinct environment for the dedicated analysis of audit information related to privileged users without compromising such information on the system where the users have elevated privileges including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and all parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes, for example, the use of pattern matching and heuristics.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.3" + }, + { + "href": "#au.9" + }, + { + "href": "#au.11" + }, + { + "href": "#au.12" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.9", + "title": "CORRELATION WITH INFORMATION FROM NONTECHNICAL SOURCES", + "props": [ + { + "class": "name", + "value": "AU-6 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCorrelate information from nontechnical sources with audit information to enhance organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNontechnical sources include, for example, human resources records documenting organizational policy violations including, for example, sexual harassment incidents and improper use of organizational information assets. Such information can lead to a more directed analytical effort to detect potential malicious insider activity. Due to the sensitive nature of the information available from nontechnical sources, organizations limit access to such information to minimize the potential for the inadvertent release of privacy-related information to individuals that do not have a need to know. Thus, correlation of information from nontechnical sources with audit information generally occurs only when individuals are suspected of being involved in a security incident. Organizations obtain legal advice prior to initiating such actions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.12" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.6.10", + "title": "AUDIT LEVEL ADJUSTMENT", + "props": [ + { + "class": "name", + "value": "AU-6 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AU-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#au.6" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.7", + "title": "AUDIT REDUCTION AND REPORT GENERATION", + "props": [ + { + "class": "name", + "value": "AU-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide and implement an audit reduction and report generation capability that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "au.7a", + "prose": [ + "\u003cp class=\"description\"\u003eSupports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7a." + } + ] + }, + { + "class": "item", + "id": "au.7b", + "prose": [ + "\u003cp class=\"description\"\u003eDoes not alter the original content or time ordering of audit records.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-7b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. Audit reduction and report generation capabilities do not always emanate from the same system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#au.2" + }, + { + "href": "#au.3" + }, + { + "href": "#au.4" + }, + { + "href": "#au.5" + }, + { + "href": "#au.6" + }, + { + "href": "#au.12" + }, + { + "href": "#au.16" + }, + { + "href": "#cm.5" + }, + { + "href": "#ia.5" + }, + { + "href": "#ir.4" + }, + { + "href": "#pm.12" + }, + { + "href": "#si.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.7.1", + "title": "AUTOMATIC PROCESSING", + "props": [ + { + "class": "name", + "value": "AU-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide and implement the capability to process audit records for events of interest based on \u003cinsert param-id=\"au-7_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEvents of interest can be identified by the content of specific audit record fields including, for example, identities of individuals, event types, event locations, event times, event dates, system resources involved, Internet Protocol addresses involved, or information objects accessed. Organizations may define audit event criteria to any degree of granularity required, for example, locations selectable by general networking location or selectable by specific system component.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "au-7_a", + "desc": "organization-defined audit fields within audit records", + "value": "organization-defined audit fields within audit records" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.7.2", + "title": "AUTOMATIC SORT AND SEARCH", + "props": [ + { + "class": "name", + "value": "AU-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide and implement the capability to sort and search audit records for events of interest based on the content of \u003cinsert param-id=\"au-7_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSorting and searching of audit records may be based upon the contents of audit record fields, for example, date and time of events; user identifiers; Internet Protocol addresses involved in the event; type of event; or event success or failure.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "au-7_b", + "desc": "organization-defined audit fields within audit records", + "value": "organization-defined audit fields within audit records" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.8", + "title": "TIME STAMPS", + "params": [ + { + "id": "au-8_a", + "desc": "organization-defined granularity of time measurement", + "value": "organization-defined granularity of time measurement" + } + ], + "props": [ + { + "class": "name", + "value": "AU-8" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "au.8a", + "prose": [ + "\u003cp class=\"description\"\u003eUse internal system clocks to generate time stamps for audit records; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8a." + } + ] + }, + { + "class": "item", + "id": "au.8b", + "prose": [ + "\u003cp class=\"description\"\u003eRecord time stamps for audit records that can be mapped to Coordinated Universal Time or Greenwich Mean Time and meets \u003cinsert param-id=\"au-8_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTime stamps generated by the system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.3" + }, + { + "href": "#au.12" + }, + { + "href": "#au.14" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.8.1", + "title": "SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE", + "props": [ + { + "class": "name", + "value": "AU-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "au.8.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eCompare the internal system clocks \u003cinsert param-id=\"au-8_b\"/\u003e with \u003cinsert param-id=\"au-8_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "au.8.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eSynchronize the internal system clocks to the authoritative time source when the time difference is greater than \u003cinsert param-id=\"au-8_d\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides uniformity of time stamps for systems with multiple system clocks and systems connected over a network.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "au-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "au-8_c", + "desc": "organization-defined authoritative time source", + "value": "organization-defined authoritative time source" + }, + { + "id": "au-8_d", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.8.2", + "title": "SECONDARY AUTHORITATIVE TIME SOURCE", + "props": [ + { + "class": "name", + "value": "AU-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "au.8.2.a", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify a secondary authoritative time source that is in a different geographic region than the primary authoritative time source; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "au.8.2.b", + "prose": [ + "\u003cp class=\"description\"\u003eSynchronize the internal system clocks to the secondary authoritative time source if the primary authoritative time source is unavailable.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-8 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIt may be necessary to employ geolocation information to determine that the secondary authoritative time source is in a different geographic region.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.9", + "title": "PROTECTION OF AUDIT INFORMATION", + "props": [ + { + "class": "name", + "value": "AU-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect audit information and audit tools from unauthorized access, modification, and deletion.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit information includes all information, for example, audit records, audit settings, audit reports, and personally identifiable information, needed to successfully audit system activity. This control focuses on technical or automated protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#au.6" + }, + { + "href": "#au.11" + }, + { + "href": "#au.14" + }, + { + "href": "#au.15" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.6" + }, + { + "href": "#sc.8" + }, + { + "href": "#si.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.9.1", + "title": "HARDWARE WRITE-ONCE MEDIA", + "props": [ + { + "class": "name", + "value": "AU-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eWrite audit trails to hardware-enforced, write-once media.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to the initial generation of audit trails (i.e., the collection of audit records that represents the audit information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. The enhancement does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes, for example, Compact Disk-Recordable (CD-R) and Digital Video Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB) drives results in write-protected, but not write-once, media.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.4" + }, + { + "href": "#au.5" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.2", + "title": "STORE ON SEPARATE PHYSICAL SYSTEMS OR COMPONENTS", + "props": [ + { + "class": "name", + "value": "AU-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eStore audit records \u003cinsert param-id=\"au-9_a\"/\u003e in a repository that is part of a physically different system or system component than the system or component being audited.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eStoring audit information in a repository separate from the audited system or system component helps to ensure that a compromise of the system being audited does not also result in a compromise of the audit records. It may also enable management of audit records as an organization-wide activity. This control enhancement applies to initial generation as well as backup or long-term storage of audit information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.4" + }, + { + "href": "#au.5" + } + ] + } + ], + "params": [ + { + "id": "au-9_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.3", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "AU-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement cryptographic mechanisms to protect the integrity of audit information and audit tools.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic mechanisms used for protecting the integrity of audit information include, for example, signed hash functions using asymmetric cryptography enabling distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.10" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.4", + "title": "ACCESS BY SUBSET OF PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "AU-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize access to management of audit functionality to only \u003cinsert param-id=\"au-9_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndividuals with privileged access to a system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit activities or modifying audit records. This control enhancement requires that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.5" + } + ] + } + ], + "params": [ + { + "id": "au-9_b", + "desc": "organization-defined subset of privileged users", + "value": "organization-defined subset of privileged users" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.5", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "AU-9 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce dual authorization for [Selection (one or more): movement; deletion] of \u003cinsert param-id=\"au-9_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose different selection options for different types of audit information. Dual authorization mechanisms require the approval of two authorized individuals to execute. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + } + ] + } + ], + "params": [ + { + "id": "au-9_c", + "desc": "organization-defined audit information", + "value": "organization-defined audit information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.6", + "title": "READ ONLY ACCESS", + "props": [ + { + "class": "name", + "value": "AU-9 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize read-only access to audit information to \u003cinsert param-id=\"au-9_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRestricting privileged user authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users, for example, deleting audit records to cover up malicious activity.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "au-9_d", + "desc": "organization-defined subset of privileged users", + "value": "organization-defined subset of privileged users" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.9.7", + "title": "STORE ON COMPONENT WITH DIFFERENT OPERATING SYSTEM", + "props": [ + { + "class": "name", + "value": "AU-9 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eStore audit information on a component running a different operating system than the system or component being audited.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement helps reduce the risk of a vulnerability specific to an operating system resulting in a compromise of the audit records. Related controls: AU-4, AU-5, AU-11, SC-29.\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "au.10", + "title": "NON-REPUDIATION", + "params": [ + { + "id": "au-10_a", + "desc": "organization-defined actions to be covered by non-repudiation", + "value": "organization-defined actions to be covered by non-repudiation" + } + ], + "props": [ + { + "class": "name", + "value": "AU-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect against an individual (or process acting on behalf of an individual) falsely denying having performed \u003cinsert param-id=\"au-10_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTypes of individual actions covered by non-repudiation include creating information, sending and receiving messages, and approving information. Non-repudiation protects individuals against later claims by authors of not having authored certain documents; senders of not having transmitted messages; receivers of not having received messages; and individual signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from a certain individual, or if an individual took specific actions, for example, sending an email, signing a contract, or approving a procurement request, or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms including, for example, digital signatures and digital message receipts.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.9" + }, + { + "href": "#pm.12" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.16" + }, + { + "href": "#sc.17" + }, + { + "href": "#sc.23" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.10.1", + "title": "ASSOCIATION OF IDENTITIES", + "props": [ + { + "class": "name", + "value": "AU-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "au.10.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eBind the identity of the information producer with the information to \u003cinsert param-id=\"au-10_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "au.10.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eProvide the means for authorized individuals to determine the identity of the producer of the information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of the binding between the information producer and the information based on the security category of the information and relevant risk factors.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + } + ], + "params": [ + { + "id": "au-10_b", + "desc": "organization-defined strength of binding", + "value": "organization-defined strength of binding" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.10.2", + "title": "VALIDATE BINDING OF INFORMATION PRODUCER IDENTITY", + "props": [ + { + "class": "name", + "value": "AU-10 (2)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "au.10.2.a", + "prose": [ + "\u003cp class=\"description\"\u003eValidate the binding of the information producer identity to the information at \u003cinsert param-id=\"au-10_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "au.10.2.b", + "prose": [ + "\u003cp class=\"description\"\u003ePerform \u003cinsert param-id=\"au-10_d\"/\u003e in the event of a validation error.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement prevents the modification of information between production and review. The validation of bindings can be achieved, for example, using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + } + ], + "params": [ + { + "id": "au-10_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "au-10_d", + "desc": "organization-defined actions", + "value": "organization-defined actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.10.3", + "title": "CHAIN OF CUSTODY", + "props": [ + { + "class": "name", + "value": "AU-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain reviewer or releaser identity and credentials within the established chain of custody for all information reviewed or released.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eChain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each person who handled the evidence, the date and time it was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release/transfer function, the system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, this control enhancement provides organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, this control enhancement ensures that only approved review functions are employed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.10.4", + "title": "VALIDATE BINDING OF INFORMATION REVIEWER IDENTITY", + "props": [ + { + "class": "name", + "value": "AU-10 (4)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "au.10.4.a", + "prose": [ + "\u003cp class=\"description\"\u003eValidate the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between \u003cinsert param-id=\"au-10_e\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "au.10.4.b", + "prose": [ + "\u003cp class=\"description\"\u003ePerform \u003cinsert param-id=\"au-10_f\"/\u003e in the event of a validation error.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-10 (4)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement prevents the modification of information between review and transfer/release. The validation of bindings can be achieved, for example, using cryptographic checksums. Organizations determine validations are in response to user requests or generated automatically.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + } + ], + "params": [ + { + "id": "au-10_e", + "desc": "organization-defined security domains", + "value": "organization-defined security domains" + }, + { + "id": "au-10_f", + "desc": "organization-defined actions", + "value": "organization-defined actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.10.5", + "title": "DIGITAL SIGNATURES", + "props": [ + { + "class": "name", + "value": "AU-10 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.13" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "au.11", + "title": "AUDIT RECORD RETENTION", + "params": [ + { + "id": "au-11_a", + "desc": "organization-defined time-period consistent with records retention policy", + "value": "organization-defined time-period consistent with records retention policy" + } + ], + "props": [ + { + "class": "name", + "value": "AU-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRetain audit records for \u003cinsert param-id=\"au-11_a\"/\u003e to provide support for after-the-fact investigations of security and privacy incidents and to meet regulatory and organizational information retention requirements.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations retain audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.4" + }, + { + "href": "#au.5" + }, + { + "href": "#au.6" + }, + { + "href": "#au.9" + }, + { + "href": "#au.14" + }, + { + "href": "#mp.6" + }, + { + "href": "#ra.5" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.11.1", + "title": "LONG-TERM RETRIEVAL CAPABILITY", + "props": [ + { + "class": "name", + "value": "AU-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"au-11_b\"/\u003e to ensure that long-term audit records generated by the system can be retrieved.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement helps to ensure that, from a technological perspective, audit records requiring long-term storage (on the order of years) can be accessed and read when needed. Measures employed by organizations to help facilitate the retrieval of audit records include, for example, converting records to newer formats, retaining equipment capable of reading the records, and retaining necessary documentation to help organizational personnel understand how to interpret the records.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "au-11_b", + "desc": "organization-defined measures", + "value": "organization-defined measures" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.12", + "title": "AUDIT GENERATION", + "params": [ + { + "id": "au-12_a", + "desc": "organization-defined system components", + "value": "organization-defined system components" + }, + { + "id": "au-12_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "AU-12" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "au.12a", + "prose": [ + "\u003cp class=\"description\"\u003eProvide audit record generation capability for the auditable event types in AU-2 a. at \u003cinsert param-id=\"au-12_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12a." + } + ] + }, + { + "class": "item", + "id": "au.12b", + "prose": [ + "\u003cp class=\"description\"\u003eAllow \u003cinsert param-id=\"au-12_b\"/\u003e to select which auditable event types are to be audited by specific components of the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12b." + } + ] + }, + { + "class": "item", + "id": "au.12c", + "prose": [ + "\u003cp class=\"description\"\u003eGenerate audit records for the event types defined in AU-2 d. with the content in AU-3.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "AU-12c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit records can be generated from many different system components. The list of audited event types is the set of event types for which audits are to be generated. These event types are a subset of all event types for which the system can generate audit records.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#ac.17" + }, + { + "href": "#au.2" + }, + { + "href": "#au.3" + }, + { + "href": "#au.4" + }, + { + "href": "#au.5" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#au.14" + }, + { + "href": "#cm.5" + }, + { + "href": "#ma.4" + }, + { + "href": "#mp.4" + }, + { + "href": "", + "value": "PM-12 SC-18" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + }, + { + "href": "#si.10" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.12.1", + "title": "SYSTEM-WIDE AND TIME-CORRELATED AUDIT TRAIL", + "props": [ + { + "class": "name", + "value": "AU-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCompile audit records from \u003cinsert param-id=\"au-12_c\"/\u003e into a system-wide (logical or physical) audit trail that is time-correlated to within \u003cinsert param-id=\"au-12_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.8" + } + ] + } + ], + "params": [ + { + "id": "au-12_c", + "desc": "organization-defined system components", + "value": "organization-defined system components" + }, + { + "id": "au-12_d", + "desc": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail", + "value": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.12.2", + "title": "STANDARDIZED FORMATS", + "props": [ + { + "class": "name", + "value": "AU-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProduce a system-wide (logical or physical) audit trail composed of audit records in a standardized format.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit information that is normalized to common standards promotes interoperability and exchange of such information between dissimilar devices and systems. This facilitates production of event information that can be more readily analyzed and correlated. Standard formats for audit records include, for example, system log records and audit records compliant with Common Event Expressions (CEE). If logging mechanisms within systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.12.3", + "title": "CHANGES BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "AU-12 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide and implement the capability for \u003cinsert param-id=\"au-12_e\"/\u003e to change the auditing to be performed on \u003cinsert param-id=\"au-12_f\"/\u003e based on \u003cinsert param-id=\"au-12_g\"/\u003e within \u003cinsert param-id=\"au-12_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of event types to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near real-time, within minutes, or within hours.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + } + ] + } + ], + "params": [ + { + "id": "au-12_e", + "desc": "organization-defined individuals or roles", + "value": "organization-defined individuals or roles" + }, + { + "id": "au-12_f", + "desc": "organization-defined system components", + "value": "organization-defined system components" + }, + { + "id": "au-12_g", + "desc": "organization-defined selectable event criteria", + "value": "organization-defined selectable event criteria" + }, + { + "id": "au-12_h", + "desc": "organization-defined time thresholds", + "value": "organization-defined time thresholds" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.12.4", + "title": "QUERY PARAMETER AUDITS OF PERSONALLY IDENTIFIABLE INFORMATION", + "props": [ + { + "class": "name", + "value": "AU-12 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide and implement the capability for auditing the parameters of user query events for data sets containing personally identifiable information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eQuery parameters are explicit criteria that a user or automated system submits to a system to retrieve data. Auditing of query parameters within systems for datasets that contain personally identifiable information augments an organization's ability to track and understand the access, usage, or sharing of personally identifiable information by authorized personnel.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.13", + "title": "MONITORING FOR INFORMATION DISCLOSURE", + "params": [ + { + "id": "au-13_a", + "desc": "organization-defined open source information and/or information sites", + "value": "organization-defined open source information and/or information sites" + }, + { + "id": "au-13_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AU-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor \u003cinsert param-id=\"au-13_a\"/\u003e \u003cinsert param-id=\"au-13_b\"/\u003e for evidence of unauthorized disclosure of organizational information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOpen source information includes, for example, social networking sites.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.22" + }, + { + "href": "#pe.3" + }, + { + "href": "#pm.12" + }, + { + "href": "#ra.5" + }, + { + "href": "#sc.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.13.1", + "title": "USE OF AUTOMATED TOOLS", + "props": [ + { + "class": "name", + "value": "AU-13 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can include, for example, automated scripts to monitor new posts on selected websites, and commercial services providing notifications and alerts to organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.13.2", + "title": "REVIEW OF MONITORED SITES", + "props": [ + { + "class": "name", + "value": "AU-13 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eReview the open source information sites being monitored \u003cinsert param-id=\"au-13_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "au-13_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.14", + "title": "SESSION AUDIT", + "props": [ + { + "class": "name", + "value": "AU-14" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide and implement the capability for authorized users to select a user session to capture/record or view/hear.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSession audits include, for example, monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable laws, Executive Orders, directives, policies, regulations, standard, and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#au.2" + }, + { + "href": "#au.3" + }, + { + "href": "#au.4" + }, + { + "href": "#au.5" + }, + { + "href": "#au.8" + }, + { + "href": "#au.9" + }, + { + "href": "#au.11" + }, + { + "href": "#au.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.14.1", + "title": "SYSTEM START-UP", + "props": [ + { + "class": "name", + "value": "AU-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInitiate session audits automatically at system start-up.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.14.2", + "title": "CAPTURE AND RECORD CONTENT", + "props": [ + { + "class": "name", + "value": "AU-14 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide and implement the capability for authorized users to capture, record, and log content related to a user session.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.14.3", + "title": "REMOTE VIEWING AND LISTENING", + "props": [ + { + "class": "name", + "value": "AU-14 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide and implement the capability for authorized users to remotely view and hear content related to an established user session in real time.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.15", + "title": "ALTERNATE AUDIT CAPABILITY", + "params": [ + { + "id": "au-15_a", + "desc": "organization-defined alternate audit functionality", + "value": "organization-defined alternate audit functionality" + } + ], + "props": [ + { + "class": "name", + "value": "AU-15" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide an alternate audit capability in the event of a failure in primary audit capability that implements \u003cinsert param-id=\"au-15_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSince an alternate audit capability may be a short-term protection employed until the failure in the primary auditing capability is corrected, organizations may determine that the alternate audit capability need only provide a subset of the primary audit functionality that is impacted by the failure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.5" + }, + { + "href": "#au.9" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "au.16", + "title": "CROSS-ORGANIZATIONAL AUDITING", + "params": [ + { + "id": "au-16_a", + "desc": "organization-defined methods", + "value": "organization-defined methods" + }, + { + "id": "au-16_b", + "desc": "organization-defined audit information", + "value": "organization-defined audit information" + } + ], + "props": [ + { + "class": "name", + "value": "AU-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"au-16_a\"/\u003e for coordinating \u003cinsert param-id=\"au-16_b\"/\u003e among external organizations when audit information is transmitted across organizational boundaries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen organizations use systems and/or services of external organizations, the auditing capability necessitates a coordinated approach across organizations. For example, maintaining the identity of individuals that requested specific services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance and privacy ramifications. Therefore, it is often the case that cross-organizational auditing simply captures the identity of individuals issuing requests at the initial system, and subsequent systems record that the requests emanated from authorized individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#au.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "au.16.1", + "title": "IDENTITY PRESERVATION", + "props": [ + { + "class": "name", + "value": "AU-16 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that the identity of individuals is preserved in cross-organizational audit trails.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "au.16.2", + "title": "SHARING OF AUDIT INFORMATION", + "props": [ + { + "class": "name", + "value": "AU-16 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide cross-organizational audit information to \u003cinsert param-id=\"au-16_c\"/\u003e based on \u003cinsert param-id=\"au-16_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBecause of the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only the home organizations of individuals have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.4" + }, + { + "href": "#si.4" + } + ] + } + ], + "params": [ + { + "id": "au-16_c", + "desc": "organization-defined organizations", + "value": "organization-defined organizations" + }, + { + "id": "au-16_d", + "desc": "organization-defined cross-organizational sharing agreements", + "value": "organization-defined cross-organizational sharing agreements" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "ASSESSMENT, AUTHORIZATION, AND MONITORING", + "controls": [ + { + "class": "SP800-53", + "id": "ca.1", + "title": "ASSESSMENT, AUTHORIZATION, AND MONITORING POLICY AND PROCEDURES", + "params": [ + { + "id": "ca-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ca-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "ca-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ca-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ca.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"ca-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "ca.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eA security and privacy assessment, authorization, and monitoring policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "ca.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "ca.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "ca.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the security and privacy assessment, authorization, and monitoring policy and the associated security and privacy assessment, authorization, and monitoring controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ca.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"ca-1_b\"/\u003e to manage the security and privacy assessment, authorization, and monitoring policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1b." + } + ] + }, + { + "class": "item", + "id": "ca.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current security and privacy assessment, authorization, and monitoring:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "ca.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"ca-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1c.1." + } + ] + }, + { + "class": "item", + "id": "ca.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"ca-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ca.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the security and privacy assessment, authorization, and monitoring procedures implement the security and privacy assessment, authorization, and monitoring policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1d." + } + ] + }, + { + "class": "item", + "id": "ca.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of security and privacy assessment, authorization, and monitoring policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the CA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.2", + "title": "ASSESSMENTS", + "params": [ + { + "id": "ca-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ca-2_b", + "desc": "organization-defined individuals or roles", + "value": "organization-defined individuals or roles" + } + ], + "props": [ + { + "class": "name", + "value": "CA-2" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ca.2a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop a security and privacy assessment plan that describes the scope of the assessment including:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2a." + } + ], + "parts": [ + { + "class": "item", + "id": "ca.2a.1", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity and privacy controls and control enhancements under assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2a.1." + } + ] + }, + { + "class": "item", + "id": "ca.2a.2", + "prose": [ + "\u003cp class=\"description\"\u003eAssessment procedures to be used to determine control effectiveness; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2a.2." + } + ] + }, + { + "class": "item", + "id": "ca.2a.3", + "prose": [ + "\u003cp class=\"description\"\u003eAssessment environment, assessment team, and assessment roles and responsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2a.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "ca.2b", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure the assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2b." + } + ] + }, + { + "class": "item", + "id": "ca.2c", + "prose": [ + "\u003cp class=\"description\"\u003eAssess the security and privacy controls in the system and its environment of operation \u003cinsert param-id=\"ca-2_a\"/\u003e to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security and privacy requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2c." + } + ] + }, + { + "class": "item", + "id": "ca.2d", + "prose": [ + "\u003cp class=\"description\"\u003eProduce a security and privacy assessment report that document the results of the assessment; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2d." + } + ] + }, + { + "class": "item", + "id": "ca.2e", + "prose": [ + "\u003cp class=\"description\"\u003eProvide the results of the security and privacy control assessment to \u003cinsert param-id=\"ca-2_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-2e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations assess security and privacy controls in organizational systems and the environments in which those systems operate as part of initial and ongoing authorizations; FISMA annual assessments; continuous monitoring; and system development life cycle activities. Assessments ensure that organizations meet information security and privacy requirements; identify weaknesses and deficiencies in the development process; provide essential information needed to make risk-based decisions as part of authorization processes; and ensure compliance to vulnerability mitigation procedures. Organizations conduct assessments on the implemented controls from Chapter Three as documented in security plans and privacy plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security and privacy posture of systems during the entire life cycle. Assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting requirements. Assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of authorization decisions are provided to authorizing officials, senior agency officials for privacy, and/or authorizing official designated representatives. To satisfy annual assessment requirements, organizations can use assessment results from the following sources: initial or ongoing system authorizations; continuous monitoring; or system development life cycle activities. Organizations ensure that assessment results are current, relevant to the determination of control effectiveness, and obtained with the appropriate level of assessor independence. Existing control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. After the initial authorizations, organizations assess controls during continuous monitoring. Organizations also establish the frequency for ongoing assessments in accordance with organizational continuous monitoring strategies. External audits including, for example, audits by external entities such as regulatory agencies, are outside the scope of this control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.20" + }, + { + "href": "#ca.5" + }, + { + "href": "#ca.6" + }, + { + "href": "#ca.7" + }, + { + "href": "#pm.9" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.11" + }, + { + "href": "#sa.12" + }, + { + "href": "#sc.38" + }, + { + "href": "#si.3" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.2.1", + "title": "INDEPENDENT ASSESSORS", + "props": [ + { + "class": "name", + "value": "CA-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy independent assessors or assessment teams to conduct security and privacy control assessments.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndependent assessors or assessment teams are individuals or groups conducting impartial assessments of systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest regarding development, operation, sustainment, or management of the systems under assessment or the determination of control effectiveness. To achieve impartiality, assessors should not create a mutual or conflicting interest with the organizations where the assessments are being conducted; assess their own work; act as management or employees of the organizations they are serving; or place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of systems and/or the risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted assessment services have sufficient independence, for example, when system owners are not directly involved in contracting processes or cannot influence the impartiality of assessors conducting assessments. When organizations that own the systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.2.2", + "title": "SPECIALIZED ASSESSMENTS", + "props": [ + { + "class": "name", + "value": "CA-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInclude as part of security and privacy control assessments, \u003cinsert param-id=\"ca-2_c\"/\u003e, [Selection: announced; unannounced], [Selection (one or more): in-depth monitoring; vulnerability scanning; malicious user testing; insider threat assessment; performance and load testing; \u003cinsert param-id=\"ca-2_d\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can conduct specialized assessments including, for example, verification, validation, insider threat assessments, malicious user testing, system monitoring, and other forms of testing. Such assessments can improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security and privacy. Organizations conduct these types of specialized assessments in accordance with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability remediation processes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.3" + }, + { + "href": "#si.2" + } + ] + } + ], + "params": [ + { + "id": "ca-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ca-2_d", + "desc": "organization-defined other forms of assessment", + "value": "organization-defined other forms of assessment" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.2.3", + "title": "EXTERNAL ORGANIZATIONS", + "props": [ + { + "class": "name", + "value": "CA-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAccept the results of security and privacy control assessments of \u003cinsert param-id=\"ca-2_e\"/\u003e performed by \u003cinsert param-id=\"ca-2_f\"/\u003e when the assessment meets \u003cinsert param-id=\"ca-2_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may rely on security and privacy control assessments of organizational systems by other (external) organizations. Using such assessments and reusing existing assessment evidence can significantly decrease the time and resources required for assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations consider in determining whether to accept assessment results from external organizations can vary. Such factors include, for example, past assessment experiences the organization has had with the organization conducting the assessment; the reputation that the assessing organization has with regard to assessments; the level of detail of supporting assessment evidence provided; and the mandates imposed by applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ca-2_e", + "desc": "organization-defined system", + "value": "organization-defined system" + }, + { + "id": "ca-2_f", + "desc": "organization-defined external organization", + "value": "organization-defined external organization" + }, + { + "id": "ca-2_g", + "desc": "organization-defined requirements", + "value": "organization-defined requirements" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-115", + "value": "NIST Special Publication 800-115" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.3", + "title": "SYSTEM INTERCONNECTIONS", + "params": [ + { + "id": "ca-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-3" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ca.3a", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize connections from the system to other systems using Interconnection Security Agreements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3a." + } + ] + }, + { + "class": "item", + "id": "ca.3b", + "prose": [ + "\u003cp class=\"description\"\u003eDocument, for each interconnection, the interface characteristics, security and privacy requirements, and the nature of the information communicated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3b." + } + ] + }, + { + "class": "item", + "id": "ca.3c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update Interconnection Security Agreements \u003cinsert param-id=\"ca-3_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to dedicated connections between two or more separate systems and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations consider the risks that may be introduced when systems are connected to other systems with different security and privacy requirements and controls, including systems within the same organization and systems external to the organization. Authorizing officials determine the risk associated with system connections and the appropriate controls employed. If interconnecting systems have the same authorizing official, organizations do not need to develop Interconnection Security Agreements. Instead, those organizations can describe the interface characteristics between the interconnecting systems in their respective security and privacy plans. If interconnecting systems have different authorizing officials within the same organization, the organizations can develop Interconnection Security Agreements or they can describe the interface characteristics between the systems in the security and privacy plans for the respective systems. Organizations may also incorporate Interconnection Security Agreement information into formal contracts, especially for interconnections established between federal agencies and nonfederal organizations. Risk considerations also include systems sharing the same networks. As part of the risk assessment of connecting to external systems, organizations consider the number and types of transitive connections that exist when establishing such connections.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.20" + }, + { + "href": "#au.16" + }, + { + "href": "#ia.3" + }, + { + "href": "#pl.2" + }, + { + "href": "#ra.3" + }, + { + "href": "#sa.9" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.3.1", + "title": "UNCLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS", + "props": [ + { + "class": "name", + "value": "CA-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit the direct connection of an \u003cinsert param-id=\"ca-3_b\"/\u003e to an external network without the use of \u003cinsert param-id=\"ca-3_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations typically do not have control over external networks including the Internet. Approved boundary protection devices including, for example, routers and firewalls. mediate communications and information flows between unclassified national security systems and external networks.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ca-3_b", + "desc": "organization-defined unclassified, national security system", + "value": "organization-defined unclassified, national security system" + }, + { + "id": "ca-3_c", + "desc": "organization-defined boundary protection device", + "value": "organization-defined boundary protection device" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.3.2", + "title": "CLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS", + "props": [ + { + "class": "name", + "value": "CA-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit the direct connection of a classified, national security system to an external network without the use of \u003cinsert param-id=\"ca-3_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations typically do not have control over external networks including the Internet. Approved boundary protection devices including, for example, routers and firewalls, mediate communications and information flows between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface/cross-domain systems) provide information flow enforcement from systems to external networks.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ca-3_d", + "desc": "organization-defined boundary protection device", + "value": "organization-defined boundary protection device" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.3.3", + "title": "UNCLASSIFIED NON-NATIONAL SECURITY SYSTEM CONNECTIONS", + "props": [ + { + "class": "name", + "value": "CA-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit the direct connection of an \u003cinsert param-id=\"ca-3_e\"/\u003e to an external network without the use of \u003cinsert param-id=\"ca-3_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations typically do not have control over external networks including the Internet. Approved boundary protection devices including, for example, routers and firewalls mediate communications and information flows between unclassified non-national security systems and external networks.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ca-3_e", + "desc": "organization-defined unclassified, non-national security system", + "value": "organization-defined unclassified, non-national security system" + }, + { + "id": "ca-3_f", + "desc": "Assignment; organization-defined boundary protection device", + "value": "Assignment; organization-defined boundary protection device" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.3.4", + "title": "CONNECTIONS TO PUBLIC NETWORKS", + "props": [ + { + "class": "name", + "value": "CA-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit the direct connection of an \u003cinsert param-id=\"ca-3_g\"/\u003e to a public network.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA public network is any network accessible to the general public including, for example, the Internet and organizational extranets with public access.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ca-3_g", + "desc": "organization-defined system", + "value": "organization-defined system" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.3.5", + "title": "RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS", + "props": [ + { + "class": "name", + "value": "CA-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy a deny-all, permit-by-exception policy for allowing \u003cinsert param-id=\"ca-3_h\"/\u003e to connect to external systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can constrain system connectivity to external domains by employing a deny-all, permit-by-exception policy known as whitelisting. Organizations determine what exceptions, if any, are acceptable. This control enhancement is applied to a system that is connected to another system. Alternatively, control enhancement SC-7(5) applies to any type of network communications.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.7" + } + ] + } + ], + "params": [ + { + "id": "ca-3_h", + "desc": "organization-defined systems", + "value": "organization-defined systems" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.3.6", + "title": "SECONDARY AND TERTIARY CONNECTIONS", + "props": [ + { + "class": "name", + "value": "CA-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ca.3.6.a", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify secondary and tertiary connections to the interconnected systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3 (6)(a)" + } + ] + }, + { + "class": "item", + "id": "ca.3.6.b", + "prose": [ + "\u003cp class=\"description\"\u003eTake measures to ensure that connections are severed when security and privacy controls on identified secondary and tertiary systems cannot be verified or validated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-3 (6)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor certain critical systems and applications including, for example, high-value assets, it may be necessary to identify second and third level connections to the interconnected systems. The transparency of the protection measures in place in secondary and tertiary systems connected directly or indirectly to organizational systems is essential in understanding the actual security and privacy risks resulting from those interconnections. Organizational systems can inherit risk from secondary and tertiary systems through those connections and make the organizational systems more susceptible to threats, hazards, and adverse consequences.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-47", + "value": "NIST Special Publication 800-47" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.4", + "title": "SECURITY CERTIFICATION", + "props": [ + { + "class": "name", + "value": "CA-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CA-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ca.2" + } + ] + }, + { + "class": "SP800-53", + "id": "ca.5", + "title": "PLAN OF ACTION AND MILESTONES", + "params": [ + { + "id": "ca-5_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-5" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ca.5a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop a plan of action and milestones for the system to document the planned remedial actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5a." + } + ] + }, + { + "class": "item", + "id": "ca.5b", + "prose": [ + "\u003cp class=\"description\"\u003eUpdate existing plan of action and milestones \u003cinsert param-id=\"ca-5_a\"/\u003e based on the findings from control assessments, impact analyses, and continuous monitoring activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-5b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlans of action and milestones are required documents in authorization packages and are subject to federal reporting requirements established by OMB.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#pm.4" + }, + { + "href": "#pm.9" + }, + { + "href": "#ra.7" + }, + { + "href": "#si.2" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.5.1", + "title": "AUTOMATION SUPPORT FOR ACCURACY AND CURRENCY", + "props": [ + { + "class": "name", + "value": "CA-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to ensure that the plan of action and milestones for the system is accurate, up to date, and readily available.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.6", + "title": "AUTHORIZATION", + "params": [ + { + "id": "ca-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-6" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ca.6a", + "prose": [ + "\u003cp class=\"description\"\u003eAssign a senior-level executive or manager as the authorizing official for the system and for any common controls inherited by the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6a." + } + ] + }, + { + "class": "item", + "id": "ca.6b", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the authorizing official, before commencing operations:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6b." + } + ], + "parts": [ + { + "class": "item", + "id": "ca.6b.1", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes the system for processing; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6b.1." + } + ] + }, + { + "class": "item", + "id": "ca.6b.2", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorizes the common controls inherited by the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6b.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ca.6c", + "prose": [ + "\u003cp class=\"description\"\u003eUpdate the authorizations \u003cinsert param-id=\"ca-6_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-6c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthorizations are official management decisions by senior officials to authorize operation of systems (including the controls inherited by those systems) and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security and privacy controls. Authorizing officials provide budgetary oversight for organizational systems or assume responsibility for the mission and business operations supported by those systems. The authorization process is a federal responsibility and therefore, authorizing officials must be federal employees. Authorizing officials are responsible and accountable for security and privacy risks associated with the operation and use of organizational systems. Nonfederal organizations may have similar processes to authorize their systems and senior officials that assume the authorization role and associated responsibilities. Organizations conduct ongoing authorizations of systems by implementing continuous monitoring programs. Robust continuous monitoring programs reduce the need for separate reauthorization processes. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages including the security and privacy plans, security and privacy assessment reports, and plans of action and milestones, is updated on an ongoing basis. This provides authorizing officials, system owners, and common control providers with an up-to-date status of the security and privacy state of their systems, controls, and environments of operation. To reduce the cost of reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#pm.9" + }, + { + "href": "#pm.10" + }, + { + "href": "#sa.10" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.6.1", + "title": "JOINT AUTHORIZATION — SAME ORGANIZATION", + "props": [ + { + "class": "name", + "value": "CA-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy a joint authorization process for the system that includes multiple authorizing officials from the same organization conducting the authorization.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAssigning multiple authorizing officials from the same organization to serve as co-authorizing officials for the system, increases the level of independence in the risk-based decision making process for security and privacy. It also implements the concepts of separation of duties and dual authorization as applied to the system authorization process. This enhancement is most relevant for interconnected systems, shared systems, and systems with one or more information owners.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.6.2", + "title": "JOINT AUTHORIZATION — DIFFERENT ORGANIZATIONS", + "props": [ + { + "class": "name", + "value": "CA-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy a joint authorization process for the system that includes multiple authorizing officials with at least one authorizing official from an organization external to the organization conducting the authorization.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAssigning multiple authorizing officials, at least one of which comes from an external organization, to serve as co-authorizing officials for the system, increases the level of independence in the risk-based decision making process for security and privacy. It also implements the concepts of separation of duties and dual authorization and as applied to the system authorization process. Employing authorizing officials from external organizations to supplement the authorization official from the organization owning or hosting the system may be necessary when those organizations have a vested interest or equities in the outcome of the authorization decision. This situation may occur with interconnected systems, shared systems, and systems with one or more information owners. Accordingly, the authorizing officials from the external organizations may be considered key stakeholders of the system undergoing authorization.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.7", + "title": "CONTINUOUS MONITORING", + "params": [ + { + "id": "ca-7_a", + "desc": "organization-defined metrics", + "value": "organization-defined metrics" + }, + { + "id": "ca-7_b", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "id": "ca-7_c", + "desc": "organization-defined frequencies", + "value": "organization-defined frequencies" + }, + { + "id": "ca-7_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ca-7_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop a security and privacy continuous monitoring strategy and implement security and privacy continuous monitoring programs that include:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ca.7a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishing the following security and privacy metrics to be monitored: \u003cinsert param-id=\"ca-7_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7a." + } + ] + }, + { + "class": "item", + "id": "ca.7b", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishing \u003cinsert param-id=\"ca-7_b\"/\u003e for monitoring and \u003cinsert param-id=\"ca-7_c\"/\u003e for ongoing assessment of security and privacy control effectiveness;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7b." + } + ] + }, + { + "class": "item", + "id": "ca.7c", + "prose": [ + "\u003cp class=\"description\"\u003eOngoing security and privacy control assessments in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7c." + } + ] + }, + { + "class": "item", + "id": "ca.7d", + "prose": [ + "\u003cp class=\"description\"\u003eOngoing security and privacy status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7d." + } + ] + }, + { + "class": "item", + "id": "ca.7e", + "prose": [ + "\u003cp class=\"description\"\u003eCorrelation and analysis of security- and privacy-related information generated by security and privacy control assessments and monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7e." + } + ] + }, + { + "class": "item", + "id": "ca.7f", + "prose": [ + "\u003cp class=\"description\"\u003eResponse actions to address results of the analysis of security- and privacy-related information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7f." + } + ] + }, + { + "class": "item", + "id": "ca.7g", + "prose": [ + "\u003cp class=\"description\"\u003eReporting the security and privacy status of the organization and organizational systems to \u003cinsert param-id=\"ca-7_d\"/\u003e \u003cinsert param-id=\"ca-7_e\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContinuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security and privacy to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess security and privacy controls and associated risks at a frequency sufficient to support risk-based decisions. The results of continuous monitoring generate risk response actions by organizations. When monitoring the effectiveness of controls that have been grouped into capabilities, a root-cause analysis may be needed to determine the specific control that has failed. Continuous monitoring programs also allow organizations to maintain the authorizations of systems and common controls over time in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security- and privacy-related information on a continuing basis through reports and dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing authorization decisions. Automation supports more frequent updates to hardware, software, and firmware inventories, authorization packages, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.6" + }, + { + "href": "#au.6" + }, + { + "href": "#ca.2" + }, + { + "href": "#ca.5" + }, + { + "href": "#ca.6" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.11" + }, + { + "href": "#ia.5" + }, + { + "href": "#pe.6" + }, + { + "href": "#pl.2" + }, + { + "href": "#pm.4" + }, + { + "href": "#pm.6" + }, + { + "href": "#pm.9" + }, + { + "href": "#pm.10" + }, + { + "href": "#pm.12" + }, + { + "href": "#pm.14" + }, + { + "href": "#pm.32" + }, + { + "href": "#ra.3" + }, + { + "href": "#ra.5" + }, + { + "href": "#ra.7" + }, + { + "href": "#sa.11" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.38" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.7.1", + "title": "INDEPENDENT ASSESSMENT", + "props": [ + { + "class": "name", + "value": "CA-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy independent assessors or assessment teams to monitor the security and privacy controls in the system on an ongoing basis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can maximize the value of control assessments during the continuous monitoring process by requiring that assessments be conducted by assessors with appropriate levels of independence. The level of assessor independence required is based on organizational continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not create a mutual or conflicting interest with the organizations where the assessments are being conducted; assess their own work; act as management or employees of the organizations they are serving; or place themselves in advocacy positions for the organizations acquiring their services.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.7.2", + "title": "TYPES OF ASSESSMENTS", + "props": [ + { + "class": "name", + "value": "CA-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CA-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ca.2" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.7.3", + "title": "TREND ANALYSES", + "props": [ + { + "class": "name", + "value": "CA-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy trend analyses to determine if security and privacy control implementations, the frequency of continuous monitoring activities, and the types of activities used in the continuous monitoring process need to be modified based on empirical data.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTrend analyses can include, for example, examining recent threat information regarding the types of threat events that have occurred within the organization or the federal government, success rates of certain types of attacks, emerging vulnerabilities in specific technologies, evolving social engineering techniques, results from multiple control assessments, the effectiveness of configuration settings, and findings from Inspectors General or auditors.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.7.4", + "title": "RISK MONITORING", + "props": [ + { + "class": "name", + "value": "CA-7 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure risk monitoring is an integral part of the continuous monitoring strategy that includes the following:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ca.7.4.a", + "prose": [ + "\u003cp class=\"description\"\u003eEffectiveness monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "ca.7.4.b", + "prose": [ + "\u003cp class=\"description\"\u003eCompliance monitoring; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "ca.7.4.c", + "prose": [ + "\u003cp class=\"description\"\u003eChange monitoring.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-7 (4)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEffectiveness monitoring determines the ongoing effectiveness of implemented risk response measures. Compliance monitoring verifies that the required risk response measures are implemented. It also verifies that security and privacy requirements are satisfied. Change monitoring identifies changes to organizational systems and environments of operation that may affect security and privacy risk.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-115", + "value": "NIST Special Publication 800-115" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ca.8", + "title": "PENETRATION TESTING", + "params": [ + { + "id": "ca-8_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ca-8_b", + "desc": "organization-defined systems or system components", + "value": "organization-defined systems or system components" + } + ], + "props": [ + { + "class": "name", + "value": "CA-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eConduct penetration testing \u003cinsert param-id=\"ca-8_a\"/\u003e on \u003cinsert param-id=\"ca-8_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePenetration testing is a specialized type of assessment conducted on systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Penetration testing goes beyond automated vulnerability scanning and is most effectively conducted by penetration testing agents and teams with demonstrable skills and experience that, depending on the scope of the penetration testing, include technical expertise in network, operating system, and/or application level security. Penetration testing can be used to either validate vulnerabilities or determine the degree of penetration resistance of systems to adversaries within specified constraints. Such constraints include, for example, time, resources, and skills. Penetration testing attempts to duplicate the actions of adversaries in carrying out attacks against organizations and provides a more in-depth analysis of security- and privacy-related weaknesses or deficiencies. Organizations can use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of a system and can exercise both physical and technical controls. A standard method for penetration testing includes, for example, pretest analysis based on full knowledge of the target system; pretest identification of potential vulnerabilities based on pretest analysis; and testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before commencement of penetration testing scenarios. Organizations correlate the rules of engagement for the penetration tests with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Risk assessments guide the decisions on the level of independence required for personnel conducting penetration testing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.11" + }, + { + "href": "#sa.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.8.1", + "title": "INDEPENDENT PENETRATION AGENT OR TEAM", + "props": [ + { + "class": "name", + "value": "CA-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy an independent penetration agent or penetration team to perform penetration testing on the system or system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndependent penetration agents or teams are individuals or groups who conduct impartial penetration testing of organizational systems. Impartiality implies that penetration agents or teams are free from any perceived or actual conflicts of interest with respect to the development, operation, or management of the systems that are the targets of the penetration testing. Supplemental guidance for CA-2(1) provides additional information on independent assessments that can be applied to penetration testing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.8.2", + "title": "RED TEAM EXERCISES", + "props": [ + { + "class": "name", + "value": "CA-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"ca-8_c\"/\u003e to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRed team exercises extend the objectives of penetration testing by examining the security and privacy posture of organizations and their ability to implement effective cyber defenses. Red team exercises reflect simulated attempts by adversaries to compromise organizational missions and business functions and provide a comprehensive assessment of the security and privacy state of systems and organizations. Simulated attempts by adversaries to compromise missions and business functions and the systems that support those missions and functions may include technology-based attacks and social engineering-based attacks. Technology-based attacks include interactions with hardware, software, or firmware components and/or mission and business processes. Social engineering-based attacks include interactions via email, telephone, shoulder surfing, or personal conversations. Red team exercises are most effectively conducted by penetration testing agents and teams with knowledge of and experience with current adversarial tactics, techniques, procedures, and tools. While penetration testing may be primarily laboratory-based testing, organizations can use red team exercises to provide more comprehensive assessments that reflect real-world conditions. Red team exercises can be used to improve security and privacy awareness and training and to assess control effectiveness.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ca-8_c", + "desc": "organization-defined red team exercises", + "value": "organization-defined red team exercises" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ca.8.3", + "title": "FACILITY PENETRATION TESTING", + "props": [ + { + "class": "name", + "value": "CA-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy a penetration testing process that includes \u003cinsert param-id=\"ca-8_d\"/\u003e [Selection: announced; unannounced] attempts to bypass or circumvent controls associated with physical access points to the facility.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#pe.3" + } + ] + } + ], + "params": [ + { + "id": "ca-8_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ca.9", + "title": "INTERNAL SYSTEM CONNECTIONS", + "params": [ + { + "id": "ca-9_a", + "desc": "organization-defined system components or classes of components", + "value": "organization-defined system components or classes of components" + } + ], + "props": [ + { + "class": "name", + "value": "CA-9" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ca.9a", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize internal connections of \u003cinsert param-id=\"ca-9_a\"/\u003e to the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9a." + } + ] + }, + { + "class": "item", + "id": "ca.9b", + "prose": [ + "\u003cp class=\"description\"\u003eDocument, for each internal connection, the interface characteristics, security and privacy requirements, and the nature of the information communicated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CA-9b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to connections between organizational systems and separate constituent system components. These intra-system connections, include, for example, system connections with mobile devices, notebook computers, desktop computers, workstations, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal system connection, organizations can authorize internal connections for a class of system components with common characteristics and/or configurations. This can include, for example, all digital printers, scanners, and copiers with a specified processing, transmission, and storage capability or all smart phones with a specific baseline configuration.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#cm.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ca.9.1", + "title": "COMPLIANCE CHECKS", + "props": [ + { + "class": "name", + "value": "CA-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePerform security and privacy compliance checks on constituent system components prior to the establishment of the internal connection.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCompliance checks may include, for example, verification of the relevant baseline configuration.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-124", + "value": "NIST Special Publication 800-124" + } + ] + } + ] + } + } + ] + }, + { + "class": "family", + "title": "CONFIGURATION MANAGEMENT", + "controls": [ + { + "class": "SP800-53", + "id": "cm.1", + "title": "CONFIGURATION MANAGEMENT POLICY AND PROCEDURES", + "params": [ + { + "id": "cm-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "cm-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "cm-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"cm-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "cm.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eA configuration management policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "cm.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "cm.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "cm.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the configuration management policy and the associated configuration management controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "cm.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"cm-1_b\"/\u003e to manage configuration management policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1b." + } + ] + }, + { + "class": "item", + "id": "cm.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current configuration management:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "cm.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"cm-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1c.1." + } + ] + }, + { + "class": "item", + "id": "cm.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"cm-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "cm.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the configuration management procedures implement the configuration management policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1d." + } + ] + }, + { + "class": "item", + "id": "cm.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the configuration management policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the CM family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.2", + "title": "BASELINE CONFIGURATION", + "params": [ + { + "id": "cm-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-2_b", + "desc": "Assignment organization-defined circumstances", + "value": "Assignment organization-defined circumstances" + } + ], + "props": [ + { + "class": "name", + "value": "CM-2" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.2a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and maintain under configuration control, a current baseline configuration of the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2a." + } + ] + }, + { + "class": "item", + "id": "cm.2b", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the baseline configuration of the system:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2b." + } + ], + "parts": [ + { + "class": "item", + "id": "cm.2b.1", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"cm-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2b.1." + } + ] + }, + { + "class": "item", + "id": "cm.2b.2", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required due to \u003cinsert param-id=\"cm-2_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2b.2." + } + ] + }, + { + "class": "item", + "id": "cm.2b.3", + "prose": [ + "\u003cp class=\"description\"\u003eWhen system components are installed or upgraded.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2b.3." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control establishes baseline configurations for systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to systems. Baseline configurations include information about system components, network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational systems change over time. Baseline configurations of systems reflect the current enterprise architecture.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#au.6" + }, + { + "href": "#ca.9" + }, + { + "href": "#cm.1" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + }, + { + "href": "#cm.9" + }, + { + "href": "#cp.9" + }, + { + "href": "#cp.10" + }, + { + "href": "#cp.12" + }, + { + "href": "#pl.8" + }, + { + "href": "#pm.5" + }, + { + "href": "#sa.10" + }, + { + "href": "#sc.18" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.2.1", + "title": "REVIEWS AND UPDATES", + "props": [ + { + "class": "name", + "value": "CM-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.2" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.2", + "title": "AUTOMATION SUPPORT FOR ACCURACY AND CURRENCY", + "props": [ + { + "class": "name", + "value": "CM-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms that help organizations maintain consistent baseline configurations for systems include, for example, hardware and software inventory tools, configuration management tools, and network management tools. Such tools can be deployed and/or allocated as common controls, at the system level, or at the operating system or component level including, for example, on workstations, servers, notebook computers, network components, or mobile devices. Tools can be used, for example, to track version numbers on operating systems, applications, types of software installed, and current patch levels. This control enhancement can be satisfied by the implementation of CM-8(2) for organizations that choose to combine system component inventory and baseline configuration activities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + }, + { + "href": "#ia.3" + }, + { + "href": "#ra.5" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.3", + "title": "RETENTION OF PREVIOUS CONFIGURATIONS", + "props": [ + { + "class": "name", + "value": "CM-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRetain \u003cinsert param-id=\"cm-2_c\"/\u003e to support rollback.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRetaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "cm-2_c", + "desc": "organization-defined previous versions of baseline configurations of the system", + "value": "organization-defined previous versions of baseline configurations of the system" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.4", + "title": "UNAUTHORIZED SOFTWARE", + "props": [ + { + "class": "name", + "value": "CM-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-7(4)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "CM-7(4)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.5", + "title": "AUTHORIZED SOFTWARE", + "props": [ + { + "class": "name", + "value": "CM-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-7(5)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "CM-7(5)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.6", + "title": "DEVELOPMENT AND TEST ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "CM-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain a baseline configuration for system development and test environments that is managed separately from the operational baseline configuration.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEstablishing separate baseline configurations for development, testing, and operational environments helps protect systems from unplanned/unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, management of operational configurations typically emphasizes the need for stability, while management of development/test configurations requires greater flexibility. Configurations in the test environment mirror the configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. This control enhancement requires separate configurations but not necessarily separate physical environments.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.4" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.7" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.2.7", + "title": "CONFIGURE SYSTEMS AND COMPONENTS FOR HIGH-RISK AREAS", + "props": [ + { + "class": "name", + "value": "CM-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.2.7.a", + "prose": [ + "\u003cp class=\"description\"\u003eIssue \u003cinsert param-id=\"cm-2_d\"/\u003e with \u003cinsert param-id=\"cm-2_e\"/\u003e to individuals traveling to locations that the organization deems to be of significant risk; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "cm.2.7.b", + "prose": [ + "\u003cp class=\"description\"\u003eApply \u003cinsert param-id=\"cm-2_f\"/\u003e to the components when the individuals return from travel.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-2 (7)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen it is known that systems or system components will be in high-risk areas, additional controls may be implemented to counter the increased threat in such areas. For example, organizations can take specific actions for notebook computers used by individuals departing on and returning from travel. These actions can include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific safeguards to the component after travel is completed. Specially configured notebook computers include, for example, computers with sanitized hard drives, limited applications, and more stringent configuration settings. Specified safeguards applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering; and purging and reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "cm-2_d", + "desc": "organization-defined systems or system components", + "value": "organization-defined systems or system components" + }, + { + "id": "cm-2_e", + "desc": "organization-defined configurations", + "value": "organization-defined configurations" + }, + { + "id": "cm-2_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-124", + "value": "NIST Special Publication 800-124" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.3", + "title": "CONFIGURATION CHANGE CONTROL", + "params": [ + { + "id": "cm-3_a", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + }, + { + "id": "cm-3_b", + "desc": "organization-defined configuration change control element", + "value": "organization-defined configuration change control element" + }, + { + "id": "cm-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-3_d", + "desc": "organization-defined configuration change conditions", + "value": "organization-defined configuration change conditions" + } + ], + "props": [ + { + "class": "name", + "value": "CM-3" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.3a", + "prose": [ + "\u003cp class=\"description\"\u003eDetermine the types of changes to the system that are configuration-controlled;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3a." + } + ] + }, + { + "class": "item", + "id": "cm.3b", + "prose": [ + "\u003cp class=\"description\"\u003eReview proposed configuration-controlled changes to the system and approve or disapprove such changes with explicit consideration for security impact analyses;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3b." + } + ] + }, + { + "class": "item", + "id": "cm.3c", + "prose": [ + "\u003cp class=\"description\"\u003eDocument configuration change decisions associated with the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3c." + } + ] + }, + { + "class": "item", + "id": "cm.3d", + "prose": [ + "\u003cp class=\"description\"\u003eImplement approved configuration-controlled changes to the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3d." + } + ] + }, + { + "class": "item", + "id": "cm.3e", + "prose": [ + "\u003cp class=\"description\"\u003eRetain records of configuration-controlled changes to the system for \u003cinsert param-id=\"cm-3_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3e." + } + ] + }, + { + "class": "item", + "id": "cm.3f", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor and review activities associated with configuration-controlled changes to the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3f." + } + ] + }, + { + "class": "item", + "id": "cm.3g", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinate and provide oversight for configuration change control activities through \u003cinsert param-id=\"cm-3_b\"/\u003e that convenes [Selection (one or more): \u003cinsert param-id=\"cm-3_c\"/\u003e; \u003cinsert param-id=\"cm-3_d\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConfiguration change controls for organizational systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of systems; changes to configuration settings for component products; unscheduled or unauthorized changes; and changes to remediate vulnerabilities. Configuration change control elements can include such entities as committees or boards. Typical processes for managing configuration changes to systems include, for example, Configuration Control Boards or Change Advisory Boards that review and approve proposed changes to systems. For new development systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards or Change Advisory Boards. Auditing of changes includes activities before and after changes are made to organizational systems and the auditing activities required to implement such changes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.9" + }, + { + "href": "#cm.11" + }, + { + "href": "#ia.3" + }, + { + "href": "#ma.2" + }, + { + "href": "#pe.16" + }, + { + "href": "#sa.10" + }, + { + "href": "#sa.19" + }, + { + "href": "#sc.28" + }, + { + "href": "#sc.34" + }, + { + "href": "#sc.37" + }, + { + "href": "#si.2" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + }, + { + "href": "#si.10" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.3.1", + "title": "AUTOMATED DOCUMENTATION, NOTIFICATION, AND PROHIBITION OF CHANGES", + "props": [ + { + "class": "name", + "value": "CM-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "cm.3.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eDocument proposed changes to the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "cm.3.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eNotify \u003cinsert param-id=\"cm-3_e\"/\u003e of proposed changes to the system and request change approval;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(b)" + } + ] + }, + { + "class": "item", + "id": "cm.3.1.c", + "prose": [ + "\u003cp class=\"description\"\u003eHighlight proposed changes to the system that have not been approved or disapproved by \u003cinsert param-id=\"cm-3_f\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(c)" + } + ] + }, + { + "class": "item", + "id": "cm.3.1.d", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit changes to the system until designated approvals are received;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(d)" + } + ] + }, + { + "class": "item", + "id": "cm.3.1.e", + "prose": [ + "\u003cp class=\"description\"\u003eDocument all changes to the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(e)" + } + ] + }, + { + "class": "item", + "id": "cm.3.1.f", + "prose": [ + "\u003cp class=\"description\"\u003eNotify \u003cinsert param-id=\"cm-3_g\"/\u003e when approved changes to the system are completed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)(f)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "cm-3_e", + "desc": "organized-defined approval authorities", + "value": "organized-defined approval authorities" + }, + { + "id": "cm-3_f", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + }, + { + "id": "cm-3_g", + "desc": "organization-defined personnel", + "value": "organization-defined personnel" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.2", + "title": "TESTING, VALIDATION, AND DOCUMENTATION OF CHANGES", + "props": [ + { + "class": "name", + "value": "CM-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTest, validate, and document changes to the system before fully implementing the changes on the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eChanges to systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with system operations. Individuals or groups conducting tests understand organizational security and privacy policies and procedures, system security and privacy policies and procedures, and the health, safety, and environmental risks associated with specific facilities or processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If systems must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. If the testing cannot be conducted on operational systems, organizations employ compensating controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.3", + "title": "AUTOMATED CHANGE IMPLEMENTATION", + "props": [ + { + "class": "name", + "value": "CM-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to implement changes to the current system baseline and deploy the updated baseline across the installed base.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.4", + "title": "SECURITY REPRESENTATIVE", + "props": [ + { + "class": "name", + "value": "CM-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire an \u003cinsert param-id=\"cm-3_h\"/\u003e to be a member of the \u003cinsert param-id=\"cm-3_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation security representatives can include, for example, Senior Agency Information Security Officers, system security officers, or system security managers. Representation by personnel with information security expertise is important because changes to system configurations can have unintended side effects, some of which may be security-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security state of organizational systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "cm-3_h", + "desc": "organization-defined information security representative", + "value": "organization-defined information security representative" + }, + { + "id": "cm-3_i", + "desc": "organization-defined configuration change control element", + "value": "organization-defined configuration change control element" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.5", + "title": "AUTOMATED SECURITY RESPONSE", + "props": [ + { + "class": "name", + "value": "CM-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"cm-3_j\"/\u003e automatically if baseline configurations are changed in an unauthorized manner.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity responses include, for example, halting system processing, halting selected system functions, or issuing alerts or notifications to organizational personnel when there is an unauthorized modification of a configuration item.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "cm-3_j", + "desc": "organization-defined security responses", + "value": "organization-defined security responses" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.3.6", + "title": "CRYPTOGRAPHY MANAGEMENT", + "props": [ + { + "class": "name", + "value": "CM-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that cryptographic mechanisms used to provide \u003cinsert param-id=\"cm-3_k\"/\u003e are under configuration management.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRegardless of the cryptographic means employed, organizations ensure that there are processes and procedures in place to manage those means. For example, if devices use certificates for identification and authentication, a process is implemented to address the expiration of those certificates.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + } + ] + } + ], + "params": [ + { + "id": "cm-3_k", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-124", + "value": "NIST Special Publication 800-124" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.4", + "title": "SECURITY AND PRIVACY IMPACT ANALYSES", + "props": [ + { + "class": "name", + "value": "CM-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAnalyze changes to the system to determine potential security and privacy impacts prior to change implementation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational personnel with security or privacy responsibilities conduct impact analyses. Individuals conducting impact analyses possess the necessary skills and technical expertise to analyze the changes to systems and the associated security or privacy ramifications. Security and privacy impact analyses include, for example, reviewing security and privacy plans, policies, and procedures to understand security and privacy control requirements; reviewing system design documentation to understand control implementation and how specific changes might affect the controls; and determining how potential changes to a system create new risks to the privacy of individuals and the ability of implemented controls to mitigate those risks. Impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security or privacy controls are required.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.8" + }, + { + "href": "#cm.9" + }, + { + "href": "#ma.2" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.10" + }, + { + "href": "#si.2" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.4.1", + "title": "SEPARATE TEST ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "CM-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAnalyze changes to the system in a separate test environment before implementation in an operational environment, looking for security and privacy impacts due to flaws, weaknesses, incompatibility, or intentional malice.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSeparate test environment in this context means an environment that is physically or logically isolated and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not used, organizations determine the strength of mechanism required when implementing logical separation.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.11" + }, + { + "href": "#sc.7" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.4.2", + "title": "VERIFICATION OF SECURITY AND PRIVACY FUNCTIONS", + "props": [ + { + "class": "name", + "value": "CM-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCheck the security and privacy functions after system changes, to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security and privacy requirements for the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eImplementation in this context refers to installing changed code in the operational system.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.11" + }, + { + "href": "#sc.3" + }, + { + "href": "#si.6" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.5", + "title": "ACCESS RESTRICTIONS FOR CHANGE", + "props": [ + { + "class": "name", + "value": "CM-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDefine, document, approve, and enforce physical and logical access restrictions associated with changes to the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAny changes to the hardware, software, and/or firmware components of systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access systems for purposes of initiating changes, including upgrades and modifications. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (i.e., changes implemented into external interfaces rather than directly into systems), and change windows (i.e., changes occur only during specified times).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + }, + { + "href": "#cm.9" + }, + { + "href": "#pe.3" + }, + { + "href": "#sc.28" + }, + { + "href": "#sc.34" + }, + { + "href": "#sc.37" + }, + { + "href": "#si.2" + }, + { + "href": "#si.10" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.5.1", + "title": "AUTOMATED ACCESS ENFORCEMENT AND AUDITING", + "props": [ + { + "class": "name", + "value": "CM-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.5.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce access restrictions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "cm.5.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eGenerate audit records of the enforcement actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations log access records associated with applying configuration changes to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#au.12" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.11" + }, + { + "href": "#si.12" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.2", + "title": "REVIEW SYSTEM CHANGES", + "props": [ + { + "class": "name", + "value": "CM-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eReview system changes \u003cinsert param-id=\"cm-5_a\"/\u003e and \u003cinsert param-id=\"cm-5_b\"/\u003e to determine whether unauthorized changes have occurred.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndications that warrant review of system changes and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#cm.3" + } + ] + } + ], + "params": [ + { + "id": "cm-5_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-5_b", + "desc": "organization-defined circumstances", + "value": "organization-defined circumstances" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.3", + "title": "SIGNED COMPONENTS", + "props": [ + { + "class": "name", + "value": "CM-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent the installation of \u003cinsert param-id=\"cm-5_c\"/\u003e without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSoftware and firmware components prevented from installation unless signed with recognized and approved certificates include, for example, software and firmware version updates, patches, service packs, device drivers, and basic input output system (BIOS) updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures, is a method of code authentication.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + }, + { + "href": "#sc.13" + }, + { + "href": "#si.7" + } + ] + } + ], + "params": [ + { + "id": "cm-5_c", + "desc": "organization-defined software and firmware components", + "value": "organization-defined software and firmware components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.4", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "CM-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce dual authorization for implementing changes to \u003cinsert param-id=\"cm-5_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ dual authorization to ensure that any changes to selected system components and information cannot occur unless two qualified individuals implement such changes. The two individuals possess sufficient skills and expertise to determine if the proposed changes are correct implementations of approved changes. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.5" + }, + { + "href": "#cm.3" + } + ] + } + ], + "params": [ + { + "id": "cm-5_d", + "desc": "organization-defined system components and system-level information", + "value": "organization-defined system components and system-level information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.5", + "title": "PRIVILEGE LIMITATION FOR PRODUCTION AND OPERATION", + "props": [ + { + "class": "name", + "value": "CM-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.5.5.a", + "prose": [ + "\u003cp class=\"description\"\u003eLimit privileges to change system components and system-related information within a production or operational environment; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "cm.5.5.b", + "prose": [ + "\u003cp class=\"description\"\u003eReview and reevaluate privileges \u003cinsert param-id=\"cm-5_e\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-5 (5)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn many organizations, systems support many missions and business functions. Limiting privileges to change system components with respect to operational systems is necessary because changes to a system component may have far-reaching effects on mission and business processes supported by the system. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + } + ] + } + ], + "params": [ + { + "id": "cm-5_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.6", + "title": "LIMIT LIBRARY PRIVILEGES", + "props": [ + { + "class": "name", + "value": "CM-5 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eLimit privileges to change software resident within software libraries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSoftware libraries include privileged programs.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.5.7", + "title": "AUTOMATIC IMPLEMENTATION OF SECURITY SAFEGUARDS", + "props": [ + { + "class": "name", + "value": "CM-5 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.7" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.6", + "title": "CONFIGURATION SETTINGS", + "params": [ + { + "id": "cm-6_a", + "desc": "organization-defined common secure configurations", + "value": "organization-defined common secure configurations" + }, + { + "id": "cm-6_b", + "desc": "organization-defined system components", + "value": "organization-defined system components" + }, + { + "id": "cm-6_c", + "desc": "organization-defined operational requirements", + "value": "organization-defined operational requirements" + } + ], + "props": [ + { + "class": "name", + "value": "CM-6" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.6a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish and document configuration settings for components employed within the system using \u003cinsert param-id=\"cm-6_a\"/\u003e that reflect the most restrictive mode consistent with operational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6a." + } + ] + }, + { + "class": "item", + "id": "cm.6b", + "prose": [ + "\u003cp class=\"description\"\u003eImplement the configuration settings;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6b." + } + ] + }, + { + "class": "item", + "id": "cm.6c", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify, document, and approve any deviations from established configuration settings for \u003cinsert param-id=\"cm-6_b\"/\u003e based on \u003cinsert param-id=\"cm-6_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6c." + } + ] + }, + { + "class": "item", + "id": "cm.6d", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor and control changes to the configuration settings in accordance with organizational policies and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-6d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConfiguration settings are the parameters that can be changed in hardware, software, or firmware components of the system that affect the security posture or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers, workstations, input/output devices, network devices, operating systems, and applications. Security-related parameters are those parameters impacting the security state of systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example, registry settings; account, file, directory permission settings; and settings for functions, ports, protocols, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific configuration settings for systems. The established settings become part of the systems configuration baseline. Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Implementation of a specific common secure configuration may be mandated at the organizational or mission/business process level or may be mandated at a higher level including, for example, by a regulatory agency. Common secure configurations include the United States Government Configuration Baseline (USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol provide an effective method to uniquely identify, track, and control configuration settings.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.19" + }, + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#ca.9" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.7" + }, + { + "href": "#cm.11" + }, + { + "href": "#cp.7" + }, + { + "href": "#cp.9" + }, + { + "href": "#cp.10" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.5" + }, + { + "href": "#pl.8" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.9" + }, + { + "href": "#sc.18" + }, + { + "href": "#sc.19" + }, + { + "href": "#sc.28" + }, + { + "href": "#sc.43" + }, + { + "href": "#si.2" + }, + { + "href": "#si.4" + }, + { + "href": "#si.6" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.6.1", + "title": "AUTOMATED MANAGEMENT, APPLICATION, AND VERIFICATION", + "props": [ + { + "class": "name", + "value": "CM-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to centrally manage, apply, and verify configuration settings for \u003cinsert param-id=\"cm-6_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#ca.7" + } + ] + } + ], + "params": [ + { + "id": "cm-6_d", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.6.2", + "title": "RESPOND TO UNAUTHORIZED CHANGES", + "props": [ + { + "class": "name", + "value": "CM-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"cm-6_e\"/\u003e to respond to unauthorized changes to \u003cinsert param-id=\"cm-6_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eResponses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected system processing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.4" + }, + { + "href": "#ir.6" + }, + { + "href": "#si.7" + } + ] + } + ], + "params": [ + { + "id": "cm-6_e", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "cm-6_f", + "desc": "organization-defined configuration settings", + "value": "organization-defined configuration settings" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.6.3", + "title": "UNAUTHORIZED CHANGE DETECTION", + "props": [ + { + "class": "name", + "value": "CM-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.6.4", + "title": "CONFORMANCE DEMONSTRATION", + "props": [ + { + "class": "name", + "value": "CM-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.4" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-70", + "value": "NIST Special Publication 800-70" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.7", + "title": "LEAST FUNCTIONALITY", + "params": [ + { + "id": "cm-7_a", + "desc": "organization-defined prohibited or restricted functions, ports, protocols, and/or services", + "value": "organization-defined prohibited or restricted functions, ports, protocols, and/or services" + } + ], + "props": [ + { + "class": "name", + "value": "CM-7" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.7a", + "prose": [ + "\u003cp class=\"description\"\u003eConfigure the system to provide only essential capabilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7a." + } + ] + }, + { + "class": "item", + "id": "cm.7b", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit or restrict the use of the following functions, ports, protocols, and/or services: \u003cinsert param-id=\"cm-7_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystems provide a wide variety of functions and services. Some of the functions and services routinely provided by default, may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component, but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations review functions and services provided by systems or components of systems, to determine which functions and services are candidates for elimination. Organizations consider disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of devices, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, protocols, ports, and services. Related Controls: AC-3, AC-4, CM-2, CM-5, CM-11, RA-5, SA-4, SA-5, SA-9, SA-15, SC-7, SC-37. SI-4.\u003c/p\u003e" + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.7.1", + "title": "PERIODIC REVIEW", + "props": [ + { + "class": "name", + "value": "CM-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.7.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eReview the system \u003cinsert param-id=\"cm-7_b\"/\u003e to identify unnecessary and/or nonsecure functions, ports, protocols, and services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "cm.7.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eDisable \u003cinsert param-id=\"cm-7_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can either decide the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are examples of less than secure protocols.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + } + ] + } + ], + "params": [ + { + "id": "cm-7_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-7_c", + "desc": "organization-defined functions, ports, protocols, and services within the system deemed to be unnecessary and/or nonsecure", + "value": "organization-defined functions, ports, protocols, and services within the system deemed to be unnecessary and/or nonsecure" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.7.2", + "title": "PREVENT PROGRAM EXECUTION", + "props": [ + { + "class": "name", + "value": "CM-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent program execution in accordance with [Selection (one or more): \u003cinsert param-id=\"cm-7_d\"/\u003e; rules authorizing the terms and conditions of software program usage].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses organizational policies restricting software usage as well as the terms and conditions imposed by the developer or manufacturer including, for example, software licensing and copyrights. Restrictions include, for example, restricting the roles allowed to approve program execution; prohibiting auto-execute; program blacklisting and whitelisting; or restricting the number of program instances executed at the same time.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + }, + { + "href": "#pm.5" + } + ] + } + ], + "params": [ + { + "id": "cm-7_d", + "desc": "organization-defined policies regarding software program usage and restrictions", + "value": "organization-defined policies regarding software program usage and restrictions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.7.3", + "title": "REGISTRATION COMPLIANCE", + "props": [ + { + "class": "name", + "value": "CM-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure compliance with \u003cinsert param-id=\"cm-7_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations use the registration process to manage, track, and provide oversight for systems and implemented functions, ports, protocols, and services.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "cm-7_e", + "desc": "organization-defined registration requirements for functions, ports, protocols, and services", + "value": "organization-defined registration requirements for functions, ports, protocols, and services" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.7.4", + "title": "UNAUTHORIZED SOFTWARE — BLACKLISTING", + "props": [ + { + "class": "name", + "value": "CM-7 (4)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.7.4.a", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify \u003cinsert param-id=\"cm-7_f\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "cm.7.4.b", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "cm.7.4.c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the list of unauthorized software programs \u003cinsert param-id=\"cm-7_g\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (4)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe process used to identify specific software programs or entire categories of software programs that are not authorized to execute on organizational systems is commonly referred to as blacklisting. Organizations can implement CM-7(5) instead of this control enhancement if whitelisting (the stronger of the two policies) is the preferred approach for restricting software program execution.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + }, + { + "href": "#cm.10" + }, + { + "href": "#pm.5" + } + ] + } + ], + "params": [ + { + "id": "cm-7_f", + "desc": "organization-defined software programs not authorized to execute on the system", + "value": "organization-defined software programs not authorized to execute on the system" + }, + { + "id": "cm-7_g", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.7.5", + "title": "AUTHORIZED SOFTWARE — WHITELISTING", + "props": [ + { + "class": "name", + "value": "CM-7 (5)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.7.5.a", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify \u003cinsert param-id=\"cm-7_h\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "cm.7.5.b", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (5)(b)" + } + ] + }, + { + "class": "item", + "id": "cm.7.5.c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the list of authorized software programs \u003cinsert param-id=\"cm-7_i\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-7 (5)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe process used to identify specific software programs or entire categories of software programs that are authorized to execute on organizational systems is commonly referred to as whitelisting. To effect comprehensive whitelisting and increase the strength of protection for attacks that bypass application level whitelisting, software programs may be decomposed into and monitored at multiple levels of detail. Software program levels of detail include, for example, applications, application programming interfaces, application modules, scripts, system processes, system services, kernel actions, registries, drivers, and dynamic link libraries. The concept of whitelisting may also be applied to user actions, ports, IP addresses, and media access control (MAC) addresses. Organizations consider verifying the integrity of white-listed software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + }, + { + "href": "#cm.10" + }, + { + "href": "#pm.5" + }, + { + "href": "#sa.10" + }, + { + "href": "#sc.34" + }, + { + "href": "#si.7" + } + ] + } + ], + "params": [ + { + "id": "cm-7_h", + "desc": "organization-defined software programs authorized to execute on the system", + "value": "organization-defined software programs authorized to execute on the system" + }, + { + "id": "cm-7_i", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.8", + "title": "SYSTEM COMPONENT INVENTORY", + "params": [ + { + "id": "cm-8_a", + "desc": "organization-defined information deemed necessary to achieve effective system component accountability", + "value": "organization-defined information deemed necessary to achieve effective system component accountability" + }, + { + "id": "cm-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-8" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.8a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop and document an inventory of system components that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a." + } + ], + "parts": [ + { + "class": "item", + "id": "cm.8a.1", + "prose": [ + "\u003cp class=\"description\"\u003eAccurately reflects the current system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a.1." + } + ] + }, + { + "class": "item", + "id": "cm.8a.2", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes all components within the authorization boundary of the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a.2." + } + ] + }, + { + "class": "item", + "id": "cm.8a.3", + "prose": [ + "\u003cp class=\"description\"\u003eIs at the level of granularity deemed necessary for tracking and reporting; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a.3." + } + ] + }, + { + "class": "item", + "id": "cm.8a.4", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes \u003cinsert param-id=\"cm-8_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "cm.8b", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the system component inventory \u003cinsert param-id=\"cm-8_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem components are discrete identifiable information technology assets that represent a building block of a system and include hardware, software, firmware, and virtual machines. Organizations may choose to implement centralized system component inventories that include components from all organizational systems. In such situations, organizations ensure that the inventories include system-specific information required for proper component accountability. Information necessary for effective accountability of system components includes, for example, hardware inventory specifications; software license information; software component owners; version numbers; and for networked components or devices, the machine names and network addresses. Inventory specifications include, for example, manufacturer; device type; model; serial number; and physical location.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.7" + }, + { + "href": "#cm.9" + }, + { + "href": "#cm.10" + }, + { + "href": "#cm.11" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.9" + }, + { + "href": "#ma.6" + }, + { + "href": "#pe.20" + }, + { + "href": "#pm.5" + }, + { + "href": "#pm.29" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#si.2" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.8.1", + "title": "UPDATES DURING INSTALLATION AND REMOVAL", + "props": [ + { + "class": "name", + "value": "CM-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUpdate the inventory of system components as an integral part of component installations, removals, and system updates.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.2", + "title": "AUTOMATED MAINTENANCE", + "props": [ + { + "class": "name", + "value": "CM-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations maintain system inventories to the extent feasible. Virtual machines, for example, can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. This control enhancement can be satisfied by the implementation of CM-2 (2) for organizations that choose to combine system component inventory and baseline configuration activities.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.3", + "title": "AUTOMATED UNAUTHORIZED COMPONENT DETECTION", + "props": [ + { + "class": "name", + "value": "CM-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.8.3.a", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms \u003cinsert param-id=\"cm-8_c\"/\u003e to detect the presence of unauthorized hardware, software, and firmware components within the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "cm.8.3.b", + "prose": [ + "\u003cp class=\"description\"\u003eTake the following actions when unauthorized components are detected: [Selection (one or more): disable network access by such components; isolate the components; notify \u003cinsert param-id=\"cm-8_d\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented within systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#ca.7" + }, + { + "href": "#ra.5" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + } + ], + "params": [ + { + "id": "cm-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cm-8_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.4", + "title": "ACCOUNTABILITY INFORMATION", + "props": [ + { + "class": "name", + "value": "CM-8 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes in the system component inventory information, a means for identifying by [Selection (one or more): name; position; role], individuals responsible and accountable for administering those components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIdentifying individuals who are both responsible and accountable for administering system components helps to ensure that the assigned components are properly administered and organizations can contact those individuals if some action is required, for example, the component is determined to be the source of a breach; the component needs to be recalled or replaced; or the component needs to be relocated.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.5", + "title": "NO DUPLICATE ACCOUNTING OF COMPONENTS", + "props": [ + { + "class": "name", + "value": "CM-8 (5)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.8.5.a", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that all components within the authorization boundary of the system are not duplicated in other system component inventories; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "cm.8.5.b", + "prose": [ + "\u003cp class=\"description\"\u003eIf a centralized component inventory is used, verify components are not assigned to multiple systems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8 (5)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses the potential problem of duplicate accounting of system components in large or complex interconnected systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.6", + "title": "ASSESSED CONFIGURATIONS AND APPROVED DEVIATIONS", + "props": [ + { + "class": "name", + "value": "CM-8 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInclude assessed component configurations and any approved deviations to current deployed configurations in the system component inventory.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on configuration settings established by organizations for system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.7", + "title": "CENTRALIZED REPOSITORY", + "props": [ + { + "class": "name", + "value": "CM-8 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a centralized repository for the inventory of system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to implement centralized system component inventories that include components from all organizational systems. Centralized repositories of system component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.8", + "title": "AUTOMATED LOCATION TRACKING", + "props": [ + { + "class": "name", + "value": "CM-8 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to support tracking of system components by geographic location.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of automated mechanisms to track the location of system components can increase the accuracy of component inventories. Such capability may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.9", + "title": "ASSIGNMENT OF COMPONENTS TO SYSTEMS", + "props": [ + { + "class": "name", + "value": "CM-8 (9)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.8.9.a", + "prose": [ + "\u003cp class=\"description\"\u003eAssign \u003cinsert param-id=\"cm-8_e\"/\u003e to a system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8 (9)(a)" + } + ] + }, + { + "class": "item", + "id": "cm.8.9.b", + "prose": [ + "\u003cp class=\"description\"\u003eReceive an acknowledgement from \u003cinsert param-id=\"cm-8_f\"/\u003e of this assignment.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-8 (9)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the types of system components that are subject to this control enhancement.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "cm-8_e", + "desc": "organization-defined acquired system components", + "value": "organization-defined acquired system components" + }, + { + "id": "cm-8_f", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.8.10", + "title": "DATA ACTION MAPPING", + "props": [ + { + "class": "name", + "value": "CM-8 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop and document a system map of data actions that process personally identifiable information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData actions are system operations that process personally identifiable information. Such processing encompasses the full information life cycle which includes collection, generation, transformation, use, disclosure, retention, disposal. Creating a system map of data actions supports a privacy risk assessment. The development of this map may necessitate coordination between the privacy and security programs regarding the covered data actions, the system components, and the definition of the authorization boundary.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.30" + }, + { + "href": "#cm.4" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.9", + "title": "CONFIGURATION MANAGEMENT PLAN", + "params": [ + { + "id": "cm-9_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "CM-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement a configuration management plan for the system that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "cm.9a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses roles, responsibilities, and configuration management processes and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9a." + } + ] + }, + { + "class": "item", + "id": "cm.9b", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9b." + } + ] + }, + { + "class": "item", + "id": "cm.9c", + "prose": [ + "\u003cp class=\"description\"\u003eDefines the configuration items for the system and places the configuration items under configuration management;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9c." + } + ] + }, + { + "class": "item", + "id": "cm.9d", + "prose": [ + "\u003cp class=\"description\"\u003eIs reviewed and approved by \u003cinsert param-id=\"cm-9_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9d." + } + ] + }, + { + "class": "item", + "id": "cm.9e", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the configuration management plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-9e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConfiguration management plans satisfy the requirements in configuration management policies while being tailored to individual systems. Such plans define processes and procedures for how configuration management is used to support system development life cycle activities. Configuration management plans are typically developed during the development and acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baselines, how to maintain system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the system components (i.e., hardware, software, firmware, and documentation) to be configuration-managed. As systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.8" + }, + { + "href": "#pl.2" + }, + { + "href": "#sa.10" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.9.1", + "title": "ASSIGNMENT OF RESPONSIBILITY", + "props": [ + { + "class": "name", + "value": "CM-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAssign responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked to develop configuration management processes using personnel who are not directly involved in system development or integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the system development and integration processes and configuration management processes to facilitate quality control and more effective oversight.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cm.10", + "title": "SOFTWARE USAGE RESTRICTIONS", + "props": [ + { + "class": "name", + "value": "CM-10" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.10a", + "prose": [ + "\u003cp class=\"description\"\u003eUse software and associated documentation in accordance with contract agreements and copyright laws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10a." + } + ] + }, + { + "class": "item", + "id": "cm.10b", + "prose": [ + "\u003cp class=\"description\"\u003eTrack the use of software and associated documentation protected by quantity licenses to control copying and distribution; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10b." + } + ] + }, + { + "class": "item", + "id": "cm.10c", + "prose": [ + "\u003cp class=\"description\"\u003eControl and document the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-10c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSoftware license tracking can be accomplished by manual methods or automated methods depending on organizational needs.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#au.6" + }, + { + "href": "#cm.7" + }, + { + "href": "#cm.8" + }, + { + "href": "#sc.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.10.1", + "title": "OPEN SOURCE SOFTWARE", + "props": [ + { + "class": "name", + "value": "CM-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish the following restrictions on the use of open source software: \u003cinsert param-id=\"cm-10_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOpen source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, there are also various licensing issues associated with open source software including, for example, the constraints on derivative use of such software.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.7" + } + ] + } + ], + "params": [ + { + "id": "cm-10_a", + "desc": "organization-defined restrictions", + "value": "organization-defined restrictions" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "cm.11", + "title": "USER-INSTALLED SOFTWARE", + "params": [ + { + "id": "cm-11_a", + "desc": "organization-defined policies", + "value": "organization-defined policies" + }, + { + "id": "cm-11_b", + "desc": "organization-defined methods", + "value": "organization-defined methods" + }, + { + "id": "cm-11_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-11" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.11a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish \u003cinsert param-id=\"cm-11_a\"/\u003e governing the installation of software by users;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11a." + } + ] + }, + { + "class": "item", + "id": "cm.11b", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce software installation policies through the following methods: \u003cinsert param-id=\"cm-11_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11b." + } + ] + }, + { + "class": "item", + "id": "cm.11c", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor policy compliance at \u003cinsert param-id=\"cm-11_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-11c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIf provided the necessary privileges, users have the ability to install software in organizational systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved \u0026#x93;app stores.\u0026#x94; Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods, automated methods, or both.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#au.6" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.7" + }, + { + "href": "#cm.8" + }, + { + "href": "#pl.4" + }, + { + "href": "#si.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.11.1", + "title": "ALERTS FOR UNAUTHORIZED INSTALLATIONS", + "props": [ + { + "class": "name", + "value": "CM-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-8(3)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "CM-8(3)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cm.11.2", + "title": "SOFTWARE INSTALLATION WITH PRIVILEGED STATUS", + "props": [ + { + "class": "name", + "value": "CM-11 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAllow user installation of software only with explicit privileged status.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged status can be obtained, for example, by serving in the role of system administrator.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "cm.12", + "title": "INFORMATION LOCATION", + "params": [ + { + "id": "cm-12_a", + "desc": "organization-defined information", + "value": "organization-defined information" + } + ], + "props": [ + { + "class": "name", + "value": "CM-12" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cm.12a", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify the location of \u003cinsert param-id=\"cm-12_a\"/\u003e and the specific system components on which the information resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-12a." + } + ] + }, + { + "class": "item", + "id": "cm.12b", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify and document the users who have access to the system and system components where the information resides; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-12b." + } + ] + }, + { + "class": "item", + "id": "cm.12c", + "prose": [ + "\u003cp class=\"description\"\u003eDocument changes to the location (i.e., system or system components) where the information resides.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CM-12c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the need to understand where information is being processed and stored and is typically applied with respect to Controlled Unclassified Information (CUI). The National Archives and Records Administration defines the types of information that are categorized as CUI. Information location includes identifying where specific information types and associated information reside in the system components that compose organizational systems; and how information is being processed so that information flow can be understood and adequate protection and policy management provided for such information and system components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.23" + }, + { + "href": "#cm.8" + }, + { + "href": "#pm.29" + }, + { + "href": "#sc.4" + }, + { + "href": "#sc.16" + }, + { + "href": "#sc.28" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cm.12.1", + "title": "AUTOMATED TOOLS TO SUPPORT INFORMATION LOCATION", + "props": [ + { + "class": "name", + "value": "CM-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUse automated tools to identify \u003cinsert param-id=\"cm-12_b\"/\u003e on \u003cinsert param-id=\"cm-12_c\"/\u003e to ensure adequate security and privacy controls are in place to protect organizational information and individual privacy.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement gives organizations the capability to check systems and selected system components for types of information to confirm such information resides on the component and to ensure that the required protection measures are in place for that component.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "cm-12_b", + "desc": "organization-defined information by information type", + "value": "organization-defined information by information type" + }, + { + "id": "cm-12_c", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + } + ] + }, + { + "class": "family", + "title": "CONTINGENCY PLANNING", + "controls": [ + { + "class": "SP800-53", + "id": "cp.1", + "title": "CONTINGENCY PLANNING POLICY AND PROCEDURES", + "params": [ + { + "id": "cp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "cp-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "cp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cp-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CP-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cp.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"cp-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "cp.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eA contingency planning policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "cp.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "cp.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "cp.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the contingency planning policy and the associated contingency planning controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "cp.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"cp-1_b\"/\u003e to manage the contingency planning policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1b." + } + ] + }, + { + "class": "item", + "id": "cp.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current contingency planning:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "cp.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"cp-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1c.1." + } + ] + }, + { + "class": "item", + "id": "cp.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"cp-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "cp.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the contingency planning procedures implement the contingency planning policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1d." + } + ] + }, + { + "class": "item", + "id": "cp.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the contingency planning policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the CP family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.2", + "title": "CONTINGENCY PLAN", + "params": [ + { + "id": "cp-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "cp-2_b", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "id": "cp-2_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cp-2_d", + "desc": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + } + ], + "props": [ + { + "class": "name", + "value": "CP-2" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cp.2a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop a contingency plan for the system that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a." + } + ], + "parts": [ + { + "class": "item", + "id": "cp.2a.1", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies essential missions and business functions and associated contingency requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.1." + } + ] + }, + { + "class": "item", + "id": "cp.2a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProvides recovery objectives, restoration priorities, and metrics;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.2." + } + ] + }, + { + "class": "item", + "id": "cp.2a.3", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses contingency roles, responsibilities, assigned individuals with contact information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.3." + } + ] + }, + { + "class": "item", + "id": "cp.2a.4", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses maintaining essential missions and business functions despite a system disruption, compromise, or failure;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.4." + } + ] + }, + { + "class": "item", + "id": "cp.2a.5", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses eventual, full system restoration without deterioration of the security and privacy controls originally planned and implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.5." + } + ] + }, + { + "class": "item", + "id": "cp.2a.6", + "prose": [ + "\u003cp class=\"description\"\u003eIs reviewed and approved by \u003cinsert param-id=\"cp-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2a.6." + } + ] + } + ] + }, + { + "class": "item", + "id": "cp.2b", + "prose": [ + "\u003cp class=\"description\"\u003eDistributes copies of the contingency plan to \u003cinsert param-id=\"cp-2_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2b." + } + ] + }, + { + "class": "item", + "id": "cp.2c", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinates contingency planning activities with incident handling activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2c." + } + ] + }, + { + "class": "item", + "id": "cp.2d", + "prose": [ + "\u003cp class=\"description\"\u003eReviews the contingency plan for the system \u003cinsert param-id=\"cp-2_c\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2d." + } + ] + }, + { + "class": "item", + "id": "cp.2e", + "prose": [ + "\u003cp class=\"description\"\u003eUpdates the contingency plan to address changes to the organization, system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2e." + } + ] + }, + { + "class": "item", + "id": "cp.2f", + "prose": [ + "\u003cp class=\"description\"\u003eCommunicates contingency plan changes to \u003cinsert param-id=\"cp-2_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2f." + } + ] + }, + { + "class": "item", + "id": "cp.2g", + "prose": [ + "\u003cp class=\"description\"\u003eProtects the contingency plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-2g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContingency planning for systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses system restoration and implementation of alternative mission or business processes when systems are compromised or breached. The effectiveness of contingency planning is maximized by considering such planning throughout the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving system resiliency. Contingency plans reflect the degree of restoration required for organizational systems since not all systems need to fully recover to achieve the level of continuity of operations desired. System recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to availability, contingency plans address other security-related events resulting in a reduction in mission or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of systems. Actions addressed in contingency plans include, for example, orderly and graceful degradation, system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By coordinating contingency planning with incident handling activities, organizations can ensure that the necessary planning activities are in place and activated in the event of a security incident.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.3" + }, + { + "href": "#cp.4" + }, + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + }, + { + "href": "#cp.8" + }, + { + "href": "#cp.9" + }, + { + "href": "#cp.10" + }, + { + "href": "#cp.11" + }, + { + "href": "#cp.13" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.6" + }, + { + "href": "#ir.8" + }, + { + "href": "#ir.9" + }, + { + "href": "#ma.6" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#pl.2" + }, + { + "href": "#pm.8" + }, + { + "href": "#pm.11" + }, + { + "href": "#sa.15" + }, + { + "href": "#sa.20" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.23" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.2.1", + "title": "COORDINATE WITH RELATED PLANS", + "props": [ + { + "class": "name", + "value": "CP-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinate contingency plan development with organizational elements responsible for related plans.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlans related to contingency plans for organizational systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant Emergency Plans.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.2", + "title": "CAPACITY PLANNING", + "props": [ + { + "class": "name", + "value": "CP-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eConduct capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCapacity planning is needed because different types of threats can result in a reduction of the available processing, telecommunications, and support services intended to support the organizational missions and business functions. Organizations need to anticipate degraded operations during contingency operations and factor such degradation into capacity planning. With respect to capacity planning, environmental support refers to any environmental support factor for which the organization determines that it needs to provide support in a contingency situation, even if in a degraded state. As always, such determinations are based on an assessment of risk, system categorization (impact level), and organizational risk tolerance.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.11" + }, + { + "href": "#pe.12" + }, + { + "href": "#pe.13" + }, + { + "href": "#pe.14" + }, + { + "href": "#pe.18" + }, + { + "href": "#sc.5" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.3", + "title": "RESUME ESSENTIAL MISSIONS AND BUSINESS FUNCTIONS", + "props": [ + { + "class": "name", + "value": "CP-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePlan for the resumption of essential missions and business functions within \u003cinsert param-id=\"cp-2_e\"/\u003e of contingency plan activation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time-period for resumption of essential missions and business functions may be dependent on the severity and extent of the disruptions to the system and its supporting infrastructure.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "cp-2_e", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.4", + "title": "RESUME ALL MISSIONS AND BUSINESS FUNCTIONS", + "props": [ + { + "class": "name", + "value": "CP-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePlan for the resumption of all missions and business functions within \u003cinsert param-id=\"cp-2_f\"/\u003e of contingency plan activation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time-period for resumption of missions and business functions may be dependent on the severity and extent of disruptions to the system and its supporting infrastructure.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "cp-2_f", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.5", + "title": "CONTINUE ESSENTIAL MISSIONS AND BUSINESS FUNCTIONS", + "props": [ + { + "class": "name", + "value": "CP-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePlan for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full system restoration at primary processing and/or storage sites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.6", + "title": "ALTERNATE PROCESSING AND STORAGE SITE", + "props": [ + { + "class": "name", + "value": "CP-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePlan for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustain that continuity through system restoration to primary processing and/or storage sites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.7", + "title": "COORDINATE WITH EXTERNAL SERVICE PROVIDERS", + "props": [ + { + "class": "name", + "value": "CP-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinate the contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen the capability of an organization to successfully carry out its core missions and business functions is dependent on external service providers, developing a timely and comprehensive contingency plan may become more challenging. In this situation, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.9" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.2.8", + "title": "IDENTIFY CRITICAL ASSETS", + "props": [ + { + "class": "name", + "value": "CP-2 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify critical system assets supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational criticality analysis or business continuity planning including, for example, as part of business impact analyses. Organizations identify critical system assets so additional safeguards and countermeasures can be employed (beyond those safeguards and countermeasures routinely implemented) to help ensure that organizational missions/business functions can continue to be conducted during contingency operations. The identification of critical information assets also facilitates the prioritization of organizational resources. Critical system assets include both technical and operational aspects. Technical aspects include, for example, information technology services, system components, information technology products, and mechanisms. Operational aspects include, for example, procedures (manually executed operations) and personnel (individuals operating technical safeguards and/or executing manual procedures). Organizational program protection plans can aid in identifying critical assets.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + }, + { + "href": "#ra.9" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.3", + "title": "CONTINGENCY TRAINING", + "params": [ + { + "id": "cp-3_a", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + }, + { + "id": "cp-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CP-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide contingency training to system users consistent with assigned roles and responsibilities:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "cp.3a", + "prose": [ + "\u003cp class=\"description\"\u003eWithin \u003cinsert param-id=\"cp-3_a\"/\u003e of assuming a contingency role or responsibility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3a." + } + ] + }, + { + "class": "item", + "id": "cp.3b", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required by system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3b." + } + ] + }, + { + "class": "item", + "id": "cp.3c", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"cp-3_b\"/\u003e thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-3c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, regular users may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to set up systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#at.4" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.4" + }, + { + "href": "#cp.8" + }, + { + "href": "#ir.2" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.9" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.3.1", + "title": "SIMULATED EVENTS", + "props": [ + { + "class": "name", + "value": "CP-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIncorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.3.2", + "title": "AUTOMATED TRAINING ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "CP-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to provide a more thorough and realistic contingency training environment.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.4", + "title": "CONTINGENCY PLAN TESTING", + "params": [ + { + "id": "cp-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "cp-4_b", + "desc": "organization-defined tests", + "value": "organization-defined tests" + } + ], + "props": [ + { + "class": "name", + "value": "CP-4" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cp.4a", + "prose": [ + "\u003cp class=\"description\"\u003eTest the contingency plan for the system \u003cinsert param-id=\"cp-4_a\"/\u003e using \u003cinsert param-id=\"cp-4_b\"/\u003e to determine the effectiveness of the plan and the organizational readiness to execute the plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4a." + } + ] + }, + { + "class": "item", + "id": "cp.4b", + "prose": [ + "\u003cp class=\"description\"\u003eReview the contingency plan test results; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4b." + } + ] + }, + { + "class": "item", + "id": "cp.4c", + "prose": [ + "\u003cp class=\"description\"\u003eInitiate corrective actions, if needed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMethods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include, for example, walk-through and tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive exercises. Organizations conduct testing based on the continuity requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals arising due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.3" + }, + { + "href": "#cp.8" + }, + { + "href": "#cp.9" + }, + { + "href": "#ir.3" + }, + { + "href": "#ir.4" + }, + { + "href": "#pl.2" + }, + { + "href": "#pm.14" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.4.1", + "title": "COORDINATE WITH RELATED PLANS", + "props": [ + { + "class": "name", + "value": "CP-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinate contingency plan testing with organizational elements responsible for related plans.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlans related to contingency plans for organizational systems include, for example, business continuity plans, disaster recovery plans, continuity of operations plans, crisis communications plans, critical infrastructure plans, cyber incident response plans, and occupant emergency plans. This control enhancement does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations should coordinate with those elements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.8" + }, + { + "href": "#pm.8" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.4.2", + "title": "ALTERNATE PROCESSING SITE", + "props": [ + { + "class": "name", + "value": "CP-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTest the contingency plan at the alternate processing site:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "cp.4.2.a", + "prose": [ + "\u003cp class=\"description\"\u003eTo familiarize contingency personnel with the facility and available resources; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "cp.4.2.b", + "prose": [ + "\u003cp class=\"description\"\u003eTo evaluate the capabilities of the alternate processing site to support contingency operations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-4 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.7" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.4.3", + "title": "AUTOMATED TESTING", + "props": [ + { + "class": "name", + "value": "CP-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to more thoroughly and effectively test the contingency plan.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms facilitate more thorough and effective testing of contingency plans. This occurs by providing more complete coverage of contingency issues; by selecting more realistic test scenarios and environments; and by effectively stressing the system and supported missions and business operations.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.4.4", + "title": "FULL RECOVERY AND RECONSTITUTION", + "props": [ + { + "class": "name", + "value": "CP-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInclude a full recovery and reconstitution of the system to a known state as part of contingency plan testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.10" + }, + { + "href": "#sc.24" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-84", + "value": "NIST Special Publication 800-84" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.5", + "title": "CONTINGENCY PLAN UPDATE", + "props": [ + { + "class": "name", + "value": "CP-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CP-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cp.2" + } + ] + }, + { + "class": "SP800-53", + "id": "cp.6", + "title": "ALTERNATE STORAGE SITE", + "props": [ + { + "class": "name", + "value": "CP-6" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cp.6a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish an alternate storage site including necessary agreements to permit the storage and retrieval of system backup information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-6a." + } + ] + }, + { + "class": "item", + "id": "cp.6b", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the alternate storage site provides security controls equivalent to that of the primary site.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-6b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlternate storage sites are sites that are geographically distinct from primary storage sites. An alternate storage site maintains duplicate copies of information and data if the primary storage site is not available. Items covered by alternate storage site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination of delivery/retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions and business functions despite disruption, compromise, or failure in organizational systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.7" + }, + { + "href": "#cp.8" + }, + { + "href": "#cp.9" + }, + { + "href": "#cp.10" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#pe.3" + }, + { + "href": "#sc.36" + }, + { + "href": "#si.13" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.6.1", + "title": "SEPARATION FROM PRIMARY SITE", + "props": [ + { + "class": "name", + "value": "CP-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThreats that affect alternate storage sites are defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.3" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.6.2", + "title": "RECOVERY TIME AND RECOVERY POINT OBJECTIVES", + "props": [ + { + "class": "name", + "value": "CP-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eConfigure the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.6.3", + "title": "ACCESSIBILITY", + "props": [ + { + "class": "name", + "value": "CP-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eArea-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include, for example, duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites; or planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.3" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.7", + "title": "ALTERNATE PROCESSING SITE", + "params": [ + { + "id": "cp-7_a", + "desc": "organization-defined system operations", + "value": "organization-defined system operations" + }, + { + "id": "cp-7_b", + "desc": "organization-defined time-period consistent with recovery time and recovery point objectives", + "value": "organization-defined time-period consistent with recovery time and recovery point objectives" + } + ], + "props": [ + { + "class": "name", + "value": "CP-7" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cp.7a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish an alternate processing site including necessary agreements to permit the transfer and resumption of \u003cinsert param-id=\"cp-7_a\"/\u003e for essential missions and business functions within \u003cinsert param-id=\"cp-7_b\"/\u003e when the primary processing capabilities are unavailable;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7a." + } + ] + }, + { + "class": "item", + "id": "cp.7b", + "prose": [ + "\u003cp class=\"description\"\u003eMake available at the alternate processing site, the equipment and supplies required to transfer and resume operations or put contracts in place to support delivery to the site within the organization-defined time-period for transfer and resumption; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7b." + } + ] + }, + { + "class": "item", + "id": "cp.7c", + "prose": [ + "\u003cp class=\"description\"\u003eProvide information security and privacy safeguards at the alternate processing site that are equivalent to those at the primary site.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-7c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability if the primary processing site is not available. Geographically distributed architectures may also be considered as alternate processing sites. Safeguards that are covered by alternate processing site agreements include, for example, environmental conditions at alternate sites; access rules; physical and environmental protection requirements; and the coordination for the transfer and assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions and business functions despite disruption, compromise, or failure in organizational systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.6" + }, + { + "href": "#cp.8" + }, + { + "href": "#cp.9" + }, + { + "href": "#cp.10" + }, + { + "href": "#ma.6" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.11" + }, + { + "href": "#pe.12" + }, + { + "href": "#pe.17" + }, + { + "href": "#sc.36" + }, + { + "href": "#si.13" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.7.1", + "title": "SEPARATION FROM PRIMARY SITE", + "props": [ + { + "class": "name", + "value": "CP-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThreats that affect alternate processing sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.3" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.2", + "title": "ACCESSIBILITY", + "props": [ + { + "class": "name", + "value": "CP-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eArea-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.3" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.3", + "title": "PRIORITY OF SERVICE", + "props": [ + { + "class": "name", + "value": "CP-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePriority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources at the alternate processing site.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.4", + "title": "PREPARATION FOR USE", + "props": [ + { + "class": "name", + "value": "CP-7 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrepare the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSite preparation includes, for example, establishing configuration settings for system components at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and other logistical considerations are in place.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + }, + { + "href": "#cp.4" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.5", + "title": "EQUIVALENT INFORMATION SECURITY SAFEGUARDS", + "props": [ + { + "class": "name", + "value": "CP-7 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.7.6", + "title": "INABILITY TO RETURN TO PRIMARY SITE", + "props": [ + { + "class": "name", + "value": "CP-7 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePlan and prepare for circumstances that preclude returning to the primary processing site.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.8", + "title": "TELECOMMUNICATIONS SERVICES", + "params": [ + { + "id": "cp-8_a", + "desc": "organization-defined system operations", + "value": "organization-defined system operations" + }, + { + "id": "cp-8_b", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ], + "props": [ + { + "class": "name", + "value": "CP-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish alternate telecommunications services including necessary agreements to permit the resumption of \u003cinsert param-id=\"cp-8_a\"/\u003e for essential missions and business functions within \u003cinsert param-id=\"cp-8_b\"/\u003e when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to telecommunications services (data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions and business functions despite the loss of primary telecommunications services. Organizations may specify different time-periods for primary/alternate sites. Alternate telecommunications services include, for example, additional organizational or commercial ground-based circuits/lines or satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering alternate telecommunications agreements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + }, + { + "href": "#cp.11" + }, + { + "href": "#sc.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.8.1", + "title": "PRIORITY OF SERVICE PROVISIONS", + "props": [ + { + "class": "name", + "value": "CP-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cp.8.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives); and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "cp.8.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eRequest Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider the potential mission/business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.8.2", + "title": "SINGLE POINTS OF FAILURE", + "props": [ + { + "class": "name", + "value": "CP-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eObtain alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.8.3", + "title": "SEPARATION OF PRIMARY AND ALTERNATE PROVIDERS", + "props": [ + { + "class": "name", + "value": "CP-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eObtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThreats that affect telecommunications services are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber/physical attacks, and errors of omission/commission. Organizations seek to reduce common susceptibilities by, for example, minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services meeting the separation needs addressed in the risk assessment.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.8.4", + "title": "PROVIDER CONTINGENCY PLAN", + "props": [ + { + "class": "name", + "value": "CP-8 (4)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cp.8.4.a", + "prose": [ + "\u003cp class=\"description\"\u003eRequire primary and alternate telecommunications service providers to have contingency plans;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "cp.8.4.b", + "prose": [ + "\u003cp class=\"description\"\u003eReview provider contingency plans to ensure that the plans meet organizational contingency requirements; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "cp.8.4.c", + "prose": [ + "\u003cp class=\"description\"\u003eObtain evidence of contingency testing and training by providers \u003cinsert param-id=\"cp-8_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-8 (4)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eReviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security, state, and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.3" + }, + { + "href": "#cp.4" + } + ] + } + ], + "params": [ + { + "id": "cp-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.8.5", + "title": "ALTERNATE TELECOMMUNICATION SERVICE TESTING", + "props": [ + { + "class": "name", + "value": "CP-8 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTest alternate telecommunication services \u003cinsert param-id=\"cp-8_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCP-3.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "cp-8_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.9", + "title": "SYSTEM BACKUP", + "params": [ + { + "id": "cp-9_a", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "id": "cp-9_b", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "id": "cp-9_c", + "desc": "organization-defined frequency consistent with recovery time and recovery point objectives", + "value": "organization-defined frequency consistent with recovery time and recovery point objectives" + } + ], + "props": [ + { + "class": "name", + "value": "CP-9" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "cp.9a", + "prose": [ + "\u003cp class=\"description\"\u003eConduct backups of user-level information contained in the system \u003cinsert param-id=\"cp-9_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9a." + } + ] + }, + { + "class": "item", + "id": "cp.9b", + "prose": [ + "\u003cp class=\"description\"\u003eConduct backups of system-level information contained in the system \u003cinsert param-id=\"cp-9_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9b." + } + ] + }, + { + "class": "item", + "id": "cp.9c", + "prose": [ + "\u003cp class=\"description\"\u003eConduct backups of system documentation including security-related documentation \u003cinsert param-id=\"cp-9_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9c." + } + ] + }, + { + "class": "item", + "id": "cp.9d", + "prose": [ + "\u003cp class=\"description\"\u003eProtect the confidentiality, integrity, and availability of backup information at storage locations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "CP-9d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem-level information includes, for example, system-state information, operating system software, application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed to protect the integrity of system backups include, for example, digital signatures and cryptographic hashes. Protection of backup information while in transit is beyond the scope of this control. System backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.6" + }, + { + "href": "#cp.10" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#sc.13" + }, + { + "href": "#si.4" + }, + { + "href": "#si.13" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.9.1", + "title": "TESTING FOR RELIABILITY AND INTEGRITY", + "props": [ + { + "class": "name", + "value": "CP-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTest backup information \u003cinsert param-id=\"cp-9_d\"/\u003e to verify media reliability and information integrity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.4" + } + ] + } + ], + "params": [ + { + "id": "cp-9_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.2", + "title": "TEST RESTORATION USING SAMPLING", + "props": [ + { + "class": "name", + "value": "CP-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUse a sample of backup information in the restoration of selected system functions as part of contingency plan testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cp.4" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.3", + "title": "SEPARATE STORAGE FOR CRITICAL INFORMATION", + "props": [ + { + "class": "name", + "value": "CP-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eStore backup copies of \u003cinsert param-id=\"cp-9_e\"/\u003e in a separate facility or in a fire-rated container that is not collocated with the operational system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCritical system software includes, for example, operating systems, cryptographic key management systems, and intrusion detection/prevention systems. Security-related information includes, for example, organizational inventories of hardware, software, and firmware components. Alternate storage sites typically serve as separate storage facilities for organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + } + ] + } + ], + "params": [ + { + "id": "cp-9_e", + "desc": "organization-defined critical system software and other security-related information", + "value": "organization-defined critical system software and other security-related information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.4", + "title": "PROTECTION FROM UNAUTHORIZED MODIFICATION", + "props": [ + { + "class": "name", + "value": "CP-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CP-9\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cp.9" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.5", + "title": "TRANSFER TO ALTERNATE STORAGE SITE", + "props": [ + { + "class": "name", + "value": "CP-9 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTransfer system backup information to the alternate storage site \u003cinsert param-id=\"cp-9_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.7" + }, + { + "href": "#mp.3" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + } + ] + } + ], + "params": [ + { + "id": "cp-9_f", + "desc": "organization-defined time-period and transfer rate consistent with the recovery time and recovery point objectives", + "value": "organization-defined time-period and transfer rate consistent with the recovery time and recovery point objectives" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.6", + "title": "REDUNDANT SECONDARY SYSTEM", + "props": [ + { + "class": "name", + "value": "CP-9 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eConduct system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "href": "#cp.7" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.7", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "CP-9 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce dual authorization for the deletion or destruction of \u003cinsert param-id=\"cp-9_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDual authorization ensures that the deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting/destroying backup information possess sufficient skills/expertise to determine if the proposed deletion/destruction of backup information reflects organizational policies and procedures. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#mp.2" + } + ] + } + ], + "params": [ + { + "id": "cp-9_g", + "desc": "organization-defined backup information", + "value": "organization-defined backup information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.9.8", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "CP-9 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement cryptographic mechanisms to prevent unauthorized disclosure and modification of \u003cinsert param-id=\"cp-9_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of backup information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to system backup information in storage at primary and alternate locations. Organizations implementing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.28" + } + ] + } + ], + "params": [ + { + "id": "cp-9_h", + "desc": "organization-defined backup information", + "value": "organization-defined backup information" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.10", + "title": "SYSTEM RECOVERY AND RECONSTITUTION", + "params": [ + { + "id": "cp-10_a", + "desc": "organization-defined time-period consistent with recovery time and recovery point objectives", + "value": "organization-defined time-period consistent with recovery time and recovery point objectives" + } + ], + "props": [ + { + "class": "name", + "value": "CP-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide for the recovery and reconstitution of the system to a known state after a disruption, compromise, or failure within \u003cinsert param-id=\"cp-10_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRecovery is executing contingency plan activities to restore organizational missions and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point, time, and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored system capabilities, reestablishment of continuous monitoring activities, system reauthorizations (if required), and activities to prepare the systems against future disruptions, compromises, or failures. Recovery and reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.4" + }, + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + }, + { + "href": "#cp.9" + }, + { + "href": "#ir.4" + }, + { + "href": "#sc.24" + }, + { + "href": "#si.13" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "cp.10.1", + "title": "CONTINGENCY PLAN TESTING", + "props": [ + { + "class": "name", + "value": "CP-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CP-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cp.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.2", + "title": "TRANSACTION RECOVERY", + "props": [ + { + "class": "name", + "value": "CP-10 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement transaction recovery for systems that are transaction-based.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTransaction-based systems include, for example, database management systems and transaction processing systems. Mechanisms supporting transaction recovery include, for example, transaction rollback and transaction journaling.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.3", + "title": "COMPENSATING SECURITY CONTROLS", + "props": [ + { + "class": "name", + "value": "CP-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eAddressed through tailoring procedures\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "Chapter 3" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.4", + "title": "RESTORE WITHIN TIME-PERIOD", + "props": [ + { + "class": "name", + "value": "CP-10 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide the capability to restore system components within \u003cinsert param-id=\"cp-10_b\"/\u003e from configuration-controlled and integrity-protected information representing a known, operational state for the components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRestoration of system components includes, for example, reimaging which restores components to known, operational states.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + } + ] + } + ], + "params": [ + { + "id": "cp-10_b", + "desc": "organization-defined restoration time-periods", + "value": "organization-defined restoration time-periods" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.5", + "title": "FAILOVER CAPABILITY", + "props": [ + { + "class": "name", + "value": "CP-10 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.13" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "cp.10.6", + "title": "COMPONENT PROTECTION", + "props": [ + { + "class": "name", + "value": "CP-10 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect system components used for backup and restoration.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProtection of system backup and restoration components (hardware, firmware, and software) includes both physical and technical safeguards. Backup and restoration software includes, for example, router tables, compilers, and other security-relevant system software.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.6" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-34", + "value": "NIST Special Publication 800-34" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "cp.11", + "title": "ALTERNATE COMMUNICATIONS PROTOCOLS", + "params": [ + { + "id": "cp-11_a", + "desc": "organization-defined alternative communications protocols", + "value": "organization-defined alternative communications protocols" + } + ], + "props": [ + { + "class": "name", + "value": "CP-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide the capability to employ \u003cinsert param-id=\"cp-11_a\"/\u003e in support of maintaining continuity of operations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContingency plans and the training/testing associated with those plans, incorporate an alternate communications protocol capability as part of establishing resilience in organizational systems. Alternate communications protocols include, for example, switching from TCP/IP Version 4 to TCP/IP Version 6. Switching communications protocols may affect software applications and operational aspects of systems. Organizations assess the potential side effects of introducing such alternate communications protocols prior to implementation.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.8" + }, + { + "href": "#cp.13" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "cp.12", + "title": "SAFE MODE", + "params": [ + { + "id": "cp-12_a", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + }, + { + "id": "cp-12_b", + "desc": "organization-defined restrictions of safe mode of operation", + "value": "organization-defined restrictions of safe mode of operation" + } + ], + "props": [ + { + "class": "name", + "value": "CP-12" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eWhen \u003cinsert param-id=\"cp-12_a\"/\u003e are detected, enter a safe mode of operation with \u003cinsert param-id=\"cp-12_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor systems supporting critical missions and business functions including, for example, military operations and weapons systems, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments), organizations can identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated automatically or manually, restricts the activities or operations systems can execute when those conditions are encountered. Restriction includes, for example, allowing only certain functions that can be carried out under limited power or with reduced communications bandwidth.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#sc.24" + }, + { + "href": "#si.13" + }, + { + "href": "#si.17" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "cp.13", + "title": "ALTERNATIVE SECURITY MECHANISMS", + "params": [ + { + "id": "cp-13_a", + "desc": "organization-defined alternative or supplemental security mechanisms", + "value": "organization-defined alternative or supplemental security mechanisms" + }, + { + "id": "cp-13_b", + "desc": "organization-defined security functions", + "value": "organization-defined security functions" + } + ], + "props": [ + { + "class": "name", + "value": "CP-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"cp-13_a\"/\u003e for satisfying \u003cinsert param-id=\"cp-13_b\"/\u003e when the primary means of implementing the security function is unavailable or compromised.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control supports system resiliency, contingency planning, and continuity of operations. To ensure mission and business continuity, organizations can implement alternative or supplemental security mechanisms. These mechanisms may be less effective than the primary mechanisms. However, having the capability to readily employ these alternative or supplemental mechanisms, enhances mission and business continuity that might otherwise be adversely impacted if operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, this control is typically applied only to critical security capabilities provided by systems, system components, or system services. For example, an organization may issue to senior executives and system administrators one-time pads if multifactor tokens, the standard means for secure remote authentication, is compromised.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "CP-2 CP-11" + }, + { + "href": "#si.13" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "IDENTIFICATION AND AUTHENTICATION", + "controls": [ + { + "class": "SP800-53", + "id": "ia.1", + "title": "IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES", + "params": [ + { + "id": "ia-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ia-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "ia-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ia-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IA-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ia.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"ia-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "ia.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eAn identification and authentication policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "ia.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "ia.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "ia.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ia.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"ia-1_b\"/\u003e to manage the identification and authentication policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1b." + } + ] + }, + { + "class": "item", + "id": "ia.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current identification and authentication:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "ia.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"ia-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1c.1." + } + ] + }, + { + "class": "item", + "id": "ia.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"ia-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ia.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the identification and authentication procedures implement the identification and authentication policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1d." + } + ] + }, + { + "class": "item", + "id": "ia.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the identification and authentication policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the IA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.1" + }, + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-73", + "value": "NIST Special Publication 800-73" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-76", + "value": "NIST Special Publication 800-76" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.2", + "title": "IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)", + "props": [ + { + "class": "name", + "value": "IA-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUniquely identify and authenticate organizational users or processes acting on behalf of organizational users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12. Organizational users include employees or individuals that organizations consider having the equivalent status of employees including, for example, contractors and guest researchers. This control applies to all accesses other than accesses that are explicitly identified in AC-14 and that occur through the authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts or for detailed accountability of individual activity. Organizations employ passwords, physical authenticators, or biometrics to authenticate user identities, or in the case of multifactor authentication, some combination thereof. Access to organizational systems is defined as either local access or network access. Local access is any access to organizational systems by users or processes acting on behalf of users, where such access is obtained through direct connections without the use of networks. Network access is access to organizational systems by users (or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks. Internal networks include local area networks and wide area networks. The use of encrypted virtual private networks for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks with respect to protecting the confidentiality and integrity of information traversing the network. Identification and authentication requirements for non-organizational users are described in IA-8.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.14" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#au.1" + }, + { + "href": "#au.6" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + }, + { + "href": "#ma.4" + }, + { + "href": "#ma.5" + }, + { + "href": "#pe.2" + }, + { + "href": "#pl.4" + }, + { + "href": "#sa.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.2.1", + "title": "MULTIFACTOR AUTHENTICATION TO PRIVILEGED ACCOUNTS", + "props": [ + { + "class": "name", + "value": "IA-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement multifactor authentication for access to privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMultifactor authentication requires the use of two or more different factors to achieve authentication. Factors are defined as follows: something you know, for example, a password or personal identification number (PIN); something you have, for example, a physical authenticator or cryptographic identification device; or something you are, for example, a biometric. Multifactor solutions that feature physical authenticators include, for example, hardware authenticators providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card or the DoD common access card. In addition to authenticating users at the system level (i.e., at logon), organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access (i.e., local, network, or remote) privileged accounts are always authenticated using multifactor options appropriate for the level of risk. Organizations can add additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.2", + "title": "MULTIFACTOR AUTHENTICATION TO NON-PRIVILEGED ACCOUNTS", + "props": [ + { + "class": "name", + "value": "IA-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement multifactor authentication for access to non-privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMultifactor authentication requires the use of two or more different factors to achieve authentication. Factors are defined as follows: something you know, for example, a personal identification number (PIN); something you have, for example, a physical authenticator or cryptographic private key stored in hardware or software; or something you are, for example, a biometric. Multifactor solutions that feature physical authenticators include, for example, hardware authenticators providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card or the DoD common access card. In addition to authenticating users at the system level, organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Organizations can also provide additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.5" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.3", + "title": "LOCAL ACCESS TO PRIVILEGED ACCOUNTS", + "props": [ + { + "class": "name", + "value": "IA-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-2(1)(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-2(1)(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.4", + "title": "LOCAL ACCESS TO NON-PRIVILEGED ACCOUNTS", + "props": [ + { + "class": "name", + "value": "IA-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-2(1)(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-2(1)(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.5", + "title": "INDIVIDUAL AUTHENTICATION WITH GROUP AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eWhen shared accounts or authenticators are employed, require users to be individually authenticated before granting access to the shared accounts or resources.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndividual authentication prior to the shared group authentication helps organizations to mitigate the risk of using group accounts or authenticators.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.6", + "title": "NETWORK ACCESS TO PRIVILEGED ACCOUNTS — SEPARATE DEVICE", + "props": [ + { + "class": "name", + "value": "IA-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-2(1)(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-2(1)(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.7", + "title": "NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS — SEPARATE DEVICE", + "props": [ + { + "class": "name", + "value": "IA-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-2(1)(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-2(1)(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.8", + "title": "ACCESS TO ACCOUNTS - REPLAY RESISTANT", + "props": [ + { + "class": "name", + "value": "IA-2 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement replay-resistant authentication mechanisms for access to [Selection (one or more): privileged accounts; non-privileged accounts].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as time synchronous or challenge-response one-time authenticators.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.9", + "title": "NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS — REPLAY RESISTANT", + "props": [ + { + "class": "name", + "value": "IA-2 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-2(8)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-2(8)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.10", + "title": "SINGLE SIGN-ON", + "props": [ + { + "class": "name", + "value": "IA-2 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a single sign-on capability for \u003cinsert param-id=\"ia-2_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSingle sign-on enables users to log in once and gain access to multiple system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the risk introduced by allowing access to multiple systems via a single authentication event. Single sign-on can present opportunities to improve system security, for example by providing the ability to add multifactor authentication for applications that may not be able to natively support this function. This situation may occur in legacy applications or systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ia-2_a", + "desc": "organization-defined system accounts and services", + "value": "organization-defined system accounts and services" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.11", + "title": "REMOTE ACCESS — SEPARATE DEVICE", + "props": [ + { + "class": "name", + "value": "IA-2 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-2(1)(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-2(1)(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.12", + "title": "ACCEPTANCE OF PIV CREDENTIALS", + "props": [ + { + "class": "name", + "value": "IA-2 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAccept and electronically verify Personal Identity Verification credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to organizations implementing logical access control and physical access control systems. Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. The adequacy and reliability of PIV card issuers are addressed and authorized using NIST Special Publication 800-79. Acceptance of PIV credentials includes derived PIV credentials, the use of which is addressed in NIST Special Publication 800-166.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.2.13", + "title": "OUT-OF-BAND AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-2 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-2(1)(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-2(1)(2)" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-73", + "value": "NIST Special Publication 800-73" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-76", + "value": "NIST Special Publication 800-76" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.3", + "title": "DEVICE IDENTIFICATION AND AUTHENTICATION", + "params": [ + { + "id": "ia-3_a", + "desc": "organization-defined specific and/or types of devices", + "value": "organization-defined specific and/or types of devices" + } + ], + "props": [ + { + "class": "name", + "value": "IA-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUniquely identify and authenticate \u003cinsert param-id=\"ia-3_a\"/\u003e before establishing a [Selection (one or more): local; remote; network] connection.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevices requiring unique device-to-device identification and authentication are defined by type, by device, or by a combination of type and device. Organization-defined device types may include devices that are not owned by the organization. Systems use shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], RADIUS server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on local and wide area networks. Organizations determine the required strength of authentication mechanisms based on the security categories of systems and mission/business requirements. Because of the challenges of implementing this control on large scale, organizations can restrict the application of the control to a limited number (and type) of devices based on organizational need.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#au.6" + }, + { + "href": "#ca.3" + }, + { + "href": "#ca.9" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.9" + }, + { + "href": "#ia.11" + }, + { + "href": "#si.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.3.1", + "title": "CRYPTOGRAPHIC BIDIRECTIONAL AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAuthenticate \u003cinsert param-id=\"ia-3_b\"/\u003e before establishing [Selection (one or more): local; remote; network] connection using bidirectional authentication that is cryptographically based.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network. A remote connection is any connection with a device communicating through an external network. Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + } + ], + "params": [ + { + "id": "ia-3_b", + "desc": "organization-defined specific devices and/or types of devices", + "value": "organization-defined specific devices and/or types of devices" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.3.2", + "title": "CRYPTOGRAPHIC BIDIRECTIONAL NETWORK AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-3(1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-3(1)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.3.3", + "title": "DYNAMIC ADDRESS ALLOCATION", + "props": [ + { + "class": "name", + "value": "IA-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ia.3.3.a", + "prose": [ + "\u003cp class=\"description\"\u003eWhere addresses are allocated dynamically, standardize dynamic address allocation lease information and the lease duration assigned to devices in accordance with \u003cinsert param-id=\"ia-3_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "ia.3.3.b", + "prose": [ + "\u003cp class=\"description\"\u003eAudit lease information when assigned to a device.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-3 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDHCP and DHCPv6 are typical protocols that enable clients to dynamically obtain Internet Protocol address leases from DHCP servers.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ia-3_c", + "desc": "organization-defined lease information and lease duration", + "value": "organization-defined lease information and lease duration" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.3.4", + "title": "DEVICE ATTESTATION", + "props": [ + { + "class": "name", + "value": "IA-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eHandle device identification and authentication based on attestation by \u003cinsert param-id=\"ia-3_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevice attestation refers to the identification and authentication of a device based on its configuration and known operating state. This might be determined via some cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the patches and updates are done securely and at the same time do not disrupt the identification and authentication to other devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.6" + } + ] + } + ], + "params": [ + { + "id": "ia-3_d", + "desc": "organization-defined configuration management process", + "value": "organization-defined configuration management process" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ia.4", + "title": "IDENTIFIER MANAGEMENT", + "params": [ + { + "id": "ia-4_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ia-4_b", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ], + "props": [ + { + "class": "name", + "value": "IA-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eManage system identifiers by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ia.4a", + "prose": [ + "\u003cp class=\"description\"\u003eReceiving authorization from \u003cinsert param-id=\"ia-4_a\"/\u003e to assign an individual, group, role, or device identifier;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4a." + } + ] + }, + { + "class": "item", + "id": "ia.4b", + "prose": [ + "\u003cp class=\"description\"\u003eSelecting an identifier that identifies an individual, group, role, or device;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4b." + } + ] + }, + { + "class": "item", + "id": "ia.4c", + "prose": [ + "\u003cp class=\"description\"\u003eAssigning the identifier to the intended individual, group, role, or device; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4c." + } + ] + }, + { + "class": "item", + "id": "ia.4d", + "prose": [ + "\u003cp class=\"description\"\u003ePreventing reuse of identifiers for \u003cinsert param-id=\"ia-4_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-4d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCommon device identifiers include, for example, media access control (MAC), Internet Protocol addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared system accounts. Typically, individual identifiers are the user names of the system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. This control also addresses individual identifiers not necessarily associated with system accounts. Preventing the reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + }, + { + "href": "#ia.9" + }, + { + "href": "#ma.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + }, + { + "href": "#pl.4" + }, + { + "href": "#pm.12" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.4" + }, + { + "href": "#ps.5" + }, + { + "href": "#sc.37" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.4.1", + "title": "PROHIBIT ACCOUNT IDENTIFIERS AS PUBLIC IDENTIFIERS", + "props": [ + { + "class": "name", + "value": "IA-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit the use of system account identifiers that are the same as public identifiers for individual electronic mail accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProhibiting the use of systems account identifiers that are the same as some public identifier such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers on organizational systems. The use of this control alone only complicates guessing of identifiers and must be combined with appropriate protections for authenticators and attributes to protect the account as a whole.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.2", + "title": "SUPERVISOR AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "IA-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-12(1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-12(1)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.3", + "title": "MULTIPLE FORMS OF CERTIFICATION", + "props": [ + { + "class": "name", + "value": "IA-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-12(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-12(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.4", + "title": "IDENTIFY USER STATUS", + "props": [ + { + "class": "name", + "value": "IA-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eManage individual identifiers by uniquely identifying each individual as \u003cinsert param-id=\"ia-4_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCharacteristics identifying the status of individuals include, for example, contractors and foreign nationals. Identifying the status of individuals by specific characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ia-4_c", + "desc": "organization-defined characteristic identifying individual status", + "value": "organization-defined characteristic identifying individual status" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.5", + "title": "DYNAMIC MANAGEMENT", + "props": [ + { + "class": "name", + "value": "IA-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eManage individual identifiers dynamically.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn contrast to conventional approaches to identification which presume static accounts for preregistered users, many distributed systems establish identifiers at run time for entities that were previously unknown. In these situations, organizations anticipate and provision for the dynamic establishment of identifiers. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.6", + "title": "CROSS-ORGANIZATION MANAGEMENT", + "props": [ + { + "class": "name", + "value": "IA-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinate with \u003cinsert param-id=\"ia-4_d\"/\u003e for cross-organization management of identifiers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCross-organization identifier management provides the capability for organizations to appropriately identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.16" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.5" + } + ] + } + ], + "params": [ + { + "id": "ia-4_d", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.7", + "title": "IN-PERSON REGISTRATION", + "props": [ + { + "class": "name", + "value": "IA-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-12(4)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-12(4)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.4.8", + "title": "PAIRWISE PSEUDONYMOUS IDENTIFIERS", + "props": [ + { + "class": "name", + "value": "IA-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eGenerate pairwise pseudonymous identifiers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eGenerating distinct pairwise pseudonymous identifiers, with no identifying information about a subscriber, discourages subscriber activity tracking and profiling beyond the operational requirements established by an organization. The pairwise pseudonymous identifiers are unique to each relying party, except in situations where relying parties show a demonstrable relationship justifying an operational need for correlation, or all parties consent to being correlated in such a manner.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.5" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-73", + "value": "NIST Special Publication 800-73" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-76", + "value": "NIST Special Publication 800-76" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.5", + "title": "AUTHENTICATOR MANAGEMENT", + "params": [ + { + "id": "ia-5_a", + "desc": "organization-defined time-period by authenticator type", + "value": "organization-defined time-period by authenticator type" + } + ], + "props": [ + { + "class": "name", + "value": "IA-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eManage system authenticators by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ia.5a", + "prose": [ + "\u003cp class=\"description\"\u003eVerifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5a." + } + ] + }, + { + "class": "item", + "id": "ia.5b", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishing initial authenticator content for any authenticators issued by the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5b." + } + ] + }, + { + "class": "item", + "id": "ia.5c", + "prose": [ + "\u003cp class=\"description\"\u003eEnsuring that authenticators have sufficient strength of mechanism for their intended use;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5c." + } + ] + }, + { + "class": "item", + "id": "ia.5d", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5d." + } + ] + }, + { + "class": "item", + "id": "ia.5e", + "prose": [ + "\u003cp class=\"description\"\u003eEstablishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5e." + } + ] + }, + { + "class": "item", + "id": "ia.5f", + "prose": [ + "\u003cp class=\"description\"\u003eChanging/refreshing authenticators \u003cinsert param-id=\"ia-5_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5f." + } + ] + }, + { + "class": "item", + "id": "ia.5g", + "prose": [ + "\u003cp class=\"description\"\u003eProtecting authenticator content from unauthorized disclosure and modification;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5g." + } + ] + }, + { + "class": "item", + "id": "ia.5h", + "prose": [ + "\u003cp class=\"description\"\u003eRequiring individuals to take, and having devices implement, specific security controls to protect authenticators; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5h." + } + ] + }, + { + "class": "item", + "id": "ia.5i", + "prose": [ + "\u003cp class=\"description\"\u003eChanging authenticators for group/role accounts when membership to those accounts changes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5i." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExamples of individual authenticators include passwords, cryptographic devices, one-time password devices, and key cards. The initial authenticator content is the actual content of the authenticator, for example, the initial password. In contrast, the requirements about authenticator content include, for example, the minimum password length. Developers may ship system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored in organizational systems including, for example, passwords stored in hashed or encrypted formats or files containing encrypted or hashed passwords accessible with administrator privileges. Systems support authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Actions that can be taken to safeguard individual authenticators include, for example, maintaining possession of authenticators, not loaning or sharing authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#cm.6" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.7" + }, + { + "href": "#ia.8" + }, + { + "href": "#ia.9" + }, + { + "href": "#ma.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pl.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.5.1", + "title": "PASSWORD-BASED AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eFor password-based authentication:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ia.5.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain a list of commonly-used, expected, or compromised passwords and update the list \u003cinsert param-id=\"ia-5_b\"/\u003e and when organizational passwords are suspected to have been compromised directly or indirectly;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "ia.5.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eVerify, when users create or update passwords, that the passwords are not found on the organization-defined list of commonly-used, expected, or compromised passwords;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(b)" + } + ] + }, + { + "class": "item", + "id": "ia.5.1.c", + "prose": [ + "\u003cp class=\"description\"\u003eTransmit only cryptographically-protected passwords;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(c)" + } + ] + }, + { + "class": "item", + "id": "ia.5.1.d", + "prose": [ + "\u003cp class=\"description\"\u003eStore passwords using an approved hash algorithm and salt, preferably using a keyed hash;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(d)" + } + ] + }, + { + "class": "item", + "id": "ia.5.1.e", + "prose": [ + "\u003cp class=\"description\"\u003eRequire immediate selection of a new password upon account recovery;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(e)" + } + ] + }, + { + "class": "item", + "id": "ia.5.1.f", + "prose": [ + "\u003cp class=\"description\"\u003eAllow user selection of long passwords and passphrases, including spaces and all printable characters; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(f)" + } + ] + }, + { + "class": "item", + "id": "ia.5.1.g", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated tools to assist the user in selecting strong password authenticators.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)(g)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to passwords regardless of whether they are used in single-factor or multi-factor authentication. Long passwords or passphrases are preferable over shorter passwords. Enforced composition rules provide marginal security benefit while decreasing usability. Account recovery can occur, for example, in situations when a password is forgotten. Cryptographically-protected passwords include, for example, salted one-way cryptographic hashes of passwords. The list of commonly-used, expected, or compromised passwords may include, for example, passwords obtained from previous breach corpuses, dictionary words, and repetitive or sequential characters. Examples include aaaaaaa, 1234abcd, and qwertyuiop. The list can also include context specific words, for example, the name of the service, username, and derivatives thereof.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.6" + } + ] + } + ], + "params": [ + { + "id": "ia-5_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.2", + "title": "PUBLIC KEY-BASED AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eFor public key-based authentication:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ia.5.2.a", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce authorized access to the corresponding private key; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "ia.5.2.b", + "prose": [ + "\u003cp class=\"description\"\u003eMap the authenticated identity to the account of the individual or group; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-5 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePublic key cryptography is a valid authentication mechanism for individuals and machines/devices. When PKI is leveraged, status information for certification paths includes, for example, certificate revocation lists or certificate status protocol responses. For PIV cards, the validation of certificates involves the construction and verification of a certification path to the Common Policy Root trust anchor which includes certificate policy processing. Implementing a local cache of revocation data to support path discovery and validation supports system availability in situations where organizations are unable to access revocation information via the network\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.3" + }, + { + "href": "#sc.17" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.3", + "title": "IN-PERSON OR TRUSTED EXTERNAL PARTY REGISTRATION", + "props": [ + { + "class": "name", + "value": "IA-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-12(4)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-12(4)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.4", + "title": "AUTOMATED SUPPORT FOR PASSWORD STRENGTH DETERMINATION", + "props": [ + { + "class": "name", + "value": "IA-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-5(1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-5(1)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.5", + "title": "CHANGE AUTHENTICATORS PRIOR TO DELIVERY", + "props": [ + { + "class": "name", + "value": "IA-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire developers and installers of system components to provide unique authenticators or change default authenticators prior to delivery and installation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement extends the requirement for organizations to change default authenticators upon system installation, by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to the developers of commercial off-the-shelf information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring systems or system components.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.6", + "title": "PROTECTION OF AUTHENTICATORS", + "props": [ + { + "class": "name", + "value": "IA-5 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect authenticators commensurate with the security category of the information to which use of the authenticator permits access.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor systems containing multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems. Security categories of information are determined as part of the security categorization process.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.2" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.7", + "title": "NO EMBEDDED UNENCRYPTED STATIC AUTHENTICATORS", + "props": [ + { + "class": "name", + "value": "IA-5 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators. This is irrespective of whether that representation is perhaps an encrypted version of something else.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.8", + "title": "MULTIPLE SYSTEM ACCOUNTS", + "props": [ + { + "class": "name", + "value": "IA-5 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"ia-5_c\"/\u003e to manage the risk of compromise due to individuals having accounts on multiple systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen individuals have accounts on multiple systems, there is the risk that a compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Possible alternatives include: having different authenticators on all systems; employing some form of single sign-on mechanism; or using some form of one-time passwords on all systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ia-5_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.9", + "title": "FEDERATED CREDENTIAL MANAGEMENT", + "props": [ + { + "class": "name", + "value": "IA-5 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUse \u003cinsert param-id=\"ia-5_d\"/\u003e to federate authenticators.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFederation provides the capability for organizations to appropriately authenticate individuals and devices when conducting cross-organization activities involving the processing, storage, or transmission of information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.7" + }, + { + "href": "#au.16" + } + ] + } + ], + "params": [ + { + "id": "ia-5_d", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.10", + "title": "DYNAMIC CREDENTIAL BINDING", + "props": [ + { + "class": "name", + "value": "IA-5 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eBind identities and authenticators dynamically.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthentication requires some form of binding between an identity and the authenticator used to confirm the identity. In conventional approaches, this binding is established by pre-provisioning both the identity and the authenticator to the system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the system. New authentication techniques allow the binding between the identity and the authenticator to be implemented outside a system. For example, with smartcard credentials, the identity and the authenticator are bound together on the smartcard. Using these credentials, systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.16" + }, + { + "href": "#ia.5" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.11", + "title": "HARDWARE TOKEN-BASED AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-5 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-2(1)(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-2(1)(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.12", + "title": "BIOMETRIC AUTHENTICATION PERFORMANCE", + "props": [ + { + "class": "name", + "value": "IA-5 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eFor biometric-based authentication, employ mechanisms that satisfy \u003cinsert param-id=\"ia-5_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnlike password-based authentication which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide such exact matches. Depending upon the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and stored biometric which serves as the basis of comparison. The matching performance is the rate at which a biometric algorithm correctly results in a match for a genuine user and rejects other users. Biometric performance requirements include, for example, the match rate as this reflects the accuracy of the biometric matching algorithm being used by a system.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.7" + } + ] + } + ], + "params": [ + { + "id": "ia-5_e", + "desc": "organization-defined biometric quality requirements", + "value": "organization-defined biometric quality requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.13", + "title": "EXPIRATION OF CACHED AUTHENTICATORS", + "props": [ + { + "class": "name", + "value": "IA-5 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit the use of cached authenticators after \u003cinsert param-id=\"ia-5_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ia-5_f", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.14", + "title": "MANAGING CONTENT OF PKI TRUST STORES", + "props": [ + { + "class": "name", + "value": "IA-5 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eFor PKI-based authentication, employ a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including networks, operating systems, browsers, and applications.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.15", + "title": "GSA-APPROVED PRODUCTS AND SERVICES", + "props": [ + { + "class": "name", + "value": "IA-5 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUse only General Services Administration-approved and validated products and services.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eGeneral Services Administration (GSA)-approved products and services are the products and services that have been approved through the GSA conformance program, where applicable, and posted to the GSA Approved Products List.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.16", + "title": "IN-PERSON OR TRUSTED EXTERNAL PARTY AUTHENTICATOR ISSUANCE", + "props": [ + { + "class": "name", + "value": "IA-5 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that the issuance of \u003cinsert param-id=\"ia-5_g\"/\u003e be conducted [Selection: in person; by a trusted external party] before \u003cinsert param-id=\"ia-5_h\"/\u003e with authorization by \u003cinsert param-id=\"ia-5_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.12" + } + ] + } + ], + "params": [ + { + "id": "ia-5_g", + "desc": "organization-defined types of and/or specific authenticators", + "value": "organization-defined types of and/or specific authenticators" + }, + { + "id": "ia-5_h", + "desc": "organization-defined registration authority", + "value": "organization-defined registration authority" + }, + { + "id": "ia-5_i", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.5.17", + "title": "PRESENTATION ATTACK DETECTION FOR BIOMETRIC AUTHENTICATORS", + "props": [ + { + "class": "name", + "value": "IA-5 (17)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy presentation attack detection mechanisms for biometric-based authentication.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBiometric characteristics do not constitute secrets. Such characteristics can be obtained by online web accesses; taking a picture of someone with a camera phone to obtain facial images with or without their knowledge; lifting from objects that someone has touched, for example, a latent fingerprint; or capturing a high-resolution image, for example, an iris pattern. Presentation attack detection technologies including, for example, liveness detection, can mitigate the risk of these types of attacks by making it more difficult to produce artifacts intended to defeat the biometric sensor.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.7" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-73", + "value": "NIST Special Publication 800-73" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-76", + "value": "NIST Special Publication 800-76" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.6", + "title": "AUTHENTICATOR FEEDBACK", + "props": [ + { + "class": "name", + "value": "IA-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eObscure feedback of authentication information during the authentication process to protect the information from possible exploitation and use by unauthorized individuals.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe feedback from systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with small displays, this threat may be less significant, and is balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring authenticator feedback is selected accordingly. Obscuring authenticator feedback includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ia.7", + "title": "CRYPTOGRAPHIC MODULE AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "IA-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement mechanisms for authentication to a cryptographic module that meet the requirements of applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines for such authentication.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ia.5" + }, + { + "href": "#sa.4" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.8", + "title": "IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)", + "props": [ + { + "class": "name", + "value": "IA-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUniquely identify and authenticate non-organizational users or processes acting on behalf of non-organizational users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNon-organizational users include system users other than organizational users explicitly covered by IA-2. These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. Identification and authentication of non-organizational users accessing federal systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations consider many factors including scalability, practicality, security, and privacy in balancing the need to ensure ease of use for access to federal information and systems with the need to protect and adequately mitigate risk.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.14" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#au.6" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.10" + }, + { + "href": "#ia.11" + }, + { + "href": "#ma.4" + }, + { + "href": "#ra.3" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.12" + }, + { + "href": "#sc.8" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.8.1", + "title": "ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES", + "props": [ + { + "class": "name", + "value": "IA-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAccept and electronically verify Personal Identity Verification credentials from other federal agencies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to both logical and physical access control systems. Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidelines. The adequacy and reliability of PIV card issuers are addressed and authorized using NIST Special Publication 800-79.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.3" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.8.2", + "title": "ACCEPTANCE OF EXTERNAL CREDENTIALS", + "props": [ + { + "class": "name", + "value": "IA-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAccept only external credentials that are NIST compliant.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to organizational systems that are accessible to the public, for example, public-facing websites. External credentials are those credentials issued by nonfederal government entities. Such credentials are certified as compliant with NIST Special Publication 800-63 by an approved accreditation authority. Approved external credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. This allows federal government relying parties to trust such credentials at their approved assurance levels.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.8.3", + "title": "USE OF FICAM-APPROVED PRODUCTS", + "props": [ + { + "class": "name", + "value": "IA-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into IA-8(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "IA-8(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.8.4", + "title": "USE OF NIST-ISSUED PROFILES", + "props": [ + { + "class": "name", + "value": "IA-8 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eConform to NIST-issued profiles for identity management.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses open identity management standards. To ensure that these identity management standards are viable, robust, reliable, sustainable, and interoperable as documented, the United States Government assesses and scopes the standards and technology implementations against applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. The result is NIST-issued implementation profiles of approved protocols.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.8.5", + "title": "ACCEPTANCE OF PIV-I CREDENTIALS", + "props": [ + { + "class": "name", + "value": "IA-8 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAccept and electronically verify Personal Identity Verification-I (PIV-I) credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to both logical access control and physical access control systems. It addresses Nonfederal Issuers of identity cards that desire to interoperate with United States Government Personal Identity Verification (PIV) systems and that can be trusted by federal government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is commensurate with the PIV credentials as defined in cited references. PIV-I credentials are the credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified with the FBCA (directly or through another PKI bridge) with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.8.6", + "title": "DISASSOCIABILITY", + "props": [ + { + "class": "name", + "value": "IA-8 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"ia-8_a\"/\u003e to disassociate user attributes or credential assertion relationships among individuals, credential service providers, and relying parties.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFederated identity solutions can create increased privacy risks due to tracking and profiling of individuals. Using identifier mapping tables or privacy-enhancing cryptographic techniques to blind credential service providers and relying parties from each other or to make identity attributes less visible to transmitting parties can reduce these privacy risks.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ia-8_a", + "desc": "organization-defined measures", + "value": "organization-defined measures" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-116", + "value": "NIST Special Publication 800-116" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.9", + "title": "SERVICE IDENTIFICATION AND AUTHENTICATION", + "params": [ + { + "id": "ia-9_a", + "desc": "organization-defined system services and applications", + "value": "organization-defined system services and applications" + } + ], + "props": [ + { + "class": "name", + "value": "IA-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify and authenticate \u003cinsert param-id=\"ia-9_a\"/\u003e before establishing communications with devices, users, or other services or applications.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eServices that may require identification and authentication include, for example, web applications using digital certificates or services/applications that query a database. Identification and authentication methods for system services/applications include, for example, information or code signing, provenance graphs, and/or electronic signatures indicating the sources of services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.3" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.9.1", + "title": "INFORMATION EXCHANGE", + "props": [ + { + "class": "name", + "value": "IA-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that service providers receive, validate, and transmit identification and authentication information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.9.2", + "title": "TRANSMISSION OF DECISIONS", + "props": [ + { + "class": "name", + "value": "IA-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTransmit identification and authentication decisions between \u003cinsert param-id=\"ia-9_b\"/\u003e consistent with organizational policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor distributed architectures, the decisions regarding the validation of identification and authentication claims may be made by services separate from the services acting on those decisions. In such situations, it is necessary to provide the identification and authentication decisions (instead of the actual identifiers and authenticators) to the services that need to act on those decisions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.8" + } + ] + } + ], + "params": [ + { + "id": "ia-9_b", + "desc": "organization-defined services", + "value": "organization-defined services" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ia.10", + "title": "ADAPTIVE AUTHENTICATION", + "params": [ + { + "id": "ia-10_a", + "desc": "organization-defined supplemental authentication techniques or mechanisms", + "value": "organization-defined supplemental authentication techniques or mechanisms" + }, + { + "id": "ia-10_b", + "desc": "organization-defined circumstances or situations", + "value": "organization-defined circumstances or situations" + } + ], + "props": [ + { + "class": "name", + "value": "IA-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire individuals accessing the system to employ \u003cinsert param-id=\"ia-10_a\"/\u003e under specific \u003cinsert param-id=\"ia-10_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAdversaries may compromise individual authentication mechanisms and subsequently attempt to impersonate legitimate users. This situation can potentially occur with any authentication mechanisms employed by organizations. To address this threat, organizations may employ specific techniques or mechanisms and establish protocols to assess suspicious behavior. Such behavior may include, for example, accessing information that individuals do not typically access as part of their duties, roles, or responsibilities; accessing greater quantities of information than the individuals would routinely access; or attempting to access information from suspicious network addresses. In situations when pre-established conditions or triggers occur, organizations can require individuals to provide additional authentication information. Another potential use for adaptive authentication is to increase the strength of mechanism based on the number and/or types of records being accessed. Adaptive authentication does not replace and is not used to avoid multifactor mechanisms, but can augment implementations of these controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.2" + }, + { + "href": "#ia.8" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ia.11", + "title": "RE-AUTHENTICATION", + "params": [ + { + "id": "ia-11_a", + "desc": "organization-defined circumstances or situations requiring re-authentication", + "value": "organization-defined circumstances or situations requiring re-authentication" + } + ], + "props": [ + { + "class": "name", + "value": "IA-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire users to re-authenticate when \u003cinsert param-id=\"ia-11_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn addition to the re-authentication requirements associated with device locks, organizations may require re-authentication of individuals in certain situations including, for example, when authenticators or roles change; when security categories of systems change; when the execution of privileged functions occurs; after a fixed time-period; or periodically.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.11" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.8" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ia.12", + "title": "IDENTITY PROOFING", + "props": [ + { + "class": "name", + "value": "IA-12" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ia.12a", + "prose": [ + "\u003cp class=\"description\"\u003eIdentity proof users that require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-12a." + } + ] + }, + { + "class": "item", + "id": "ia.12b", + "prose": [ + "\u003cp class=\"description\"\u003eResolve user identities to a unique individual; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-12b." + } + ] + }, + { + "class": "item", + "id": "ia.12c", + "prose": [ + "\u003cp class=\"description\"\u003eCollect, validate, and verify identity evidence.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IA-12c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIdentity proofing is the process of collecting, validating, and verifying user\u0026#x92;s identity information for the purposes of issuing credentials for accessing a system. This control is intended to mitigate threats to the registration of users and the establishment of their accounts. Standards and guidelines specifying identity assurance levels for identity proofing include NIST Special Publications 800-63 and 800-63A.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.1" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.6" + }, + { + "href": "#ia.8" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ia.12.1", + "title": "SUPERVISOR AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "IA-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that the registration process to receive an account for logical access includes supervisor or sponsor authorization.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.12.2", + "title": "IDENTITY EVIDENCE", + "props": [ + { + "class": "name", + "value": "IA-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire evidence of individual identification be presented to the registration authority.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRequiring identity evidence, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity, or at least increases the work factor of potential adversaries. Acceptable forms of evidence are consistent with the risk to the systems, roles, and privileges associated with the user\u0026#x92;s account.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.12.3", + "title": "IDENTITY EVIDENCE VALIDATION AND VERIFICATION", + "props": [ + { + "class": "name", + "value": "IA-12 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that the presented identity evidence be validated and verified through \u003cinsert param-id=\"ia-12_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eValidating and verifying identity evidence increases the assurance that that accounts, identifiers, and authenticators are being issued to the correct user. Validation refers to the process of confirming that the evidence is genuine and authentic and that the data contained in the evidence is correct, current, and related to an actual person or individual. Verification confirms and establishes a linkage between the claimed identity and the actual existence of the user presenting the evidence. Acceptable methods for validating and verifying identity evidence are consistent with the risk to the systems, roles, and privileges associated with the users account\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ia-12_a", + "desc": "organizational defined methods of validation and verification", + "value": "organizational defined methods of validation and verification" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.12.4", + "title": "IN-PERSON VALIDATION AND VERIFICATION", + "props": [ + { + "class": "name", + "value": "IA-12 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that the validation and verification of identity evidence be conducted in person before a designated registration authority.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn-person proofing reduces the likelihood of fraudulent credentials being issued because it requires the physical presence of individuals, the presentation of physical identity documents, and actual face-to-face interactions with designated registration authorities.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.12.5", + "title": "ADDRESS CONFIRMATION", + "props": [ + { + "class": "name", + "value": "IA-12 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that a [Selection: registration code; notice of proofing] be delivered through an out-of-band channel to verify the users address (physical or digital) of record.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTo make it more difficult for adversaries to pose as legitimate users during the identity proofing process, organizations can use out-of-band methods to increase assurance that the individual associated with an address of record was the same person that participated in the registration. Confirmation can take the form of a temporary enrollment code or a notice of proofing. The delivery address for these artifacts are obtained from records and not self-asserted by the user. The address can include a physical or a digital address. A home address is an example of a physical address. Email addresses and telephone numbers are examples of digital addresses.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.12" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ia.12.6", + "title": "ACCEPT EXTERNALLY-PROOFED IDENTITIES", + "props": [ + { + "class": "name", + "value": "IA-12 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAccept externally-proofed identities at \u003cinsert param-id=\"ia-12_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTo limit unnecessary re-proofing of identities, particularly of non-PIV users, organizations accept proofing conducted at a commensurate level of assurance by other agencies or organizations. Proofing is consistent with organizational security policy and with the identity assurance level appropriate for the system, application, or information accessed. This is a core component of managing federated identities across agencies and organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.3" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + } + ] + } + ], + "params": [ + { + "id": "ia-12_b", + "desc": "organization-defined identity assurance level", + "value": "organization-defined identity assurance level" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + } + ] + } + } + ] + }, + { + "class": "family", + "title": "INDIVIDUAL PARTICIPATION", + "controls": [ + { + "class": "SP800-53", + "id": "ip.1", + "title": "INDIVIDUAL PARTICIPATION POLICY AND PROCEDURES", + "params": [ + { + "id": "ip-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ip-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "ip-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ip-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IP-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ip.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"ip-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "ip.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eAn individual participation policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "ip.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "ip.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "ip.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the individual participation policy and the associated individual participation controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ip.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"ip-1_b\"/\u003e to manage the individual participation policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-1b." + } + ] + }, + { + "class": "item", + "id": "ip.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current individual participation:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "ip.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"ip-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-1c.1." + } + ] + }, + { + "class": "item", + "id": "ip.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"ip-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ip.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the individual participation procedures implement the individual participation policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-1d." + } + ] + }, + { + "class": "item", + "id": "ip.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the individual participation policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the IP family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ip.2", + "title": "CONSENT", + "params": [ + { + "id": "ip-2_a", + "desc": "organization-defined tools or mechanisms", + "value": "organization-defined tools or mechanisms" + } + ], + "props": [ + { + "class": "name", + "value": "IP-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"ip-2_a\"/\u003e for users to authorize the processing of their personally identifiable information prior to its collection that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ip.2a", + "prose": [ + "\u003cp class=\"description\"\u003eUse plain language and provide examples to illustrate the potential privacy risks of the authorization; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-2a." + } + ] + }, + { + "class": "item", + "id": "ip.2b", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a means for users to decline the authorization.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-2b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control transfers risk that arises from the processing of personally identifiable information from the organization to an individual. It is only selected as required by law or regulation or when individuals can be reasonably expected to understand and accept any privacy risks arising from their authorization. Organizations consider whether other controls may more effectively mitigate privacy risk either alone or in conjunction with consent. To help users understand the risks being accepted when providing consent, organizations write materials in plain language and avoid technical jargon. The examples required in IP-2 a. focus on key points necessary for user decision-making. When developing or purchasing consent tools, organizations consider the application of good information design procedures in all user-facing consent materials; use of active voice and conversational style; logical sequencing of main points; consistent use of the same word (rather than synonyms) to avoid confusion; the use of bullets, numbers, and formatting where appropriate to aid readability; and legibility of text, such as font style, size, color, and contrast with surrounding background.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#ip.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ip.2.1", + "title": "ATTRIBUTE MANAGEMENT", + "props": [ + { + "class": "name", + "value": "IP-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAllow data subjects to tailor use permissions to selected attributes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAllowing individuals to select how specific data attributes may be further used or disclosed beyond the original use may help reduce privacy risk arising from the most sensitive of the data attributes while maintaining utility of the data.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ip.2.2", + "title": "JUST-IN-TIME NOTICE OF CONSENT", + "props": [ + { + "class": "name", + "value": "IP-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePresent authorizations to process personally identifiable information in conjunction with the data action or \u003cinsert param-id=\"ip-2_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIf the circumstances under which an individual gave consent have changed or a significant amount of time has passed since an individual gave consent for the processing of his or her personally identifiable information, the data subject\u0026#x92;s assumption about how the information is being processed might no longer be accurate or reliable. Just-in-time notice can help maintain individual satisfaction with how the personally identifiable information is being processed.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ip-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ip.3", + "title": "REDRESS", + "props": [ + { + "class": "name", + "value": "IP-3" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ip.3a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish and implement a process for individuals to have inaccurate personally identifiable information maintained by the organization corrected or amended; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-3a." + } + ] + }, + { + "class": "item", + "id": "ip.3b", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish and implement a process for disseminating corrections or amendments of personally identifiable information to other authorized users of the personally identifiable information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-3b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRedress supports the ability of individuals to ensure the accuracy of their personally identifiable information held by organizations. Effective redress processes demonstrate organizational commitment to data quality especially in those business functions where inaccurate data may result in inappropriate decisions or the denial of benefits and services to individuals. Organizations use discretion in determining if records are to be corrected or amended, based on the scope of redress requests, the changes sought, and the impact of the changes. Other authorized users of personally identifiable information include, for example, external information-sharing partners. An effective redress process includes: providing effective notice of the existence of a personally identifiable information collection; providing plain language explanations of the processes and mechanisms for requesting access to records; establishing the criteria for submitting requests for correction or amendment of records; implementing resources to analyze and adjudicate requests; implementing means of correcting or amending data collections; and reviewing any decisions that may have been the result of inaccurate information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ip.4" + }, + { + "href": "#ip.6" + }, + { + "href": "#ir.7" + }, + { + "href": "#pm.28" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ip.3.1", + "title": "NOTICE OF CORRECTION OR AMENDMENT", + "props": [ + { + "class": "name", + "value": "IP-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eNotify affected individuals if their personally identifiable information has been corrected or amended.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhere personally identifiable information is corrected or amended, organizations take steps to ensure that all authorized recipients of such information and the individual with which the information is associated, are informed of the corrected or amended information.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ip.3.2", + "title": "APPEAL", + "props": [ + { + "class": "name", + "value": "IP-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide \u003cinsert param-id=\"ip-3_a\"/\u003e for individuals to appeal an adverse decision and have incorrect information amended.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe Senior Agency Official for Privacy ensures that practical means and mechanisms exist and are accessible for individuals to seek the correction or amendment of their personally identifiable information. Redress processes are clearly defined and publicly available. Additionally, redress processes include the provision of responses to individuals of decisions to deny requests for correction or amendment. The responses include the reasons for the decisions, a means to record individual objections to the decisions, and finally, a means of requesting reviews of the initial determinations.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ip-3_a", + "desc": "organization-defined process", + "value": "organization-defined process" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ip.4", + "title": "PRIVACY NOTICE", + "params": [ + { + "id": "ip-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IP-4" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ip.4a", + "prose": [ + "\u003cp class=\"description\"\u003eMake privacy notice(s) available to individuals upon first interacting with an organization, and subsequently \u003cinsert param-id=\"ip-4_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-4a." + } + ] + }, + { + "class": "item", + "id": "ip.4b", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that privacy notices are clear and easy-to-understand, expressing information about personally identifiable information processing in plain language.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-4b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTo help users understand how their information is being processed, organizations write materials in plain language and avoid technical jargon. When developing privacy notices, organizations consider the application of good information design procedures in all user-facing materials; use of active voice and conversational style; logical sequencing of main points; consistent use of the same word (rather than synonyms) to avoid confusion; use of bullets, numbers, and formatting where appropriate to aid readability; and legibility of text, such as font style, size, color, and contrast with surrounding background.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ip.2" + }, + { + "href": "#ip.3" + }, + { + "href": "#ip.4" + }, + { + "href": "#ip.5" + }, + { + "href": "#pa.2" + }, + { + "href": "#pa.3" + }, + { + "href": "#pa.4" + }, + { + "href": "#pm.21" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ip.4.1", + "title": "JUST-IN-TIME NOTICE OF PRIVACY AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "IP-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePresent authorizations to process personally identifiable information in conjunction with the data action, or \u003cinsert param-id=\"ip-4_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIf the circumstances under which an individual gave consent have changed or a significant amount of time has passed since an individual gave consent for the processing of his or her personally identifiable information, the data subject\u0026#x92;s assumption about how the information is being processed might no longer be accurate or reliable. Just-in-time notice can help maintain individual satisfaction with or ability to participate in how the personally identifiable information is being processed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ip.2" + }, + { + "href": "#ip.3" + }, + { + "href": "#ip.5" + }, + { + "href": "#pa.3" + }, + { + "href": "#pa.4" + }, + { + "href": "#pm.22" + } + ] + } + ], + "params": [ + { + "id": "ip-4_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ip.5", + "title": "PRIVACY ACT STATEMENTS", + "props": [ + { + "class": "name", + "value": "IP-5" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ip.5a", + "prose": [ + "\u003cp class=\"description\"\u003eInclude Privacy Act Statements on organizational forms that collect personally identifiable information, or on separate forms that can be retained by individuals; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-5a." + } + ] + }, + { + "class": "item", + "id": "ip.5b", + "prose": [ + "\u003cp class=\"description\"\u003eRead a Privacy Act Statement to the individual prior to initiating the collection of personally identifiable information verbally.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IP-5b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivacy Act Statements provide additional formal notice to individuals from whom the information is being collected, notice of the authority of organizations to collect personally identifiable information; whether providing personally identifiable information is mandatory or optional; the principal purpose or purposes for which the personally identifiable information is to be used; the intended disclosures or routine uses of the information; and the consequences of not providing all or some portion of the information requested. Personally identifiable information may be collected verbally, for example, when conducting telephone interviews or surveys.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ip.4" + }, + { + "href": "#pa.3" + }, + { + "href": "#pm.20" + }, + { + "href": "#pm.21" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ip.6", + "title": "INDIVIDUAL ACCESS", + "props": [ + { + "class": "name", + "value": "IP-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide individuals the ability to access their personally identifiable information maintained in organizational systems of records.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAccess affords individuals the ability to review personally identifiable information about them held within organizational systems of records. Access includes timely, simplified, and inexpensive access to data. Organizational processes for allowing access to records may differ based on resources, legal requirements, or other factors. The Senior Agency Official for Privacy is responsible for the content of Privacy Act regulations and record request processing, in consultation with legal counsel. Access to certain types of records may not be appropriate, and heads of agencies may promulgate rules exempting specific systems from the access provision of the Privacy Act. When feasible, those rules will be publicly available. In addition, individuals are not entitled to access to information compiled in reasonable anticipation of a civil action or proceeding.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ip.3" + }, + { + "href": "#pa.3" + }, + { + "href": "#pm.27" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "INCIDENT RESPONSE", + "controls": [ + { + "class": "SP800-53", + "id": "ir.1", + "title": "INCIDENT RESPONSE POLICY AND PROCEDURES", + "params": [ + { + "id": "ir-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ir-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "ir-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ir-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IR-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ir.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"ir-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "ir.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eAn incident response policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "ir.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "ir.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "ir.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the incident response policy and the associated incident response controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ir.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"ir-1_b\"/\u003e to manage the incident response policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1b." + } + ] + }, + { + "class": "item", + "id": "ir.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current incident response:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "ir.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"ir-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1c.1." + } + ] + }, + { + "class": "item", + "id": "ir.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"ir-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ir.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the incident response procedures implement the incident response policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1d." + } + ] + }, + { + "class": "item", + "id": "ir.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the incident response policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the IR family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-83", + "value": "NIST Special Publication 800-83" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.2", + "title": "INCIDENT RESPONSE TRAINING", + "params": [ + { + "id": "ir-2_a", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + }, + { + "id": "ir-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IR-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide incident response training to system users consistent with assigned roles and responsibilities:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ir.2a", + "prose": [ + "\u003cp class=\"description\"\u003eWithin \u003cinsert param-id=\"ir-2_a\"/\u003e of assuming an incident response role or responsibility;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2a." + } + ] + }, + { + "class": "item", + "id": "ir.2b", + "prose": [ + "\u003cp class=\"description\"\u003eWhen required by system changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2b." + } + ] + }, + { + "class": "item", + "id": "ir.2c", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"ir-2_b\"/\u003e thereafter.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-2c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncident response training is linked to assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, users may only need to know who to call or how to recognize an incident; system administrators may require additional training on how to handle and remediate incidents; and finally, incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.4" + }, + { + "href": "#at.3" + }, + { + "href": "#cp.3" + }, + { + "href": "#ir.3" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.8" + }, + { + "href": "#ir.9" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.2.1", + "title": "SIMULATED EVENTS", + "props": [ + { + "class": "name", + "value": "IR-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIncorporate simulated events into incident response training to facilitate effective response by personnel in crisis situations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.2.2", + "title": "AUTOMATED TRAINING ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "IR-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to provide a more thorough and realistic incident response training environment.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-50", + "value": "NIST Special Publication 800-50" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.3", + "title": "INCIDENT RESPONSE TESTING", + "params": [ + { + "id": "ir-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ir-3_b", + "desc": "organization-defined tests", + "value": "organization-defined tests" + } + ], + "props": [ + { + "class": "name", + "value": "IR-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTest the incident response capability for the system \u003cinsert param-id=\"ir-3_a\"/\u003e using \u003cinsert param-id=\"ir-3_b\"/\u003e to determine the incident response effectiveness and documents the results.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations test incident response capabilities to determine the overall effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes, for example, the use of checklists, walk-through or tabletop exercises, simulations (parallel/full interrupt), and comprehensive exercises. Incident response testing can also include a determination of the effects on organizational operations, organizational assets, and individuals due to incident response. Use of qualitative and quantitative data aids in determining the effectiveness of incident response processes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.3" + }, + { + "href": "#cp.4" + }, + { + "href": "#ir.2" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.8" + }, + { + "href": "#pm.14" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.3.1", + "title": "AUTOMATED TESTING", + "props": [ + { + "class": "name", + "value": "IR-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to more thoroughly and effectively test the incident response capability.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations use automated mechanisms to more thoroughly and effectively test incident response capabilities. This can be accomplished, for example, by providing more complete coverage of incident response issues; by selecting more realistic test scenarios and test environments; and by stressing the response capability.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.3.2", + "title": "COORDINATION WITH RELATED PLANS", + "props": [ + { + "class": "name", + "value": "IR-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinate incident response testing with organizational elements responsible for related plans.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational plans related to incident response testing include, for example, Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Occupant Emergency Plans, and Critical Infrastructure Plans.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.3.3", + "title": "CONTINUOUS IMPROVEMENT", + "props": [ + { + "class": "name", + "value": "IR-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUse qualitative and quantitative data from testing to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ir.3.3.a", + "prose": [ + "\u003cp class=\"description\"\u003eDetermine the effectiveness of incident response processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-3 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "ir.3.3.b", + "prose": [ + "\u003cp class=\"description\"\u003eContinuously improve incident response processes incorporating advanced information security practices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-3 (3)(b)" + } + ] + }, + { + "class": "item", + "id": "ir.3.3.c", + "prose": [ + "\u003cp class=\"description\"\u003eProvide incident response measures and metrics that are accurate, consistent, and in a reproducible format.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-3 (3)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTo help incident response activities function as intended, organizations may use of metrics and evaluation criteria to assess incident response programs as part of an effort to continually improve response performance. These efforts facilitate improvement in incident response efficacy and lessen the impact of incidents.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-84", + "value": "NIST Special Publication 800-84" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-115", + "value": "NIST Special Publication 800-115" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.4", + "title": "INCIDENT HANDLING", + "props": [ + { + "class": "name", + "value": "IR-4" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ir.4a", + "prose": [ + "\u003cp class=\"description\"\u003eImplement an incident handling capability for security and privacy incidents that includes preparation, detection and analysis, containment, eradication, and recovery;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4a." + } + ] + }, + { + "class": "item", + "id": "ir.4b", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinate incident handling activities with contingency planning activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4b." + } + ] + }, + { + "class": "item", + "id": "ir.4c", + "prose": [ + "\u003cp class=\"description\"\u003eIncorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4c." + } + ] + }, + { + "class": "item", + "id": "ir.4d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the organization.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-4d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations recognize that incident response capability is dependent on the capabilities of organizational systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#cm.6" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.3" + }, + { + "href": "#cp.4" + }, + { + "href": "#ir.2" + }, + { + "href": "#ir.3" + }, + { + "href": "#ir.8" + }, + { + "href": "#pe.6" + }, + { + "href": "#pl.2" + }, + { + "href": "#pm.12" + }, + { + "href": "#sa.12" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.4.1", + "title": "AUTOMATED INCIDENT HANDLING PROCESSES", + "props": [ + { + "class": "name", + "value": "IR-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to support the incident handling process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting incident handling processes include, for example, online incident management systems; and tools that support collection of live response data, full network packet capture, and forensic analysis.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.2", + "title": "DYNAMIC RECONFIGURATION", + "props": [ + { + "class": "name", + "value": "IR-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInclude dynamic reconfiguration of \u003cinsert param-id=\"ir-4_a\"/\u003e as part of the incident response capability.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic reconfiguration includes, for example, changes to router rules, access control lists, intrusion detection/prevention system parameters, and filter rules for firewalls and gateways. Organizations perform dynamic reconfiguration of systems, for example, to stop attacks, to misdirect attackers, and to isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include time frames for achieving the reconfiguration of systems in the definition of the reconfiguration capability, considering the potential need for rapid response to effectively address cyber threats.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.4" + }, + { + "href": "#cm.2" + } + ] + } + ], + "params": [ + { + "id": "ir-4_a", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.3", + "title": "CONTINUITY OF OPERATIONS", + "props": [ + { + "class": "name", + "value": "IR-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify \u003cinsert param-id=\"ir-4_b\"/\u003e and \u003cinsert param-id=\"ir-4_c\"/\u003e to ensure continuation of organizational missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClasses of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Appropriate incident response actions include, for example, graceful degradation, system shutdown, fall back to manual mode/alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved solely for when systems are under attack.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ir-4_b", + "desc": "organization-defined classes of incidents", + "value": "organization-defined classes of incidents" + }, + { + "id": "ir-4_c", + "desc": "organization-defined actions to take in response to classes of incidents", + "value": "organization-defined actions to take in response to classes of incidents" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.4", + "title": "INFORMATION CORRELATION", + "props": [ + { + "class": "name", + "value": "IR-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCorrelate incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSometimes the nature of a threat event, for example, a hostile attack, is such that it can only be observed by bringing together information from different sources including various reports and reporting procedures established by organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.5", + "title": "AUTOMATIC DISABLING OF SYSTEM", + "props": [ + { + "class": "name", + "value": "IR-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement a configurable capability to automatically disable the system if \u003cinsert param-id=\"ir-4_d\"/\u003e are detected.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ir-4_d", + "desc": "organization-defined security violations", + "value": "organization-defined security violations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.6", + "title": "INSIDER THREATS — SPECIFIC CAPABILITIES", + "props": [ + { + "class": "name", + "value": "IR-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement an incident handling capability for incidents involving insider threats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhile many organizations address insider threat incidents as an inherent part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities (as defined within organizations) to provide appropriate and timely responses.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.7", + "title": "INSIDER THREATS — INTRA-ORGANIZATION COORDINATION", + "props": [ + { + "class": "name", + "value": "IR-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinate an incident handling capability for insider threats across \u003cinsert param-id=\"ir-4_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncident handling for insider threat incidents (including preparation, detection and analysis, containment, eradication, and recovery) requires close coordination among a variety of organizational components or elements to be effective. These components or elements include, for example, mission/business owners, system owners, human resources offices, procurement offices, personnel/physical security offices, operations personnel, and risk executive (function). In addition, organizations may require external support from federal, state, and local law enforcement agencies.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ir-4_e", + "desc": "organization-defined components or elements of the organization", + "value": "organization-defined components or elements of the organization" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.8", + "title": "CORRELATION WITH EXTERNAL ORGANIZATIONS", + "props": [ + { + "class": "name", + "value": "IR-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinate with \u003cinsert param-id=\"ir-4_f\"/\u003e to correlate and share \u003cinsert param-id=\"ir-4_g\"/\u003e to achieve a cross-organization perspective on incident awareness and more effective incident responses.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe coordination of incident information with external organizations including, for example, mission/business partners, military/coalition partners, customers, and multi-tiered developers, can provide significant benefits. Cross-organizational coordination with respect to incident handling can serve as an important risk management capability. This capability allows organizations to leverage critical information from a variety of sources to effectively respond to information security-related incidents potentially affecting the organization\u0026#x92;s operations, assets, and individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.16" + }, + { + "href": "#pm.16" + } + ] + } + ], + "params": [ + { + "id": "ir-4_f", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "id": "ir-4_g", + "desc": "organization-defined incident information", + "value": "organization-defined incident information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.9", + "title": "DYNAMIC RESPONSE CAPABILITY", + "props": [ + { + "class": "name", + "value": "IR-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"ir-4_h\"/\u003e to effectively respond to security incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses the timely deployment of new or replacement organizational capabilities in response to security and privacy incidents. This includes capabilities implemented at the mission and business process level and at the system level.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ir-4_h", + "desc": "organization-defined dynamic response capabilities", + "value": "organization-defined dynamic response capabilities" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.4.10", + "title": "SUPPLY CHAIN COORDINATION", + "props": [ + { + "class": "name", + "value": "IR-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinate incident handling activities involving supply chain events with other organizations involved in the supply chain.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ma.2" + }, + { + "href": "#sa.9" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.5", + "title": "INCIDENT MONITORING", + "props": [ + { + "class": "name", + "value": "IR-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTrack and document system security and privacy incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDocumenting system security and privacy incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics; and evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, network monitoring; incident reports; incident response teams; user complaints; audit monitoring; physical access monitoring; and user and administrator reports.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#ir.8" + }, + { + "href": "#pe.6" + }, + { + "href": "#pm.29" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.5.1", + "title": "AUTOMATED TRACKING, DATA COLLECTION, AND ANALYSIS", + "props": [ + { + "class": "name", + "value": "IR-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to assist in the tracking of security and privacy incidents and in the collection and analysis of incident information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms for tracking incidents and for collecting and analyzing incident information include, for example, Computer Incident Response Centers or other electronic databases of incidents and network monitoring devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.7" + }, + { + "href": "#ir.4" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.6", + "title": "INCIDENT REPORTING", + "params": [ + { + "id": "ir-6_a", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + }, + { + "id": "ir-6_b", + "desc": "organization-defined authorities", + "value": "organization-defined authorities" + } + ], + "props": [ + { + "class": "name", + "value": "IR-6" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ir.6a", + "prose": [ + "\u003cp class=\"description\"\u003eRequire personnel to report suspected security and privacy incidents to the organizational incident response capability within \u003cinsert param-id=\"ir-6_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6a." + } + ] + }, + { + "class": "item", + "id": "ir.6b", + "prose": [ + "\u003cp class=\"description\"\u003eReport security, privacy, and supply chain incident information to \u003cinsert param-id=\"ir-6_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-6b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe intent of this control is to address both specific incident reporting requirements within an organization and the incident reporting requirements for organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. Suspected privacy incidents include, for example a suspected breach of personally identifiable information or the recognition that the processing of personally identifiable information creates potential privacy risk. The types of incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#cp.2" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.5" + }, + { + "href": "#ir.8" + }, + { + "href": "#ir.9" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.6.1", + "title": "AUTOMATED REPORTING", + "props": [ + { + "class": "name", + "value": "IR-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to assist in the reporting of security and privacy incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.7" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.6.2", + "title": "VULNERABILITIES RELATED TO INCIDENTS", + "props": [ + { + "class": "name", + "value": "IR-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eReport system vulnerabilities associated with reported security and privacy incidents to \u003cinsert param-id=\"ir-6_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ir-6_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.6.3", + "title": "SUPPLY CHAIN COORDINATION", + "props": [ + { + "class": "name", + "value": "IR-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide security and privacy incident information to the provider of the product or service and other organizations involved in the supply chain for systems or system components related to the incident.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities. Organizations determine the appropriate information to share considering the value gained from support by external organizations with the potential for harm due to controlled unclassified information being released to outside organizations of perhaps questionable trustworthiness.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.7", + "title": "INCIDENT RESPONSE ASSISTANCE", + "props": [ + { + "class": "name", + "value": "IR-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the system for the handling and reporting of security and privacy incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services or consumer redress services, when required.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#ip.3" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.6" + }, + { + "href": "#ir.8" + }, + { + "href": "#pm.28" + }, + { + "href": "#sa.9" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.7.1", + "title": "AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION AND SUPPORT", + "props": [ + { + "class": "name", + "value": "IR-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to increase the availability of incident response-related information and support.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or the assistance capability can proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.7.2", + "title": "COORDINATION WITH EXTERNAL PROVIDERS", + "props": [ + { + "class": "name", + "value": "IR-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ir.7.2.a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish a direct, cooperative relationship between its incident response capability and external providers of system protection capability; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-7 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "ir.7.2.b", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify organizational incident response team members to the external providers.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-7 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal providers of a system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ir.8", + "title": "INCIDENT RESPONSE PLAN", + "params": [ + { + "id": "ir-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ir-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ir-8_c", + "desc": "organization-defined entities, personnel, or roles", + "value": "organization-defined entities, personnel, or roles" + }, + { + "id": "ir-8_d", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "id": "ir-8_e", + "desc": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements", + "value": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + } + ], + "props": [ + { + "class": "name", + "value": "IR-8" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ir.8a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop an incident response plan that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a." + } + ], + "parts": [ + { + "class": "item", + "id": "ir.8a.1", + "prose": [ + "\u003cp class=\"description\"\u003eProvides the organization with a roadmap for implementing its incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.1." + } + ] + }, + { + "class": "item", + "id": "ir.8a.2", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes the structure and organization of the incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.2." + } + ] + }, + { + "class": "item", + "id": "ir.8a.3", + "prose": [ + "\u003cp class=\"description\"\u003eProvides a high-level approach for how the incident response capability fits into the overall organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.3." + } + ] + }, + { + "class": "item", + "id": "ir.8a.4", + "prose": [ + "\u003cp class=\"description\"\u003eMeets the unique requirements of the organization, which relate to mission, size, structure, and functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.4." + } + ] + }, + { + "class": "item", + "id": "ir.8a.5", + "prose": [ + "\u003cp class=\"description\"\u003eDefines reportable incidents;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.5." + } + ] + }, + { + "class": "item", + "id": "ir.8a.6", + "prose": [ + "\u003cp class=\"description\"\u003eProvides metrics for measuring the incident response capability within the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.6." + } + ] + }, + { + "class": "item", + "id": "ir.8a.7", + "prose": [ + "\u003cp class=\"description\"\u003eDefines the resources and management support needed to effectively maintain and mature an incident response capability;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.7." + } + ] + }, + { + "class": "item", + "id": "ir.8a.8", + "prose": [ + "\u003cp class=\"description\"\u003eIs reviewed and approved by \u003cinsert param-id=\"ir-8_a\"/\u003e \u003cinsert param-id=\"ir-8_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.8." + } + ] + }, + { + "class": "item", + "id": "ir.8a.9", + "prose": [ + "\u003cp class=\"description\"\u003eExplicitly designates responsibility for incident response to \u003cinsert param-id=\"ir-8_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8a.9." + } + ] + } + ] + }, + { + "class": "item", + "id": "ir.8b", + "prose": [ + "\u003cp class=\"description\"\u003eDistribute copies of the incident response plan to \u003cinsert param-id=\"ir-8_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8b." + } + ] + }, + { + "class": "item", + "id": "ir.8c", + "prose": [ + "\u003cp class=\"description\"\u003eUpdate the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8c." + } + ] + }, + { + "class": "item", + "id": "ir.8d", + "prose": [ + "\u003cp class=\"description\"\u003eCommunicate incident response plan changes to \u003cinsert param-id=\"ir-8_e\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8d." + } + ] + }, + { + "class": "item", + "id": "ir.8e", + "prose": [ + "\u003cp class=\"description\"\u003eProtect the incident response plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIt is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational systems. For incidents involving personally identifiable information, include a process to determine whether notice to oversight organizations or affected individuals is appropriate and provide that notice accordingly.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.4" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.7" + }, + { + "href": "#ir.9" + }, + { + "href": "#pe.6" + }, + { + "href": "#pl.2" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.15" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.8.1", + "title": "PERSONALLY IDENTIFIABLE INFORMATION PROCESSES", + "props": [ + { + "class": "name", + "value": "IR-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInclude the following additional processes in the Incident Response Plan for incidents involving personally identifiable information:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ir.8.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eA process to determine if notice to oversight organizations is appropriate and to provide that notice, if appropriate;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "ir.8.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eAn assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8 (1)(b)" + } + ] + }, + { + "class": "item", + "id": "ir.8.1.c", + "prose": [ + "\u003cp class=\"description\"\u003eA process to ensure prompt reporting by organizational users of any privacy incident to \u003cinsert param-id=\"ir-8_f\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-8 (1)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSome organizations may be required by law or policy to provide notice to oversight organizations in the event of a privacy-related incident. Organization-defined roles to which privacy incidents may be reported include, for example, the Senior Agency Official for Privacy, Senior Agency Information Security Officer, Authorizing Official, and System Owner.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ir-8_f", + "desc": "organization-defined roles", + "value": "organization-defined roles" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ir.9", + "title": "INFORMATION SPILLAGE RESPONSE", + "params": [ + { + "id": "ir-9_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ir-9_b", + "desc": "organization-defined actions", + "value": "organization-defined actions" + } + ], + "props": [ + { + "class": "name", + "value": "IR-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRespond to information spills by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ir.9a", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifying the specific information involved in the system contamination;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9a." + } + ] + }, + { + "class": "item", + "id": "ir.9b", + "prose": [ + "\u003cp class=\"description\"\u003eAlerting \u003cinsert param-id=\"ir-9_a\"/\u003e of the information spill using a method of communication not associated with the spill;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9b." + } + ] + }, + { + "class": "item", + "id": "ir.9c", + "prose": [ + "\u003cp class=\"description\"\u003eIsolating the contaminated system or system component;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9c." + } + ] + }, + { + "class": "item", + "id": "ir.9d", + "prose": [ + "\u003cp class=\"description\"\u003eEradicating the information from the contaminated system or component;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9d." + } + ] + }, + { + "class": "item", + "id": "ir.9e", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifying other systems or system components that may have been subsequently contaminated; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9e." + } + ] + }, + { + "class": "item", + "id": "ir.9f", + "prose": [ + "\u003cp class=\"description\"\u003ePerforming the following additional actions: \u003cinsert param-id=\"ir-9_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "IR-9f." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation spillage refers to instances where either classified or controlled unclassified information is inadvertently placed on systems that are not authorized to process such information. Such information spills occur when information that is initially thought to be of lower sensitivity is transmitted to a system and then subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information, the security capabilities of the system, the specific nature of contaminated storage media, and the access authorizations of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#ir.6" + }, + { + "href": "#pm.28" + }, + { + "href": "#pm.30" + }, + { + "href": "#ra.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ir.9.1", + "title": "RESPONSIBLE PERSONNEL", + "props": [ + { + "class": "name", + "value": "IR-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAssign \u003cinsert param-id=\"ir-9_c\"/\u003e with responsibility for responding to information spills.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ir-9_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.9.2", + "title": "TRAINING", + "props": [ + { + "class": "name", + "value": "IR-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide information spillage response training \u003cinsert param-id=\"ir-9_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#cp.3" + }, + { + "href": "#ir.2" + } + ] + } + ], + "params": [ + { + "id": "ir-9_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.9.3", + "title": "POST-SPILL OPERATIONS", + "props": [ + { + "class": "name", + "value": "IR-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"ir-9_e\"/\u003e to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrection actions for systems contaminated due to information spillages may be very time-consuming. During those periods, personnel may not have access to the contaminated systems, which may potentially affect their ability to conduct organizational business.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ir-9_e", + "desc": "organization-defined procedures", + "value": "organization-defined procedures" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ir.9.4", + "title": "EXPOSURE TO UNAUTHORIZED PERSONNEL", + "props": [ + { + "class": "name", + "value": "IR-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"ir-9_f\"/\u003e for personnel exposed to information not within assigned access authorizations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity safeguards include, for example, ensuring that personnel who are exposed to spilled information are made aware of the laws, Executive Orders, directives, regulations, policies, standards, and guidelines regarding the information and the restrictions imposed based on exposure to such information.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ir-9_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ir.10", + "title": "INTEGRATED INFORMATION SECURITY ANALYSIS TEAM", + "props": [ + { + "class": "name", + "value": "IR-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish an integrated team of forensic and malicious code analysts, tool developers, and real-time operations personnel to handle incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHaving an integrated team for incident response facilitates information sharing. Such capability allows organizational personnel, including developers, implementers, and operators, to leverage the team knowledge of the threat to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, integrated teams promote the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated analysis team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing intelligence development. This enables the team to identify adversary tactics, techniques, and procedures that are linked to the operations tempo or to specific missions and business functions, and to define responsive actions in a way that does not disrupt those missions and business functions. Information security analysis teams are distributed within organizations to make the capability more resilient.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "MAINTENANCE", + "controls": [ + { + "class": "SP800-53", + "id": "ma.1", + "title": "SYSTEM MAINTENANCE POLICY AND PROCEDURES", + "params": [ + { + "id": "ma-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ma-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "ma-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ma-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "MA-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ma.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"ma-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "ma.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eA system maintenance policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "ma.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "ma.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "ma.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the system maintenance policy and the associated system maintenance controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ma.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"ma-1_b\"/\u003e to manage the system maintenance policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1b." + } + ] + }, + { + "class": "item", + "id": "ma.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current system maintenance:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "ma.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"ma-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1c.1." + } + ] + }, + { + "class": "item", + "id": "ma.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"ma-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ma.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the system maintenance procedures implement the system maintenance policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1d." + } + ] + }, + { + "class": "item", + "id": "ma.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the maintenance policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the MA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ma.2", + "title": "CONTROLLED MAINTENANCE", + "params": [ + { + "id": "ma-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ma-2_b", + "desc": "organization-defined maintenance-related information", + "value": "organization-defined maintenance-related information" + } + ], + "props": [ + { + "class": "name", + "value": "MA-2" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ma.2a", + "prose": [ + "\u003cp class=\"description\"\u003eSchedule, document, and review records of maintenance, repair, or replacement on system components in accordance with manufacturer or vendor specifications and/or organizational requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2a." + } + ] + }, + { + "class": "item", + "id": "ma.2b", + "prose": [ + "\u003cp class=\"description\"\u003eApprove and monitor all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2b." + } + ] + }, + { + "class": "item", + "id": "ma.2c", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that \u003cinsert param-id=\"ma-2_a\"/\u003e explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2c." + } + ] + }, + { + "class": "item", + "id": "ma.2d", + "prose": [ + "\u003cp class=\"description\"\u003eSanitize equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2d." + } + ] + }, + { + "class": "item", + "id": "ma.2e", + "prose": [ + "\u003cp class=\"description\"\u003eCheck all potentially impacted security and privacy controls to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2e." + } + ] + }, + { + "class": "item", + "id": "ma.2f", + "prose": [ + "\u003cp class=\"description\"\u003eInclude \u003cinsert param-id=\"ma-2_b\"/\u003e in organizational maintenance records.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2f." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the information security aspects of the system maintenance program and applies to all types of maintenance to any system component (hardware, firmware, applications) conducted by any local or nonlocal entity. System maintenance also includes those components not directly associated with information processing and/or data or information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example, date and time of maintenance; name of individuals or group performing the maintenance; name of escort, if necessary; a description of the maintenance performed; and system components or equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational systems. Organizations consider supply chain issues associated with replacement components for systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.5" + }, + { + "href": "#ma.4" + }, + { + "href": "#mp.6" + }, + { + "href": "#pe.16" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.19" + }, + { + "href": "#si.2" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.2.1", + "title": "RECORD CONTENT", + "props": [ + { + "class": "name", + "value": "MA-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MA-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ma.2" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.2.2", + "title": "AUTOMATED MAINTENANCE ACTIVITIES", + "props": [ + { + "class": "name", + "value": "MA-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ma.2.2.a", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to schedule, conduct, and document maintenance, repair, and replacement actions for the system or system components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "ma.2.2.b", + "prose": [ + "\u003cp class=\"description\"\u003eProduce up-to date, accurate, and complete records of all maintenance, repair, and replacement actions requested, scheduled, in process, and completed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-2 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ma.3" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ma.3", + "title": "MAINTENANCE TOOLS", + "params": [ + { + "id": "ma-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "MA-3" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ma.3a", + "prose": [ + "\u003cp class=\"description\"\u003eApprove, control, and monitor the use of system maintenance tools; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3a." + } + ] + }, + { + "class": "item", + "id": "ma.3b", + "prose": [ + "\u003cp class=\"description\"\u003eReview previously approved system maintenance tools \u003cinsert param-id=\"ma-3_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses security-related issues associated with maintenance tools that are not within organizational system boundaries but are used specifically for diagnostic and repair actions on organizational systems. Organizations have flexibility in determining roles for approval of maintenance tools and how that approval is documented. Periodic review of system maintenance tools facilitates withdrawal of the approval for outdated, unsupported, irrelevant, or no-longer-used tools. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, intentionally or unintentionally, into a facility and subsequently into systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware and software packet sniffers. This control does not cover hardware or software components that support system maintenance and are a part of the system, for example, the software implementing \u0026#x93;ping,\u0026#x94; \u0026#x93;ls,\u0026#x94; \u0026#x93;ipconfig,\u0026#x94; or the hardware and software implementing the monitoring port of an Ethernet switch.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ma.2" + }, + { + "href": "#pe.16" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.3.1", + "title": "INSPECT TOOLS", + "props": [ + { + "class": "name", + "value": "MA-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInspect the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIf, upon inspection of maintenance tools, organizations determine that the tools have been modified in an improper/unauthorized manner or contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.7" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.3.2", + "title": "INSPECT MEDIA", + "props": [ + { + "class": "name", + "value": "MA-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCheck media containing diagnostic and test programs for malicious code before the media are used in the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIf, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.3.3", + "title": "PREVENT UNAUTHORIZED REMOVAL", + "props": [ + { + "class": "name", + "value": "MA-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent the removal of maintenance equipment containing organizational information by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ma.3.3.a", + "prose": [ + "\u003cp class=\"description\"\u003eVerifying that there is no organizational information contained on the equipment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "ma.3.3.b", + "prose": [ + "\u003cp class=\"description\"\u003eSanitizing or destroying the equipment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3 (3)(b)" + } + ] + }, + { + "class": "item", + "id": "ma.3.3.c", + "prose": [ + "\u003cp class=\"description\"\u003eRetaining the equipment within the facility; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3 (3)(c)" + } + ] + }, + { + "class": "item", + "id": "ma.3.3.d", + "prose": [ + "\u003cp class=\"description\"\u003eObtaining an exemption from \u003cinsert param-id=\"ma-3_b\"/\u003e explicitly authorizing removal of the equipment from the facility.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-3 (3)(d)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational information includes all information specifically owned by organizations and information provided to organizations in which organizations serve as information stewards.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.6" + } + ] + } + ], + "params": [ + { + "id": "ma-3_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.3.4", + "title": "RESTRICTED TOOL USE", + "props": [ + { + "class": "name", + "value": "MA-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRestrict the use of maintenance tools to authorized personnel only.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to systems that are used to carry out maintenance functions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-88", + "value": "NIST Special Publication 800-88" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ma.4", + "title": "NONLOCAL MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-4" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ma.4a", + "prose": [ + "\u003cp class=\"description\"\u003eApprove and monitor nonlocal maintenance and diagnostic activities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4a." + } + ] + }, + { + "class": "item", + "id": "ma.4b", + "prose": [ + "\u003cp class=\"description\"\u003eAllow the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4b." + } + ] + }, + { + "class": "item", + "id": "ma.4c", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4c." + } + ] + }, + { + "class": "item", + "id": "ma.4d", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain records for nonlocal maintenance and diagnostic activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4d." + } + ] + }, + { + "class": "item", + "id": "ma.4e", + "prose": [ + "\u003cp class=\"description\"\u003eTerminate session and network connections when nonlocal maintenance is completed.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the system or system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.17" + }, + { + "href": "#au.2" + }, + { + "href": "#au.3" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ia.8" + }, + { + "href": "#ma.2" + }, + { + "href": "#ma.5" + }, + { + "href": "#pl.2" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.10" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.4.1", + "title": "AUDITING AND REVIEW", + "props": [ + { + "class": "name", + "value": "MA-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ma.4.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAudit \u003cinsert param-id=\"ma-4_a\"/\u003e for nonlocal maintenance and diagnostic sessions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "ma.4.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eReview the records of the maintenance and diagnostic sessions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#au.12" + } + ] + } + ], + "params": [ + { + "id": "ma-4_a", + "desc": "organization-defined audit events", + "value": "organization-defined audit events" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.2", + "title": "DOCUMENT NONLOCAL MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MA-1 and MA-4\u003c/withdrawn\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.3", + "title": "COMPARABLE SECURITY AND SANITIZATION", + "props": [ + { + "class": "name", + "value": "MA-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ma.4.3.a", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that nonlocal maintenance and diagnostic services be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "ma.4.3.b", + "prose": [ + "\u003cp class=\"description\"\u003eRemove the component to be serviced from the system prior to nonlocal maintenance or diagnostic services; sanitize the component (for organizational information) before removal from organizational facilities; and after the service is performed, inspect and sanitize the component (for potentially malicious software) before reconnecting the component to the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eComparable security capability on systems, diagnostic tools, and equipment providing maintenance services implies that the implemented security controls on those systems, tools, and equipment are at least as comprehensive as the controls on the system being serviced.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.6" + }, + { + "href": "#si.3" + }, + { + "href": "#si.7" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.4", + "title": "AUTHENTICATION AND SEPARATION OF MAINTENANCE SESSIONS", + "props": [ + { + "class": "name", + "value": "MA-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect nonlocal maintenance sessions by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ma.4.4.a", + "prose": [ + "\u003cp class=\"description\"\u003eEmploying \u003cinsert param-id=\"ma-4_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "ma.4.4.b", + "prose": [ + "\u003cp class=\"description\"\u003eSeparating the maintenance sessions from other network sessions with the system by either:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (4)(b)" + } + ], + "parts": [ + { + "class": "item", + "id": "ma.4.4.b.1", + "prose": [ + "\u003cp class=\"description\"\u003ePhysically separated communications paths; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (4)(b)(1)" + } + ] + }, + { + "class": "item", + "id": "ma.4.4.b.2", + "prose": [ + "\u003cp class=\"description\"\u003eLogically separated communications paths based upon encryption.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (4)(b)(2)" + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ma-4_b", + "desc": "organization-defined authenticators that are replay resistant", + "value": "organization-defined authenticators that are replay resistant" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.5", + "title": "APPROVALS AND NOTIFICATIONS", + "props": [ + { + "class": "name", + "value": "MA-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ma.4.5.a", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the approval of each nonlocal maintenance session by \u003cinsert param-id=\"ma-4_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "ma.4.5.b", + "prose": [ + "\u003cp class=\"description\"\u003eNotify \u003cinsert param-id=\"ma-4_d\"/\u003e of the date and time of planned nonlocal maintenance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-4 (5)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNotification may be performed by maintenance personnel. Approval of nonlocal maintenance sessions is accomplished by organizational personnel with sufficient information security and system knowledge to determine the appropriateness of the proposed maintenance.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ma-4_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ma-4_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.6", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "MA-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.4.7", + "title": "REMOTE DISCONNECT VERIFICATION", + "props": [ + { + "class": "name", + "value": "MA-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRemote disconnect verification ensures that remote connections from nonlocal maintenance sessions have been terminated and are no longer available for use.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.12" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#197", + "value": "FIPS Publication 197" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-88", + "value": "NIST Special Publication 800-88" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ma.5", + "title": "MAINTENANCE PERSONNEL", + "props": [ + { + "class": "name", + "value": "MA-5" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ma.5a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5a." + } + ] + }, + { + "class": "item", + "id": "ma.5b", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that non-escorted personnel performing maintenance on the system possess the required access authorizations; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5b." + } + ] + }, + { + "class": "item", + "id": "ma.5c", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to individuals performing hardware or software maintenance on organizational systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems. Technical competence of supervising individuals relates to the maintenance performed on the systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time-periods.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.8" + }, + { + "href": "#ma.4" + }, + { + "href": "#mp.2" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#ps.7" + }, + { + "href": "#ra.3" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.5.1", + "title": "INDIVIDUALS WITHOUT APPROPRIATE ACCESS", + "props": [ + { + "class": "name", + "value": "MA-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ma.5.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eImplement procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (1)(a)" + } + ], + "parts": [ + { + "class": "item", + "id": "ma.5.1.a.1", + "prose": [ + "\u003cp class=\"description\"\u003eMaintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (1)(a)(1)" + } + ] + }, + { + "class": "item", + "id": "ma.5.1.a.2", + "prose": [ + "\u003cp class=\"description\"\u003ePrior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (1)(a)(2)" + } + ] + } + ] + }, + { + "class": "item", + "id": "ma.5.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop and implement alternate security safeguards in the event a system component cannot be sanitized, removed, or disconnected from the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement denies individuals who lack appropriate security clearances or who are not U.S. citizens, visual and electronic access to any classified or controlled unclassified information contained on organizational systems. Procedures for the use of maintenance personnel can be documented in security plans for the systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.6" + }, + { + "href": "#pl.2" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.5.2", + "title": "SECURITY CLEARANCES FOR CLASSIFIED SYSTEMS", + "props": [ + { + "class": "name", + "value": "MA-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for all compartments of information on the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.3" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.5.3", + "title": "CITIZENSHIP REQUIREMENTS FOR CLASSIFIED SYSTEMS", + "props": [ + { + "class": "name", + "value": "MA-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information are U.S. citizens.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.3" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.5.4", + "title": "FOREIGN NATIONALS", + "props": [ + { + "class": "name", + "value": "MA-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ma.5.4.a", + "prose": [ + "\u003cp class=\"description\"\u003eForeign nationals with appropriate security clearances are used to conduct maintenance and diagnostic activities on classified systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "ma.5.4.b", + "prose": [ + "\u003cp class=\"description\"\u003eApprovals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of Agreements.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MA-5 (4)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.3" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.5.5", + "title": "NON-SYSTEM MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that non-escorted personnel performing maintenance activities not directly associated with the system but in the physical proximity of the system, have required access authorizations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePersonnel performing maintenance activities in other capacities not directly related to the system include, for example, physical plant personnel and janitorial personnel.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ma.6", + "title": "TIMELY MAINTENANCE", + "params": [ + { + "id": "ma-6_a", + "desc": "organization-defined system components", + "value": "organization-defined system components" + }, + { + "id": "ma-6_b", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ], + "props": [ + { + "class": "name", + "value": "MA-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eObtain maintenance support and/or spare parts for \u003cinsert param-id=\"ma-6_a\"/\u003e within \u003cinsert param-id=\"ma-6_b\"/\u003e of failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations specify the system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support typically include having appropriate contracts in place.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.7" + }, + { + "href": "#ra.7" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.15" + }, + { + "href": "#si.13" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ma.6.1", + "title": "PREVENTIVE MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePerform preventive maintenance on \u003cinsert param-id=\"ma-6_c\"/\u003e at \u003cinsert param-id=\"ma-6_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePreventive maintenance includes proactive care and servicing of system components to maintain equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid/mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they fail. Methods of determining what preventive (or other) failure management policies to apply include, for example, original equipment manufacturer recommendations, statistical failure records, requirements of codes, legislation, or regulations within a jurisdiction, expert opinion, maintenance that has already been conducted on similar equipment, or measured values and performance indications.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ma-6_c", + "desc": "organization-defined system components", + "value": "organization-defined system components" + }, + { + "id": "ma-6_d", + "desc": "organization-defined time intervals", + "value": "organization-defined time intervals" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.6.2", + "title": "PREDICTIVE MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePerform predictive maintenance on \u003cinsert param-id=\"ma-6_e\"/\u003e at \u003cinsert param-id=\"ma-6_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePredictive maintenance, or condition-based maintenance, attempts to evaluate the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled point in time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the goal of predicting the future trend of the equipment's condition. This approach uses principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thereby minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability. Predictive maintenance tends to include measurement of the item. To evaluate equipment condition, predictive maintenance utilizes nondestructive testing technologies such as infrared, acoustic (partial discharge and airborne ultrasonic), corona detection, vibration analysis, sound level measurements, oil analysis, and other specific online tests.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ma-6_e", + "desc": "organization-defined system components", + "value": "organization-defined system components" + }, + { + "id": "ma-6_f", + "desc": "organization-defined time intervals", + "value": "organization-defined time intervals" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.6.3", + "title": "AUTOMATED SUPPORT FOR PREDICTIVE MAINTENANCE", + "props": [ + { + "class": "name", + "value": "MA-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA computerized maintenance management system maintains a database of information about the maintenance operations of organizations and automates processing equipment condition data to trigger maintenance planning, execution, and reporting.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ma.6.4", + "title": "ADEQUATE SUPPLY", + "props": [ + { + "class": "name", + "value": "MA-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"ma-6_g\"/\u003e to ensure an adequate supply of \u003cinsert param-id=\"ma-6_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAdversaries can attempt to impede organizational operations by disrupting the supply of critical system components or corrupting supplier operations. Organizations may track systems and component mean time to failure to mitigate the loss of temporary or permanent system function. Safeguards to ensure that adequate supplies of critical system components include, for example, the use of multiple suppliers throughout the supply chain for the identified critical components; stockpiling spare components to ensure operation during mission-critical times, and the identification of functionally-identical or similar components which may be used, if necessary.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + }, + { + "href": "#sa.19" + } + ] + } + ], + "params": [ + { + "id": "ma-6_g", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "ma-6_h", + "desc": "organization-defined critical system components", + "value": "organization-defined critical system components" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "MEDIA PROTECTION", + "controls": [ + { + "class": "SP800-53", + "id": "mp.1", + "title": "MEDIA PROTECTION POLICY AND PROCEDURES", + "params": [ + { + "id": "mp-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "mp-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "mp-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "mp-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "MP-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "mp.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"mp-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "mp.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eA media protection policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "mp.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "mp.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "mp.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the media protection policy and the associated media protection controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "mp.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"mp-1_b\"/\u003e to manage the media protection policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1b." + } + ] + }, + { + "class": "item", + "id": "mp.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current media protection:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "mp.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"mp-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1c.1." + } + ] + }, + { + "class": "item", + "id": "mp.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"mp-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "mp.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the media protection procedures implement the media protection policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1d." + } + ] + }, + { + "class": "item", + "id": "mp.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the media protection policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the MP family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.2", + "title": "MEDIA ACCESS", + "params": [ + { + "id": "mp-2_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "id": "mp-2_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "MP-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRestrict access to \u003cinsert param-id=\"mp-2_a\"/\u003e to \u003cinsert param-id=\"mp-2_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Restricting non-digital media access includes, for example, denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers. Restricting access to digital media includes, for example, limiting access to design specifications stored on compact disks in the media library to the project leader and the individuals on the development team.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#au.9" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.9" + }, + { + "href": "#cp.10" + }, + { + "href": "#ma.5" + }, + { + "href": "#mp.6" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.34" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.2.1", + "title": "AUTOMATED RESTRICTED ACCESS", + "props": [ + { + "class": "name", + "value": "MP-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-4(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "MP-4(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.2.2", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "MP-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-28(1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SC-28(1)" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-111", + "value": "NIST Special Publication 800-111" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.3", + "title": "MEDIA MARKING", + "params": [ + { + "id": "mp-3_a", + "desc": "organization-defined types of system media", + "value": "organization-defined types of system media" + }, + { + "id": "mp-3_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + } + ], + "props": [ + { + "class": "name", + "value": "MP-3" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "mp.3a", + "prose": [ + "\u003cp class=\"description\"\u003eMark system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3a." + } + ] + }, + { + "class": "item", + "id": "mp.3b", + "prose": [ + "\u003cp class=\"description\"\u003eExempt \u003cinsert param-id=\"mp-3_a\"/\u003e from marking if the media remain within \u003cinsert param-id=\"mp-3_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-3b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity marking refers to the application or use of human-readable security attributes. Security labeling refers to the application or use of security attributes regarding internal data structures within systems. System media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external or removable disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of system media reflects applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#cp.9" + }, + { + "href": "#mp.5" + }, + { + "href": "#pe.22" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.4", + "title": "MEDIA STORAGE", + "params": [ + { + "id": "mp-4_a", + "desc": "organization-defined types of digital and/or non-digital media", + "value": "organization-defined types of digital and/or non-digital media" + }, + { + "id": "mp-4_b", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + } + ], + "props": [ + { + "class": "name", + "value": "MP-4" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "mp.4a", + "prose": [ + "\u003cp class=\"description\"\u003ePhysically control and securely store \u003cinsert param-id=\"mp-4_a\"/\u003e within \u003cinsert param-id=\"mp-4_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4a." + } + ] + }, + { + "class": "item", + "id": "mp.4b", + "prose": [ + "\u003cp class=\"description\"\u003eProtect system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-4b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external or removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling system media includes, for example, conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the media library, and maintaining accountability for stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet; or a controlled media library. The type of media storage employed by organizations is commensurate with the security category or classification of the information residing on the media. Controlled areas are areas that provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and systems. For media containing information determined to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on organizations or individuals if accessed by other than authorized personnel, fewer safeguards may be needed. In these situations, physical access controls provide adequate protection.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.6" + }, + { + "href": "#cp.9" + }, + { + "href": "#cp.10" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.7" + }, + { + "href": "#pe.3" + }, + { + "href": "#pl.2" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.28" + }, + { + "href": "#sc.34" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.4.1", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "MP-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-28(1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SC-28(1)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.4.2", + "title": "AUTOMATED RESTRICTED ACCESS", + "props": [ + { + "class": "name", + "value": "MP-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can include, for example, keypads or card readers on the external entries to media storage areas.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.9" + }, + { + "href": "#au.12" + }, + { + "href": "#pe.3" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-111", + "value": "NIST Special Publication 800-111" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.5", + "title": "MEDIA TRANSPORT", + "params": [ + { + "id": "mp-5_a", + "desc": "organization-defined types of system media", + "value": "organization-defined types of system media" + }, + { + "id": "mp-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "MP-5" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "mp.5a", + "prose": [ + "\u003cp class=\"description\"\u003eProtect and control \u003cinsert param-id=\"mp-5_a\"/\u003e during transport outside of controlled areas using \u003cinsert param-id=\"mp-5_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5a." + } + ] + }, + { + "class": "item", + "id": "mp.5b", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain accountability for system media during transport outside of controlled areas;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5b." + } + ] + }, + { + "class": "item", + "id": "mp.5c", + "prose": [ + "\u003cp class=\"description\"\u003eDocument activities associated with the transport of system media; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5c." + } + ] + }, + { + "class": "item", + "id": "mp.5d", + "prose": [ + "\u003cp class=\"description\"\u003eRestrict the activities associated with the transport of system media to authorized personnel.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-5d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, microfilm and paper. Controlled areas are areas or spaces for which organizations provide sufficient physical or procedural safeguards to meet requirements established for protecting information and systems. Physical and technical safeguards for media are commensurate with the security category or classification of the information residing on the media. Safeguards to protect media during transport include, for example, locked containers and cryptography. Cryptographic mechanisms can provide confidentiality and integrity protections depending upon the mechanisms used. Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization. Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel, and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.7" + }, + { + "href": "#ac.19" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.9" + }, + { + "href": "#mp.3" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.16" + }, + { + "href": "#pl.2" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.28" + }, + { + "href": "#sc.34" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.5.1", + "title": "PROTECTION OUTSIDE OF CONTROLLED AREAS", + "props": [ + { + "class": "name", + "value": "MP-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-5\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.5" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.5.2", + "title": "DOCUMENTATION OF ACTIVITIES", + "props": [ + { + "class": "name", + "value": "MP-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-5\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.5" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.5.3", + "title": "CUSTODIANS", + "props": [ + { + "class": "name", + "value": "MP-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy an identified custodian during transport of system media outside of controlled areas.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIdentified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another if an unambiguous custodian is identified at all times.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.5.4", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "MP-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-28(1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SC-28(1)" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.6", + "title": "MEDIA SANITIZATION", + "params": [ + { + "id": "mp-6_a", + "desc": "organization-defined system media", + "value": "organization-defined system media" + }, + { + "id": "mp-6_b", + "desc": "organization-defined sanitization techniques and procedures", + "value": "organization-defined sanitization techniques and procedures" + } + ], + "props": [ + { + "class": "name", + "value": "MP-6" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "mp.6a", + "prose": [ + "\u003cp class=\"description\"\u003eSanitize \u003cinsert param-id=\"mp-6_a\"/\u003e prior to disposal, release out of organizational control, or release for reuse using \u003cinsert param-id=\"mp-6_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6a." + } + ] + }, + { + "class": "item", + "id": "mp.6b", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to all system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include: digital media found in scanners, copiers, printers, notebook computers, workstations, network components, mobile devices; and non-digital media such as paper and microfilm. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, destruction, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections or words in a manner equivalent in effectiveness to removing them from the document. NARA policy and guidance control the sanitization process for controlled unclassified information. NSA standards and policies control the sanitization process for media containing classified information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.7" + }, + { + "href": "#au.11" + }, + { + "href": "#ma.2" + }, + { + "href": "#ma.3" + }, + { + "href": "#ma.4" + }, + { + "href": "#ma.5" + }, + { + "href": "#si.12" + }, + { + "href": "#si.18" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.6.1", + "title": "REVIEW, APPROVE, TRACK, DOCUMENT, AND VERIFY", + "props": [ + { + "class": "name", + "value": "MP-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eReview, approve, track, document, and verify media sanitization and disposal actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking and documenting actions include, for example, listing personnel who reviewed and approved sanitization and disposal actions; types of media sanitized; specific files stored on the media; sanitization methods used; date and time of the sanitization actions; personnel who performed the sanitization; verification actions taken; personnel who performed the verification; and the disposal actions taken. Organizations verify that the sanitization of the media was effective prior to disposal.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.2", + "title": "EQUIPMENT TESTING", + "props": [ + { + "class": "name", + "value": "MP-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTest sanitization equipment and procedures \u003cinsert param-id=\"mp-6_c\"/\u003e to verify that the intended sanitization is being achieved.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTesting of sanitization equipment and procedures may be conducted by qualified and authorized external entities including, for example, federal agencies or external service providers.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "mp-6_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.3", + "title": "NONDESTRUCTIVE TECHNIQUES", + "props": [ + { + "class": "name", + "value": "MP-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eApply nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the system under the following circumstances: \u003cinsert param-id=\"mp-6_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePortable storage devices can be the source of malicious code insertions into organizational systems. Many of these devices are obtained from untrustworthy sources and may contain malicious code that can be readily transferred to systems through USB ports or other entry portals. While scanning storage devices is recommended, sanitization provides additional assurance that such devices are free of malicious code. Organizations consider nondestructive sanitization of portable storage devices when these devices are purchased from manufacturers or vendors prior to initial use or when organizations cannot maintain a positive chain of custody for the devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "mp-6_d", + "desc": "organization-defined circumstances requiring sanitization of portable storage devices", + "value": "organization-defined circumstances requiring sanitization of portable storage devices" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.4", + "title": "CONTROLLED UNCLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.5", + "title": "CLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-6 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.6", + "title": "MEDIA DESTRUCTION", + "props": [ + { + "class": "name", + "value": "MP-6 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.7", + "title": "DUAL AUTHORIZATION", + "props": [ + { + "class": "name", + "value": "MP-6 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce dual authorization for the sanitization of \u003cinsert param-id=\"mp-6_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ dual authorization to ensure that system media sanitization cannot occur unless two technically qualified individuals conduct the designated task. Individuals sanitizing system media possess sufficient skills and expertise to determine if the proposed sanitization reflects applicable federal and organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, both protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#mp.2" + } + ] + } + ], + "params": [ + { + "id": "mp-6_e", + "desc": "organization-defined system media", + "value": "organization-defined system media" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.8", + "title": "REMOTE PURGING OR WIPING OF INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-6 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide the capability to purge or wipe information from \u003cinsert param-id=\"mp-6_f\"/\u003e either remotely or under the following conditions: \u003cinsert param-id=\"mp-6_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects data/information on organizational systems and system components if such systems or components are obtained by unauthorized individuals. Remote purge/wipe commands require strong authentication to mitigate the risk of unauthorized individuals purging/wiping the system/component/device. The purge or wipe function can be implemented in a variety of ways including, for example, by overwriting data/information multiple times or by destroying the key necessary to decrypt encrypted data.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "mp-6_f", + "desc": "organization-defined systems or system components", + "value": "organization-defined systems or system components" + }, + { + "id": "mp-6_g", + "desc": "organization-defined conditions", + "value": "organization-defined conditions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.6.9", + "title": "DESTRUCTION OF PERSONALLY IDENTIFIABLE INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-6 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eFacilitate the destruction of personally identifiable information by:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "mp.6.9.a", + "prose": [ + "\u003cp class=\"description\"\u003eDe-identifying the personally identifiable information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6 (9)(a)" + } + ] + }, + { + "class": "item", + "id": "mp.6.9.b", + "prose": [ + "\u003cp class=\"description\"\u003eProactively reviewing media to actively find personally identifiable information and removing such information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6 (9)(b)" + } + ] + }, + { + "class": "item", + "id": "mp.6.9.c", + "prose": [ + "\u003cp class=\"description\"\u003eReviewing media as it is being archived or disposed to find and remove personally identifiable information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-6 (9)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDisposal or destruction of media containing personally identifiable information applies to originals, copies, and archived records, including system logs that may contain such information. De-identification is the general term for any process of removing the association between a set of identifying data and the data subject and is accomplished in a manner that prevents loss, theft, misuse, or unauthorized access.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.20" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-88", + "value": "NIST Special Publication 800-88" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-124", + "value": "NIST Special Publication 800-124" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.7", + "title": "MEDIA USE", + "params": [ + { + "id": "mp-7_a", + "desc": "organization-defined types of system media", + "value": "organization-defined types of system media" + }, + { + "id": "mp-7_b", + "desc": "organization-defined systems or system components", + "value": "organization-defined systems or system components" + }, + { + "id": "mp-7_c", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "MP-7" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "mp.7a", + "prose": [ + "\u003cp class=\"description\"\u003e[Selection: Restrict; Prohibit] the use of \u003cinsert param-id=\"mp-7_a\"/\u003e on \u003cinsert param-id=\"mp-7_b\"/\u003e using \u003cinsert param-id=\"mp-7_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7a." + } + ] + }, + { + "class": "item", + "id": "mp.7b", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit the use of portable storage devices in organizational systems when such devices have no identifiable owner.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-7b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem media includes digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external or removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability. In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards to restrict the use of system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling or removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices. Requiring identifiable owners for portable storage devices reduces the risk of using such devices by allowing organizations to assign responsibility for addressing known vulnerabilities in the devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#ac.20" + }, + { + "href": "#pl.4" + }, + { + "href": "#pm.12" + }, + { + "href": "#sc.34" + }, + { + "href": "#sc.41" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.7.1", + "title": "PROHIBIT USE WITHOUT OWNER", + "props": [ + { + "class": "name", + "value": "MP-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.7.2", + "title": "PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA", + "props": [ + { + "class": "name", + "value": "MP-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit the use of sanitization-resistant media in organizational systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSanitization-resistance refers to non-destructive sanitization techniques and applies to the capability to purge information from media. Certain types of media do not support sanitize commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media include, for example, compact flash, embedded flash on boards and devices, solid state drives, and USB removable media.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.6" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-111", + "value": "NIST Special Publication 800-111" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "mp.8", + "title": "MEDIA DOWNGRADING", + "params": [ + { + "id": "mp-8_a", + "desc": "organization-defined system media downgrading process", + "value": "organization-defined system media downgrading process" + }, + { + "id": "mp-8_b", + "desc": "organization-defined system media requiring downgrading", + "value": "organization-defined system media requiring downgrading" + } + ], + "props": [ + { + "class": "name", + "value": "MP-8" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "mp.8a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish \u003cinsert param-id=\"mp-8_a\"/\u003e that includes employing downgrading mechanisms with strength and integrity commensurate with the security category or classification of the information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8a." + } + ] + }, + { + "class": "item", + "id": "mp.8b", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that the system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8b." + } + ] + }, + { + "class": "item", + "id": "mp.8c", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify \u003cinsert param-id=\"mp-8_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8c." + } + ] + }, + { + "class": "item", + "id": "mp.8d", + "prose": [ + "\u003cp class=\"description\"\u003eDowngrade the identified system media using the established process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "MP-8d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to all system media, digital and non-digital, subject to release outside of the organization, whether the media is considered removable or not removeable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. It also ensures that empty space on the media is devoid of information.\u003c/p\u003e" + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "mp.8.1", + "title": "DOCUMENTATION OF PROCESS", + "props": [ + { + "class": "name", + "value": "MP-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDocument system media downgrading actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can document the media downgrading process by providing information such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.8.2", + "title": "EQUIPMENT TESTING", + "props": [ + { + "class": "name", + "value": "MP-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTest downgrading equipment and procedures \u003cinsert param-id=\"mp-8_c\"/\u003e to verify that intended downgrading actions are being achieved.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "mp-8_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.8.3", + "title": "CONTROLLED UNCLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDowngrade system media containing \u003cinsert param-id=\"mp-8_d\"/\u003e prior to public release.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "mp-8_d", + "desc": "organization-defined Controlled Unclassified Information (CUI)", + "value": "organization-defined Controlled Unclassified Information (CUI)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "mp.8.4", + "title": "CLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "MP-8 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDowngrade system media containing classified information prior to release to individuals without required access authorizations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDowngrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified systems to unclassified media.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "PRIVACY AUTHORIZATION", + "controls": [ + { + "class": "SP800-53", + "id": "pa.1", + "title": "PRIVACY AUTHORIZATION POLICY AND PROCEDURES", + "params": [ + { + "id": "pa-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "pa-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "pa-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pa-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PA-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pa.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"pa-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "pa.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eA privacy authorization policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "pa.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "pa.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "pa.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the privacy authorization policy and the associated privacy authorization controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "pa.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"pa-1_b\"/\u003e to manage the privacy authorization policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-1b." + } + ] + }, + { + "class": "item", + "id": "pa.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current privacy authorization:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "pa.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"pa-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-1c.1." + } + ] + }, + { + "class": "item", + "id": "pa.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"pa-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "pa.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the privacy authorization procedures implement the privacy authorization policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-1d." + } + ] + }, + { + "class": "item", + "id": "pa.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the privacy authorization policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the PA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pa.2" + }, + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pa.2", + "title": "AUTHORITY TO COLLECT", + "props": [ + { + "class": "name", + "value": "PA-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDetermine and document the legal authority that permits the collection, use, maintenance, and sharing of personally identifiable information, either generally or in support of a specific program or system need.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrior to collecting personally identifiable information, organizations determine whether the collection of such information is legally authorized. Organizational officials consult with the Senior Agency Official for Privacy and legal counsel regarding the authority of any program or activity to collect personally identifiable information. The authority to collect personally identifiable information is documented in the System of Records Notice and/or Privacy Impact Assessment or other applicable documentation such as Privacy Act Statements or Computer Matching Agreements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ip.4" + }, + { + "href": "#ip.6" + }, + { + "href": "#pa.1" + }, + { + "href": "#pa.3" + }, + { + "href": "#pm.9" + }, + { + "href": "#pm.20" + }, + { + "href": "#pm.25" + }, + { + "href": "#ra.8" + }, + { + "href": "#si.12" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pa.3", + "title": "PURPOSE SPECIFICATION", + "props": [ + { + "class": "name", + "value": "PA-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify and document the purpose(s) for which personally identifiable information is collected, used, maintained, and shared in its privacy notices.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eStatutory language often expressly authorizes specific collections and uses of personally identifiable information. When statutory language is written broadly and thus subject to interpretation, organizations consult with the Senior Agency Official for Privacy and legal counsel to verify that there is a close nexus between the general authorization and any specific collection of personally identifiable information. Once the specific purpose has been identified, the purpose is clearly described in the related privacy compliance documentation, including, for example, Privacy Impact Assessments, System of Records Notices, and Privacy Act Statements provided at the time of collection including, for example, on forms organizations use to collect personally identifiable information. Further, in order to avoid unauthorized collections or uses of personally identifiable information, personnel who manage such information receive role-based training as specified in AT-3.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ip.4" + }, + { + "href": "#ip.5" + }, + { + "href": "#ip.6" + }, + { + "href": "#pa.2" + }, + { + "href": "#pa.4" + }, + { + "href": "#pm.9" + }, + { + "href": "#pm.20" + }, + { + "href": "#pm.26" + }, + { + "href": "#ra.8" + }, + { + "href": "#sc.43" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pa.3.1", + "title": "USAGE RESTRICTIONS OF PERSONALLY IDENTIFIABLE INFORMATION", + "props": [ + { + "class": "name", + "value": "PA-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRestrict the use of personally identifiable information to only the authorized purpose(s) consistent with applicable laws or regulations and/or in public notices.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations take steps to help ensure that personally identifiable information is used only for legally authorized purposes and in a manner, compatible with the uses identified in the Privacy Act and/or in public notices. These steps include, for example, monitoring and auditing organizational use of personally identifiable information and training organizational personnel on the authorized uses of such information. With guidance from the Senior Agency Official for Privacy and where appropriate, legal counsel, organizations document the processes and procedures for evaluating the proposed new uses of personally identifiable information to assess whether such uses fall within the scope of the organizational authorities. Where appropriate, organizations obtain consent from individuals for the new uses of personally identifiable information.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pa.3.2", + "title": "AUTOMATION", + "props": [ + { + "class": "name", + "value": "PA-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to support records management of authorizing policies and procedures for personally identifiable information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms may be used to support records management of authorizing policies and procedures for personally identifiable information. Automated mechanisms augment verification that organizational policies and procedures are enforced for the management and tracking of personally identifiable information within an organization\u0026#x92;s systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.6" + }, + { + "href": "#cm.12" + }, + { + "href": "#ip.5" + }, + { + "href": "#pm.29" + }, + { + "href": "#pm.23" + }, + { + "href": "#sc.16" + }, + { + "href": "#sc.43" + }, + { + "href": "#si.12" + }, + { + "href": "#si.10" + }, + { + "href": "#si.15" + }, + { + "href": "#si.20" + }, + { + "href": "#si.19" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pa.4", + "title": "INFORMATION SHARING WITH EXTERNAL PARTIES", + "params": [ + { + "id": "pa-4_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "PA-4" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pa.4a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate guidelines to \u003cinsert param-id=\"pa-4_a\"/\u003e for the sharing of personally identifiable information externally, only for the authorized purposes identified in the Privacy Act and/or described in its notices, or for a purpose that is compatible with those purposes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-4a." + } + ] + }, + { + "class": "item", + "id": "pa.4b", + "prose": [ + "\u003cp class=\"description\"\u003eEvaluate proposed new instances of sharing personally identifiable information with external parties to assess whether:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-4b." + } + ], + "parts": [ + { + "class": "item", + "id": "pa.4b.1", + "prose": [ + "\u003cp class=\"description\"\u003eThe sharing is authorized; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-4b.1." + } + ] + }, + { + "class": "item", + "id": "pa.4b.2", + "prose": [ + "\u003cp class=\"description\"\u003eAdditional or new public notice is required;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-4b.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "pa.4c", + "prose": [ + "\u003cp class=\"description\"\u003eEnter into information sharing agreements with external parties that specifically:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-4c." + } + ], + "parts": [ + { + "class": "item", + "id": "pa.4c.1", + "prose": [ + "\u003cp class=\"description\"\u003eDescribe the personally identifiable information covered;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-4c.1." + } + ] + }, + { + "class": "item", + "id": "pa.4c.2", + "prose": [ + "\u003cp class=\"description\"\u003eEnumerate the purpose(s) for which the personally identifiable information may be used; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-4c.2." + } + ] + }, + { + "class": "item", + "id": "pa.4c.3", + "prose": [ + "\u003cp class=\"description\"\u003eInclude security requirements consistent with the information being shared; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-4c.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "pa.4d", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor and audit the authorized sharing of personally identifiable information with external parties.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PA-4d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe Senior Agency Official for Privacy and where appropriate, legal counsel, review and approve proposed external sharing of personally identifiable information, including with other public, international, or private sector entities, for consistency with the uses described in the existing organizational public notice(s). Formal agreements for information sharing include, for example, Memoranda of Understanding, Letters of Intent, Memoranda of Agreement, and Computer Matching Agreements. When a proposed new instance of external sharing of personally identifiable information is not currently authorized by the Privacy Act and/or specified in a notice, organizations evaluate whether the proposed external sharing is compatible with the purpose(s) specified in the notice. If the proposed sharing is compatible, organizations review, update, and republish the Privacy Impact Assessments, System of Records Notices, website privacy policies, and other public notices, if any, to include specific descriptions of the new use(s) and obtain consent where appropriate and feasible.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ip.4" + }, + { + "href": "#pm.25" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "PHYSICAL AND ENVIRONMENTAL PROTECTION", + "controls": [ + { + "class": "SP800-53", + "id": "pe.1", + "title": "PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES", + "params": [ + { + "id": "pe-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "pe-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "pe-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pe-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pe.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"pe-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "pe.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eA physical and environmental protection policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "pe.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "pe.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "pe.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the physical and environmental protection policy and the associated physical and environmental protection controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "pe.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"pe-1_b\"/\u003e to manage the physical and environmental protection policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1b." + } + ] + }, + { + "class": "item", + "id": "pe.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current physical and environmental protection:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "pe.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"pe-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1c.1." + } + ] + }, + { + "class": "item", + "id": "pe.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"pe-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "pe.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the physical and environmental protection procedures implement the physical and environmental protection policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1d." + } + ] + }, + { + "class": "item", + "id": "pe.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the physical and environmental protection policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the PE family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pe.2", + "title": "PHYSICAL ACCESS AUTHORIZATIONS", + "params": [ + { + "id": "pe-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-2" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pe.2a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, approve, and maintain a list of individuals with authorized access to the facility where the system resides;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2a." + } + ] + }, + { + "class": "item", + "id": "pe.2b", + "prose": [ + "\u003cp class=\"description\"\u003eIssue authorization credentials for facility access;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2b." + } + ] + }, + { + "class": "item", + "id": "pe.2c", + "prose": [ + "\u003cp class=\"description\"\u003eReview the access list detailing authorized facility access by individuals \u003cinsert param-id=\"pe-2_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2c." + } + ] + }, + { + "class": "item", + "id": "pe.2d", + "prose": [ + "\u003cp class=\"description\"\u003eRemove individuals from the facility access list when access is no longer required.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-2d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines. This control only applies to areas within facilities that have not been designated as publicly accessible.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#au.9" + }, + { + "href": "#ia.4" + }, + { + "href": "#ma.5" + }, + { + "href": "#mp.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + }, + { + "href": "#pe.5" + }, + { + "href": "#pe.8" + }, + { + "href": "#pm.12" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.4" + }, + { + "href": "#ps.5" + }, + { + "href": "#ps.6" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.2.1", + "title": "ACCESS BY POSITION OR ROLE", + "props": [ + { + "class": "name", + "value": "PE-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize physical access to the facility where the system resides based on position or role.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.2.2", + "title": "TWO FORMS OF IDENTIFICATION", + "props": [ + { + "class": "name", + "value": "PE-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire two forms of identification from \u003cinsert param-id=\"pe-2_b\"/\u003e for visitor access to the facility where the system resides.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAcceptable forms of identification include, for example, passports, Personal Identity Verification (PIV) cards, and drivers\u0026#x92; licenses. For gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + } + ] + } + ], + "params": [ + { + "id": "pe-2_b", + "desc": "organization-defined list of acceptable forms of identification", + "value": "organization-defined list of acceptable forms of identification" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.2.3", + "title": "RESTRICT UNESCORTED ACCESS", + "props": [ + { + "class": "name", + "value": "PE-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRestrict unescorted access to the facility where the system resides to personnel with [Selection (one or more): security clearances for all information contained within the system; formal access authorizations for all information contained within the system; need for access to all information contained within the system; \u003cinsert param-id=\"pe-2_c\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDue to the highly sensitive nature of classified information stored within certain facilities, it is important that individuals lacking sufficient security clearances, access approvals, or need to know, be escorted by individuals with appropriate credentials to ensure that such information is not exposed or otherwise compromised.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.2" + }, + { + "href": "#ps.6" + } + ] + } + ], + "params": [ + { + "id": "pe-2_c", + "desc": "organization-defined credentials", + "value": "organization-defined credentials" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-76", + "value": "NIST Special Publication 800-76" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-73", + "value": "NIST Special Publication 800-73" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pe.3", + "title": "PHYSICAL ACCESS CONTROL", + "params": [ + { + "id": "pe-3_a", + "desc": "organization-defined entry and exit points to the facility where the system resides", + "value": "organization-defined entry and exit points to the facility where the system resides" + }, + { + "id": "pe-3_b", + "desc": "organization-defined physical access control systems or devices", + "value": "organization-defined physical access control systems or devices" + }, + { + "id": "pe-3_c", + "desc": "organization-defined entry/exit points", + "value": "organization-defined entry/exit points" + }, + { + "id": "pe-3_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "pe-3_e", + "desc": "organization-defined circumstances requiring visitor escorts and monitoring", + "value": "organization-defined circumstances requiring visitor escorts and monitoring" + }, + { + "id": "pe-3_f", + "desc": "organization-defined physical access devices", + "value": "organization-defined physical access devices" + }, + { + "id": "pe-3_g", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pe-3_h", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-3" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pe.3a", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce physical access authorizations at \u003cinsert param-id=\"pe-3_a\"/\u003e by;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3a." + } + ], + "parts": [ + { + "class": "item", + "id": "pe.3a.1", + "prose": [ + "\u003cp class=\"description\"\u003eVerifying individual access authorizations before granting access to the facility; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3a.1." + } + ] + }, + { + "class": "item", + "id": "pe.3a.2", + "prose": [ + "\u003cp class=\"description\"\u003eControlling ingress and egress to the facility using [Selection (one or more): \u003cinsert param-id=\"pe-3_b\"/\u003e; guards];\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "pe.3b", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain physical access audit logs for \u003cinsert param-id=\"pe-3_c\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3b." + } + ] + }, + { + "class": "item", + "id": "pe.3c", + "prose": [ + "\u003cp class=\"description\"\u003eProvide \u003cinsert param-id=\"pe-3_d\"/\u003e to control access to areas within the facility designated as publicly accessible;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3c." + } + ] + }, + { + "class": "item", + "id": "pe.3d", + "prose": [ + "\u003cp class=\"description\"\u003eEscort visitors and monitor visitor activity \u003cinsert param-id=\"pe-3_e\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3d." + } + ] + }, + { + "class": "item", + "id": "pe.3e", + "prose": [ + "\u003cp class=\"description\"\u003eSecure keys, combinations, and other physical access devices;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3e." + } + ] + }, + { + "class": "item", + "id": "pe.3f", + "prose": [ + "\u003cp class=\"description\"\u003eInventory \u003cinsert param-id=\"pe-3_f\"/\u003e every \u003cinsert param-id=\"pe-3_g\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3f." + } + ] + }, + { + "class": "item", + "id": "pe.3g", + "prose": [ + "\u003cp class=\"description\"\u003eChange combinations and keys \u003cinsert param-id=\"pe-3_h\"/\u003e and/or when keys are lost, combinations are compromised, or individuals are transferred or terminated.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-3g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional security staff, administrative staff, or system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Physical access control systems comply with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural, automated, or some combination thereof. Physical access points can include facility access points, interior access points to systems or system components requiring supplemental access controls, or both. Components of systems may be in areas designated as publicly accessible with organizations safeguarding access to such devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.9" + }, + { + "href": "#au.13" + }, + { + "href": "#cp.10" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.8" + }, + { + "href": "#ma.5" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.4" + }, + { + "href": "#pe.5" + }, + { + "href": "#pe.8" + }, + { + "href": "#ps.2" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.7" + }, + { + "href": "#ra.3" + }, + { + "href": "#sa.19" + }, + { + "href": "#sc.28" + }, + { + "href": "#si.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.3.1", + "title": "SYSTEM ACCESS", + "props": [ + { + "class": "name", + "value": "PE-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce physical access authorizations to the system in addition to the physical access controls for the facility at \u003cinsert param-id=\"pe-3_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides additional physical security for those areas within facilities where there is a concentration of system components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.2" + } + ] + } + ], + "params": [ + { + "id": "pe-3_i", + "desc": "organization-defined physical spaces containing one or more components of the system", + "value": "organization-defined physical spaces containing one or more components of the system" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.2", + "title": "FACILITY AND SYSTEM BOUNDARIES", + "props": [ + { + "class": "name", + "value": "PE-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePerform security checks \u003cinsert param-id=\"pe-3_j\"/\u003e at the physical boundary of the facility or system for exfiltration of information or removal of system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#sc.7" + } + ] + } + ], + "params": [ + { + "id": "pe-3_j", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.3", + "title": "CONTINUOUS GUARDS", + "props": [ + { + "class": "name", + "value": "PE-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy guards to control \u003cinsert param-id=\"pe-3_k\"/\u003e to the facility where the system resides 24 hours per day, 7 days per week.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + }, + { + "href": "#pe.6" + } + ] + } + ], + "params": [ + { + "id": "pe-3_k", + "desc": "organization-defined physical access points", + "value": "organization-defined physical access points" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.4", + "title": "LOCKABLE CASINGS", + "props": [ + { + "class": "name", + "value": "PE-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUse lockable physical casings to protect \u003cinsert param-id=\"pe-3_l\"/\u003e from unauthorized physical access.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "pe-3_l", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.5", + "title": "TAMPER PROTECTION", + "props": [ + { + "class": "name", + "value": "PE-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"pe-3_m\"/\u003e to [Selection (one or more): detect; prevent] physical tampering or alteration of \u003cinsert param-id=\"pe-3_n\"/\u003e within the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations implement tamper detection and prevention at selected hardware components or tamper detection at some components and tamper prevention at other components. Such detection and prevention activities can employ many types of anti-tamper technologies including, for example, tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + }, + { + "href": "#sa.16" + }, + { + "href": "#sa.18" + } + ] + } + ], + "params": [ + { + "id": "pe-3_m", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "pe-3_n", + "desc": "organization-defined hardware components", + "value": "organization-defined hardware components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.6", + "title": "FACILITY PENETRATION TESTING", + "props": [ + { + "class": "name", + "value": "PE-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CA-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ca.8" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.3.7", + "title": "PHYSICAL BARRIERS", + "props": [ + { + "class": "name", + "value": "PE-3 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eLimit access using physical barriers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysical barriers include, for example, bollards, concrete slabs, jersey walls, and hydraulic active vehicle barriers.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-73", + "value": "NIST Special Publication 800-73" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-76", + "value": "NIST Special Publication 800-76" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-116", + "value": "NIST Special Publication 800-116" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pe.4", + "title": "ACCESS CONTROL FOR TRANSMISSION", + "params": [ + { + "id": "pe-4_a", + "desc": "organization-defined system distribution and transmission lines", + "value": "organization-defined system distribution and transmission lines" + }, + { + "id": "pe-4_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "PE-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eControl physical access to \u003cinsert param-id=\"pe-4_a\"/\u003e within organizational facilities using \u003cinsert param-id=\"pe-4_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity safeguards applied to system distribution and transmission lines prevent accidental damage, disruption, and physical tampering. Such safeguards may also be necessary to help prevent eavesdropping or modification of unencrypted transmissions. Safeguards used to control physical access to system distribution and transmission lines include, for example, locked wiring closets; disconnected or locked spare jacks; protection of cabling by conduit or cable trays; and wiretapping sensors.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#ia.4" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.5" + }, + { + "href": "#pe.9" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.8" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.5", + "title": "ACCESS CONTROL FOR OUTPUT DEVICES", + "params": [ + { + "id": "pe-5_a", + "desc": "organization-defined output devices", + "value": "organization-defined output devices" + } + ], + "props": [ + { + "class": "name", + "value": "PE-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eControl physical access to output from \u003cinsert param-id=\"pe-5_a\"/\u003e to prevent unauthorized individuals from obtaining the output.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eControlling physical access to output devices includes, for example, placing output devices in locked rooms or other secured areas and allowing access to authorized individuals only; placing output devices in locations that can be monitored by organizational personnel; installing monitor or screen filters; and using headphones. Output devices include, for example, monitors, printers, copiers, scanners, facsimile machines, and audio devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.4" + }, + { + "href": "#pe.18" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.5.1", + "title": "ACCESS TO OUTPUT BY AUTHORIZED INDIVIDUALS", + "props": [ + { + "class": "name", + "value": "PE-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that only authorized individuals receive output from output devices.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMethods to ensure only authorized individuals receive output from output devices include, for example, placing printers, copiers, and facsimile machines in controlled areas with keypad or card reader access controls; and limiting access to individuals with certain types of badges.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.5.2", + "title": "ACCESS TO OUTPUT BY INDIVIDUAL IDENTITY", + "props": [ + { + "class": "name", + "value": "PE-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eLink individual identity to receipt of output from output devices.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMethods to link individual identity to receipt of output from output devices include, for example, installing security functionality on facsimile machines, copiers, and printers. Such functionality allows organizations to implement authentication on output devices prior to the release of output to individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.5.3", + "title": "MARKING OUTPUT DEVICES", + "props": [ + { + "class": "name", + "value": "PE-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMark \u003cinsert param-id=\"pe-5_b\"/\u003e indicating the appropriate security marking of the information permitted to be output from the device.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOutputs devices include, for example, printers, monitors, facsimile machines, scanners, copiers, and audio devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "pe-5_b", + "desc": "organization-defined system output devices", + "value": "organization-defined system output devices" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.6", + "title": "MONITORING PHYSICAL ACCESS", + "params": [ + { + "id": "pe-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pe-6_b", + "desc": "organization-defined events or potential indications of events", + "value": "organization-defined events or potential indications of events" + } + ], + "props": [ + { + "class": "name", + "value": "PE-6" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pe.6a", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor physical access to the facility where the system resides to detect and respond to physical security incidents;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6a." + } + ] + }, + { + "class": "item", + "id": "pe.6b", + "prose": [ + "\u003cp class=\"description\"\u003eReview physical access logs \u003cinsert param-id=\"pe-6_a\"/\u003e and upon occurrence of \u003cinsert param-id=\"pe-6_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6b." + } + ] + }, + { + "class": "item", + "id": "pe.6c", + "prose": [ + "\u003cp class=\"description\"\u003eCoordinate results of reviews and investigations with the organizational incident response capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-6c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMonitoring of physical access includes publicly accessible areas within organizational facilities. This can be accomplished for example, by the employment of guards; the use of video surveillance equipment such as cameras; or the use of sensor devices. Organizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, security violations or suspicious physical access activities. Suspicious physical access activities include, for example, accesses outside of normal work hours; repeated accesses to areas not normally accessed; accesses for unusual lengths of time; and out-of-sequence accesses.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#au.9" + }, + { + "href": "#ca.7" + }, + { + "href": "#cp.10" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.8" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.6.1", + "title": "INTRUSION ALARMS AND SURVEILLANCE EQUIPMENT", + "props": [ + { + "class": "name", + "value": "PE-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor physical access to the facility where the system resides using physical intrusion alarms and surveillance equipment.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.6.2", + "title": "AUTOMATED INTRUSION RECOGNITION AND RESPONSES", + "props": [ + { + "class": "name", + "value": "PE-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to recognize \u003cinsert param-id=\"pe-6_c\"/\u003e and initiate \u003cinsert param-id=\"pe-6_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.4" + } + ] + } + ], + "params": [ + { + "id": "pe-6_c", + "desc": "organization-defined classes or types of intrusions", + "value": "organization-defined classes or types of intrusions" + }, + { + "id": "pe-6_d", + "desc": "organization-defined response actions", + "value": "organization-defined response actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.6.3", + "title": "VIDEO SURVEILLANCE", + "props": [ + { + "class": "name", + "value": "PE-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy video surveillance of \u003cinsert param-id=\"pe-6_e\"/\u003e and retain video recordings for \u003cinsert param-id=\"pe-6_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on recording surveillance video for purposes of subsequent review, if circumstances so warrant. It does not require monitoring surveillance video although organizations may choose to do so. Note that there may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "pe-6_e", + "desc": "organization-defined operational areas", + "value": "organization-defined operational areas" + }, + { + "id": "pe-6_f", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.6.4", + "title": "MONITORING PHYSICAL ACCESS TO SYSTEMS", + "props": [ + { + "class": "name", + "value": "PE-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor physical access to the system in addition to the physical access monitoring of the facility at \u003cinsert param-id=\"pe-6_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides additional monitoring for those areas within facilities where there is a concentration of system components including, for example, server rooms, media storage areas, and communications centers.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "pe-6_g", + "desc": "organization-defined physical spaces containing one or more components of the system", + "value": "organization-defined physical spaces containing one or more components of the system" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.7", + "title": "VISITOR CONTROL", + "props": [ + { + "class": "name", + "value": "PE-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PE-2 and PE-3\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + } + ] + }, + { + "class": "SP800-53", + "id": "pe.8", + "title": "VISITOR ACCESS RECORDS", + "params": [ + { + "id": "pe-8_a", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + }, + { + "id": "pe-8_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-8" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pe.8a", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain visitor access records to the facility where the system resides for \u003cinsert param-id=\"pe-8_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-8a." + } + ] + }, + { + "class": "item", + "id": "pe.8b", + "prose": [ + "\u003cp class=\"description\"\u003eReview visitor access records \u003cinsert param-id=\"pe-8_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eVisitor access records include, for example, names and organizations of persons visiting; visitor signatures; forms of identification; dates of access; entry and departure times; purpose of visits; and names and organizations of persons visited. Access records are not required for publicly accessible areas.\u003c/p\u003e" + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.8.1", + "title": "AUTOMATED RECORDS MAINTENANCE AND REVIEW", + "props": [ + { + "class": "name", + "value": "PE-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to facilitate the maintenance and review of visitor access records.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.8.2", + "title": "PHYSICAL ACCESS RECORDS", + "props": [ + { + "class": "name", + "value": "PE-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PE-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pe.2" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.9", + "title": "POWER EQUIPMENT AND CABLING", + "props": [ + { + "class": "name", + "value": "PE-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect power equipment and power cabling for the system from damage and destruction.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the types of protection necessary for the power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. This includes, for example, generators and power cabling outside of buildings; internal cabling and uninterruptable power sources within an office or data center; and power sources for self-contained entities such as vehicles and satellites.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.9.1", + "title": "REDUNDANT CABLING", + "props": [ + { + "class": "name", + "value": "PE-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy redundant power cabling paths that are physically separated by \u003cinsert param-id=\"pe-9_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysically separate and redundant power cables ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "pe-9_a", + "desc": "organization-defined distance", + "value": "organization-defined distance" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.9.2", + "title": "AUTOMATIC VOLTAGE CONTROLS", + "props": [ + { + "class": "name", + "value": "PE-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automatic voltage controls for \u003cinsert param-id=\"pe-9_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomatic voltage controls can monitor and control voltage. Such controls include, for example, voltage regulators, voltage conditioners, and voltage stabilizers.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "pe-9_b", + "desc": "organization-defined critical system components", + "value": "organization-defined critical system components" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.10", + "title": "EMERGENCY SHUTOFF", + "params": [ + { + "id": "pe-10_a", + "desc": "organization-defined location by system or system component", + "value": "organization-defined location by system or system component" + } + ], + "props": [ + { + "class": "name", + "value": "PE-10" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pe.10a", + "prose": [ + "\u003cp class=\"description\"\u003eProvide the capability of shutting off power to the system or individual system components in emergency situations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10a." + } + ] + }, + { + "class": "item", + "id": "pe.10b", + "prose": [ + "\u003cp class=\"description\"\u003ePlace emergency shutoff switches or devices in \u003cinsert param-id=\"pe-10_a\"/\u003e to facilitate safe and easy access for personnel; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10b." + } + ] + }, + { + "class": "item", + "id": "pe.10c", + "prose": [ + "\u003cp class=\"description\"\u003eProtect emergency power shutoff capability from unauthorized activation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-10c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of system resources including, for example, data centers, server rooms, rooms/buildings containing computer-controlled machinery, and mainframe computer rooms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.15" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.10.1", + "title": "ACCIDENTAL AND UNAUTHORIZED ACTIVATION", + "props": [ + { + "class": "name", + "value": "PE-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PE-10\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pe.10" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.11", + "title": "EMERGENCY POWER", + "props": [ + { + "class": "name", + "value": "PE-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a short-term uninterruptible power supply to facilitate [Selection (one or more): an orderly shutdown of the system; transition of the system to long-term alternate power] in the event of a primary power source loss.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#cp.2" + }, + { + "href": "#cp.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.11.1", + "title": "LONG-TERM ALTERNATE POWER SUPPLY — MINIMAL OPERATIONAL CAPABILITY", + "props": [ + { + "class": "name", + "value": "PE-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a long-term alternate power supply for the system that can maintain minimally required operational capability in the event of an extended loss of the primary power source.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement can be satisfied, for example, by using a secondary commercial power supply or other external power supply. The long-term alternate power supplies for organizational systems are either manually or automatically activated.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.11.2", + "title": "LONG-TERM ALTERNATE POWER SUPPLY — SELF-CONTAINED", + "props": [ + { + "class": "name", + "value": "PE-11 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a long-term alternate power supply for the system that is:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "pe.11.2.a", + "prose": [ + "\u003cp class=\"description\"\u003eSelf-contained;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "pe.11.2.b", + "prose": [ + "\u003cp class=\"description\"\u003eNot reliant on external power generation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11 (2)(b)" + } + ] + }, + { + "class": "item", + "id": "pe.11.2.c", + "prose": [ + "\u003cp class=\"description\"\u003eCapable of maintaining [Selection: minimally required operational capability; full operational capability] in the event of an extended loss of the primary power source.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-11 (2)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement can be satisfied, for example, by using one or more generators with sufficient capacity to meet the needs of the organization. Long-term alternate power supplies for organizational systems are either manually or automatically activated.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.12", + "title": "EMERGENCY LIGHTING", + "props": [ + { + "class": "name", + "value": "PE-12" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy and maintain automatic emergency lighting for the system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of system resources including, for example, data centers, server rooms, and mainframe computer rooms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.12.1", + "title": "ESSENTIAL MISSIONS AND BUSINESS FUNCTIONS", + "props": [ + { + "class": "name", + "value": "PE-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide emergency lighting for all areas within the facility supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.13", + "title": "FIRE PROTECTION", + "props": [ + { + "class": "name", + "value": "PE-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy and maintain fire suppression and detection devices/systems for the system that are supported by an independent energy source.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices or systems that may require an independent energy source include, for example, sprinkler systems, fixed fire hoses, and smoke detectors.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.13.1", + "title": "DETECTION DEVICES AND SYSTEMS", + "props": [ + { + "class": "name", + "value": "PE-13 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy fire detection devices/systems for the system that activate automatically and notify \u003cinsert param-id=\"pe-13_a\"/\u003e and \u003cinsert param-id=\"pe-13_b\"/\u003e in the event of a fire.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are systems containing classified information.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "pe-13_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "pe-13_b", + "desc": "organization-defined emergency responders", + "value": "organization-defined emergency responders" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.13.2", + "title": "AUTOMATIC SUPPRESSION DEVICES AND SYSTEMS", + "props": [ + { + "class": "name", + "value": "PE-13 (2)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pe.13.2.a", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy fire suppression devices/systems for the system that provide automatic notification of any activation to \u003cinsert param-id=\"pe-13_c\"/\u003e and \u003cinsert param-id=\"pe-13_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "pe.13.2.b", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy an automatic fire suppression capability for the system when the facility is not staffed on a continuous basis.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-13 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are systems containing classified information.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "pe-13_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "pe-13_d", + "desc": "organization-defined emergency responders", + "value": "organization-defined emergency responders" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.13.3", + "title": "AUTOMATIC FIRE SUPPRESSION", + "props": [ + { + "class": "name", + "value": "PE-13 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PE-13(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "PE-13(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.13.4", + "title": "INSPECTIONS", + "props": [ + { + "class": "name", + "value": "PE-13 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that the facility undergoes \u003cinsert param-id=\"pe-13_e\"/\u003e fire protection inspections by authorized and qualified inspectors and resolves identified deficiencies within \u003cinsert param-id=\"pe-13_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "pe-13_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pe-13_f", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.14", + "title": "TEMPERATURE AND HUMIDITY CONTROLS", + "params": [ + { + "id": "pe-14_a", + "desc": "organization-defined acceptable levels", + "value": "organization-defined acceptable levels" + }, + { + "id": "pe-14_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-14" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pe.14a", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain temperature and humidity levels within the facility where the system resides at \u003cinsert param-id=\"pe-14_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14a." + } + ] + }, + { + "class": "item", + "id": "pe.14b", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor temperature and humidity levels \u003cinsert param-id=\"pe-14_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-14b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of system resources, for example, data centers, server rooms, and mainframe computer rooms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#cp.2" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.14.1", + "title": "AUTOMATIC CONTROLS", + "props": [ + { + "class": "name", + "value": "PE-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pe.14.2", + "title": "MONITORING WITH ALARMS AND NOTIFICATIONS", + "props": [ + { + "class": "name", + "value": "PE-14 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment to \u003cinsert param-id=\"pe-14_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "pe-14_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.15", + "title": "WATER DAMAGE PROTECTION", + "props": [ + { + "class": "name", + "value": "PE-15" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect the system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of system resources including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#pe.10" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.15.1", + "title": "AUTOMATION SUPPORT", + "props": [ + { + "class": "name", + "value": "PE-15 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to detect the presence of water near the system and alert \u003cinsert param-id=\"pe-15_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms include, for example, water detection sensors, alarms, and notification systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "pe-15_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.16", + "title": "DELIVERY AND REMOVAL", + "params": [ + { + "id": "pe-16_a", + "desc": "organization-defined types of system components", + "value": "organization-defined types of system components" + } + ], + "props": [ + { + "class": "name", + "value": "PE-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize, monitor, and control \u003cinsert param-id=\"pe-16_a\"/\u003e entering and exiting the facility and maintain records of those items.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEnforcing authorizations for entry and exit of system components may require restricting access to delivery areas and isolating the areas from the system and media libraries.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#ma.2" + }, + { + "href": "#ma.3" + }, + { + "href": "#mp.5" + }, + { + "href": "#sa.12" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.17", + "title": "ALTERNATE WORK SITE", + "params": [ + { + "id": "pe-17_a", + "desc": "organization-defined alternate work sites", + "value": "organization-defined alternate work sites" + }, + { + "id": "pe-17_b", + "desc": "organization-defined security and privacy controls", + "value": "organization-defined security and privacy controls" + } + ], + "props": [ + { + "class": "name", + "value": "PE-17" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pe.17a", + "prose": [ + "\u003cp class=\"description\"\u003eDetermine and document the \u003cinsert param-id=\"pe-17_a\"/\u003e allowed for use by employees;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17a." + } + ] + }, + { + "class": "item", + "id": "pe.17b", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"pe-17_b\"/\u003e at alternate work sites;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17b." + } + ] + }, + { + "class": "item", + "id": "pe.17c", + "prose": [ + "\u003cp class=\"description\"\u003eAssess the effectiveness of security and privacy controls at alternate work sites; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17c." + } + ] + }, + { + "class": "item", + "id": "pe.17d", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a means for employees to communicate with information security and privacy personnel in case of security or privacy incidents or problems.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-17d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlternate work sites include, for example, government facilities or private residences of employees. While distinct from alternative processing sites, alternate work sites can provide readily available alternate locations during contingency operations. Organizations can define different sets of controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#cp.7" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-46", + "value": "NIST Special Publication 800-46" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pe.18", + "title": "LOCATION OF SYSTEM COMPONENTS", + "params": [ + { + "id": "pe-18_a", + "desc": "organization-defined physical and environmental hazards", + "value": "organization-defined physical and environmental hazards" + } + ], + "props": [ + { + "class": "name", + "value": "PE-18" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePosition system components within the facility to minimize potential damage from \u003cinsert param-id=\"pe-18_a\"/\u003e and to minimize the opportunity for unauthorized access.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. Organizations also consider the location of entry points where unauthorized individuals, while not being granted access, might nonetheless be near systems. Such proximity can increase the risk of unauthorized access to organizational communications, including, for example, using wireless sniffers or microphones.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#pe.5" + }, + { + "href": "#pe.19" + }, + { + "href": "#pe.20" + }, + { + "href": "#ra.3" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.18.1", + "title": "FACILITY SITE", + "props": [ + { + "class": "name", + "value": "PE-18 (1)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pe.18.1.a", + "prose": [ + "\u003cp class=\"description\"\u003ePlan the location or site of the facility where the system resides considering physical and environmental hazards; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "pe.18.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eFor existing facilities, consider the physical and environmental hazards in the organizational risk management strategy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PE-18 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.8" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.19", + "title": "INFORMATION LEAKAGE", + "props": [ + { + "class": "name", + "value": "PE-19" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect the system from information leakage due to electromagnetic signals emanations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation leakage is the intentional or unintentional release of data or information to an untrusted environment from electromagnetic signals emanations. The security categories or classifications of systems (with respect to confidentiality), organizational security policies, and risk tolerance guide the selection of controls employed to protect systems against information leakage due to electromagnetic signals emanations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#pe.18" + }, + { + "href": "#pe.20" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pe.19.1", + "title": "NATIONAL EMISSIONS AND TEMPEST POLICIES AND PROCEDURES", + "props": [ + { + "class": "name", + "value": "PE-19 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect system components, associated data communications, and networks in accordance with national Emissions Security policies and procedures based on the security category or classification of the information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEmissions Security (EMSEC) policies include the former TEMPEST policies.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pe.20", + "title": "ASSET MONITORING AND TRACKING", + "params": [ + { + "id": "pe-20_a", + "desc": "organization-defined asset location technologies", + "value": "organization-defined asset location technologies" + }, + { + "id": "pe-20_b", + "desc": "organization-defined assets", + "value": "organization-defined assets" + }, + { + "id": "pe-20_c", + "desc": "organization-defined controlled areas", + "value": "organization-defined controlled areas" + } + ], + "props": [ + { + "class": "name", + "value": "PE-20" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"pe-20_a\"/\u003e to track and monitor the location and movement of \u003cinsert param-id=\"pe-20_b\"/\u003e within \u003cinsert param-id=\"pe-20_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAsset location technologies can help organizations ensure that critical assets, including, for example, vehicles, equipment, or essential system components remain in authorized locations. Organizations consult with the Office of the General Counsel and the Senior Agency Official for Privacy regarding the deployment and use of asset location technologies to address potential privacy concerns.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + }, + { + "href": "#pm.8" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.21", + "title": "ELECTROMAGNETIC PULSE PROTECTION", + "params": [ + { + "id": "pe-21_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "pe-21_b", + "desc": "organization-defined systems and system components", + "value": "organization-defined systems and system components" + } + ], + "props": [ + { + "class": "name", + "value": "PE-21" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"pe-21_a\"/\u003e against electromagnetic pulse damage for \u003cinsert param-id=\"pe-21_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAn electromagnetic pulse (EMP) is a short burst of electromagnetic energy that is spread over a range of frequencies. Such energy bursts may be natural or man-made. EMP interference may be disruptive or damaging to electronic equipment. Protective measures used to mitigate EMP risk include shielding, surge suppressors, ferro-resonant transformers, and earth grounding.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.18" + }, + { + "href": "#pe.19" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pe.22", + "title": "COMPONENT MARKING", + "params": [ + { + "id": "pe-22_a", + "desc": "organization-defined system hardware components", + "value": "organization-defined system hardware components" + } + ], + "props": [ + { + "class": "name", + "value": "PE-22" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMark \u003cinsert param-id=\"pe-22_a\"/\u003e indicating the impact or classification level of the information permitted to be processed, stored, or transmitted by the hardware component.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHardware components that may require marking include, for example, input devices marked to indicate the classification of the network to which they are connected or a multifunction function printer or copier residing in a classified area. Security marking refers to the application or use of human-readable security attributes. Security labeling refers to the application or use of security attributes regarding internal data structures within systems. Security marking is generally not required for hardware components processing, storing, or transmitting information determined by organizations to be in the public domain or to be publicly releasable. However, organizations may require markings for hardware components processing, storing, or transmitting public information indicating that such information is publicly releasable. The marking of system hardware components reflects applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#mp.3" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "PLANNING", + "controls": [ + { + "class": "SP800-53", + "id": "pl.1", + "title": "PLANNING POLICY AND PROCEDURES", + "params": [ + { + "id": "pl-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "pl-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "pl-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pl-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pl.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"pl-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "pl.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity and privacy planning policies that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "pl.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddress purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "pl.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eAre consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "pl.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the security and privacy planning policies and the associated security and privacy planning controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "pl.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"pl-1_b\"/\u003e to manage the security and privacy planning policies and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1b." + } + ] + }, + { + "class": "item", + "id": "pl.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current security and privacy planning:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "pl.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicies \u003cinsert param-id=\"pl-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1c.1." + } + ] + }, + { + "class": "item", + "id": "pl.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"pl-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "pl.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the security and privacy planning procedures implement the security and privacy planning policies and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1d." + } + ] + }, + { + "class": "item", + "id": "pl.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the planning policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the PL family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policies or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-18", + "value": "NIST Special Publication 800-18" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pl.2", + "title": "SECURITY AND PRIVACY PLANS", + "params": [ + { + "id": "pl-2_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "pl-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-2" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pl.2a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop security and privacy plans for the system that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a." + } + ], + "parts": [ + { + "class": "item", + "id": "pl.2a.1", + "prose": [ + "\u003cp class=\"description\"\u003eAre consistent with the organization\u0026#x92;s enterprise architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.1." + } + ] + }, + { + "class": "item", + "id": "pl.2a.2", + "prose": [ + "\u003cp class=\"description\"\u003eExplicitly define the authorization boundary for the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.2." + } + ] + }, + { + "class": "item", + "id": "pl.2a.3", + "prose": [ + "\u003cp class=\"description\"\u003eDescribe the operational context of the system in terms of missions and business processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.3." + } + ] + }, + { + "class": "item", + "id": "pl.2a.4", + "prose": [ + "\u003cp class=\"description\"\u003eProvide the security categorization of the system including supporting rationale;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.4." + } + ] + }, + { + "class": "item", + "id": "pl.2a.5", + "prose": [ + "\u003cp class=\"description\"\u003eDescribe the operational environment for the system and relationships with or connections to other systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.5." + } + ] + }, + { + "class": "item", + "id": "pl.2a.6", + "prose": [ + "\u003cp class=\"description\"\u003eProvide an overview of the security and privacy requirements for the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.6." + } + ] + }, + { + "class": "item", + "id": "pl.2a.7", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify any relevant overlays, if applicable;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.7." + } + ] + }, + { + "class": "item", + "id": "pl.2a.8", + "prose": [ + "\u003cp class=\"description\"\u003eDescribe the security and privacy controls in place or planned for meeting those requirements including a rationale for the tailoring decisions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.8." + } + ] + }, + { + "class": "item", + "id": "pl.2a.9", + "prose": [ + "\u003cp class=\"description\"\u003eAre reviewed and approved by the authorizing official or designated representative prior to plan implementation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2a.9." + } + ] + } + ] + }, + { + "class": "item", + "id": "pl.2b", + "prose": [ + "\u003cp class=\"description\"\u003eDistribute copies of the security and privacy plans and communicate subsequent changes to the plans to \u003cinsert param-id=\"pl-2_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2b." + } + ] + }, + { + "class": "item", + "id": "pl.2c", + "prose": [ + "\u003cp class=\"description\"\u003eReview the security and privacy plans \u003cinsert param-id=\"pl-2_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2c." + } + ] + }, + { + "class": "item", + "id": "pl.2d", + "prose": [ + "\u003cp class=\"description\"\u003eUpdate the security and privacy plans to address changes to the system and environment of operation or problems identified during plan implementation or security and privacy control assessments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2d." + } + ] + }, + { + "class": "item", + "id": "pl.2e", + "prose": [ + "\u003cp class=\"description\"\u003eProtect the security and privacy plans from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-2e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity and privacy plans relate security and privacy requirements to a set of security and privacy controls and control enhancements. The plans describe how the security and privacy controls and control enhancements meet those security and privacy requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls and control enhancements. Security and privacy plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the control baselines in Appendix D to develop overlays for community-wide use or to address specialized requirements, technologies, missions, business applications, or environments of operation. Security and privacy plans need not be single documents. The plans can be a collection of various documents including documents that already exist. Effective security and privacy plans make extensive use of references to policies, procedures, and additional documents including, for example, design and implementation specifications where more detailed information can be obtained. This reduces the documentation associated with security and privacy programs and maintains the security- and privacy-related information in other established management and operational areas including, for example, enterprise architecture, system development life cycle, systems engineering, and acquisition. Thus, security and privacy plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.14" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.20" + }, + { + "href": "#ca.2" + }, + { + "href": "#ca.3" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.9" + }, + { + "href": "#cp.2" + }, + { + "href": "#ir.8" + }, + { + "href": "#ma.4" + }, + { + "href": "#ma.5" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#pl.7" + }, + { + "href": "#pl.8" + }, + { + "href": "#pm.1" + }, + { + "href": "#pm.7" + }, + { + "href": "#pm.8" + }, + { + "href": "#pm.9" + }, + { + "href": "#pm.10" + }, + { + "href": "#pm.11" + }, + { + "href": "#ra.3" + }, + { + "href": "#ra.9" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.17" + }, + { + "href": "#sa.22" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pl.2.1", + "title": "CONCEPT OF OPERATIONS", + "props": [ + { + "class": "name", + "value": "PL-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PL-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pl.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pl.2.2", + "title": "FUNCTIONAL ARCHITECTURE", + "props": [ + { + "class": "name", + "value": "PL-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PL-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pl.8" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pl.2.3", + "title": "PLAN AND COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES", + "props": [ + { + "class": "name", + "value": "PL-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePlan and coordinate security- and privacy-related activities affecting the system with \u003cinsert param-id=\"pl-2_c\"/\u003e before conducting such activities to reduce the impact on other organizational entities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity- and privacy-related activities include, for example, security and privacy assessments, audits and inspections, hardware and software maintenance, patch management, and contingency plan testing. Planning and coordination includes emergency and nonemergency (i.e., planned or non-urgent unplanned) situations. The process defined by organizations to plan and coordinate security- and privacy-related activities can be included in security and privacy plans for systems or other documents, as appropriate.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.4" + }, + { + "href": "#ir.4" + } + ] + } + ], + "params": [ + { + "id": "pl-2_c", + "desc": "organization-defined individuals or groups", + "value": "organization-defined individuals or groups" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-18", + "value": "NIST Special Publication 800-18" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pl.3", + "title": "SYSTEM SECURITY PLAN UPDATE", + "props": [ + { + "class": "name", + "value": "PL-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PL-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pl.2" + } + ] + }, + { + "class": "SP800-53", + "id": "pl.4", + "title": "RULES OF BEHAVIOR", + "params": [ + { + "id": "pl-4_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pl-4_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-4" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pl.4a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4a." + } + ] + }, + { + "class": "item", + "id": "pl.4b", + "prose": [ + "\u003cp class=\"description\"\u003eReceive a documented acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4b." + } + ] + }, + { + "class": "item", + "id": "pl.4c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the rules of behavior \u003cinsert param-id=\"pl-4_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4c." + } + ] + }, + { + "class": "item", + "id": "pl.4d", + "prose": [ + "\u003cp class=\"description\"\u003eRequire individuals who have signed a previous version of the rules of behavior to read and re-sign [Selection (one or more): \u003cinsert param-id=\"pl-4_b\"/\u003e; when the rules are revised or updated.]\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-4d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to the general user population. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data or information from federal systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4b, the documented acknowledgment portion of the control, may be satisfied by the security and privacy awareness training and the role-based security and privacy training programs conducted by organizations if such training includes rules of behavior. Documented acknowledgements for rules of behavior may include, for example, electronic or physical signatures; and electronic agreement check boxes/radio buttons.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.8" + }, + { + "href": "#ac.9" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.20" + }, + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#cm.11" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#mp.7" + }, + { + "href": "#ps.6" + }, + { + "href": "#ps.8" + }, + { + "href": "#sa.5" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pl.4.1", + "title": "SOCIAL MEDIA AND NETWORKING RESTRICTIONS", + "props": [ + { + "class": "name", + "value": "PL-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInclude in the rules of behavior, explicit restrictions on the use of social media and networking sites and posting organizational information on public websites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses rules of behavior related to the use of social media and networking sites when organizational personnel are using such sites for official duties or in the conduct of official business; when organizational information is involved in social media and networking transactions; and when personnel are accessing social media and networking sites from organizational systems. Organizations also address specific rules that prevent unauthorized entities from obtaining, either directly or through inference, non-public organizational information from social media and networking sites. Examples of non-public information include system account information and personally identifiable information.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-18", + "value": "NIST Special Publication 800-18" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pl.5", + "title": "PRIVACY IMPACT ASSESSMENT", + "props": [ + { + "class": "name", + "value": "PL-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into RA-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ra.8" + } + ] + }, + { + "class": "SP800-53", + "id": "pl.6", + "title": "SECURITY-RELATED ACTIVITY PLANNING", + "props": [ + { + "class": "name", + "value": "PL-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PL-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#pl.2" + } + ] + }, + { + "class": "SP800-53", + "id": "pl.7", + "title": "CONCEPT OF OPERATIONS", + "params": [ + { + "id": "pl-7_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-7" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pl.7a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop a Concept of Operations (CONOPS) for the system describing how the organization intends to operate the system from the perspective of information security and privacy; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-7a." + } + ] + }, + { + "class": "item", + "id": "pl.7b", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the CONOPS \u003cinsert param-id=\"pl-7_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-7b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe security and privacy CONOPS may be included in the security or privacy plans for the system or in other system development life cycle documents, as appropriate. Changes to the CONOPS are reflected in ongoing updates to the security and privacy plans, the security and privacy architectures, and other appropriate organizational documents, including, for example, system development life cycle documents, procurement specifications, and systems engineering documents.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.2" + }, + { + "href": "#sa.2" + }, + { + "href": "#si.12" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pl.8", + "title": "SECURITY AND PRIVACY ARCHITECTURES", + "params": [ + { + "id": "pl-8_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-8" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pl.8a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop security and privacy architectures for the system that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8a." + } + ], + "parts": [ + { + "class": "item", + "id": "pl.8a.1", + "prose": [ + "\u003cp class=\"description\"\u003eDescribe the philosophy, requirements, and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8a.1." + } + ] + }, + { + "class": "item", + "id": "pl.8a.2", + "prose": [ + "\u003cp class=\"description\"\u003eDescribe the philosophy, requirements, and approach to be taken for processing personally identifiable information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8a.2." + } + ] + }, + { + "class": "item", + "id": "pl.8a.3", + "prose": [ + "\u003cp class=\"description\"\u003eDescribe how the security and privacy architectures are integrated into and support the enterprise architecture; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8a.3." + } + ] + }, + { + "class": "item", + "id": "pl.8a.4", + "prose": [ + "\u003cp class=\"description\"\u003eDescribe any security- and privacy-related assumptions about, and dependencies on, external services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "pl.8b", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the security and privacy architectures \u003cinsert param-id=\"pl-8_a\"/\u003e to reflect updates in the enterprise architecture; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8b." + } + ] + }, + { + "class": "item", + "id": "pl.8c", + "prose": [ + "\u003cp class=\"description\"\u003eReflect planned security and privacy architecture changes in the security and privacy plans, the Concept of Operations (CONOPS), and organizational procurements and acquisitions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses actions taken by organizations in the design and development of systems. The security and privacy architectures at the system level are consistent with and complement the organization-wide security and privacy architectures described in PM-7 that are integral to and developed as part of the enterprise architecture. The security and privacy architectures include an architectural description, the placement and allocation of security and privacy functionality (including security and privacy controls), security- and privacy-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security and privacy architectures can include other information, for example, user roles and the access privileges assigned to each role, unique security and privacy requirements, types of information processed, stored, and transmitted by the system, restoration priorities of information and system services, and any other specific protection needs. In today\u0026#x92;s modern computing architectures, it is becoming less common for organizations to control all information resources. There may be key dependencies on external information services and service providers. Describing such dependencies in the security and privacy architectures is important to developing a comprehensive mission and business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational systems is critical to implementing and maintaining effective security and privacy architectures. The development of the security and privacy architectures is coordinated with the Senior Agency Information Security Officer and the Senior Agency Official for Privacy to ensure that security and privacy controls needed to support security and privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations to ensure that they develop security and privacy architectures for the system, and that the architectures are integrated with or tightly coupled to the enterprise architecture through the organization-wide security and privacy architectures. In contrast, SA-17 is primarily directed at external information technology product and system developers and integrators. SA-17, which is complementary to PL-8, is selected when organizations outsource the development of systems or system components to external entities, and there is a need to demonstrate consistency with the organization\u0026#x92;s enterprise architecture and security and privacy architectures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + }, + { + "href": "#pl.2" + }, + { + "href": "#pl.7" + }, + { + "href": "#pl.9" + }, + { + "href": "#pm.7" + }, + { + "href": "#pm.29" + }, + { + "href": "#ra.9" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.17" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pl.8.1", + "title": "DEFENSE-IN-DEPTH", + "props": [ + { + "class": "name", + "value": "PL-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDesign the security and privacy architectures for the system using a defense-in-depth approach that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "pl.8.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAllocates \u003cinsert param-id=\"pl-8_b\"/\u003e to \u003cinsert param-id=\"pl-8_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "pl.8.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eEnsures that the allocated security and privacy safeguards operate in a coordinated and mutually reinforcing manner.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PL-8 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations strategically allocate security safeguards (procedural, technical, or both) in the security architecture so that adversaries must overcome multiple safeguards to achieve their objective. Requiring adversaries to defeat multiple mechanisms makes it more difficult to successfully attack critical information resources by increasing the work factor of the adversary. It also increases the likelihood of detection. The coordination of allocated safeguards is essential to ensure that an attack that involves one safeguard does not create adverse unintended consequences by interfering with other safeguards. Examples of such unintended consequences include system lockout and cascading alarms. Placement of security safeguards is an important activity requiring thoughtful analysis. The criticality or value of the organizational asset is a key consideration in providing additional layering.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.29" + }, + { + "href": "#sc.36" + } + ] + } + ], + "params": [ + { + "id": "pl-8_b", + "desc": "organization-defined security and privacy safeguards", + "value": "organization-defined security and privacy safeguards" + }, + { + "id": "pl-8_c", + "desc": "organization-defined locations and architectural layers", + "value": "organization-defined locations and architectural layers" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pl.8.2", + "title": "SUPPLIER DIVERSITY", + "props": [ + { + "class": "name", + "value": "PL-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that \u003cinsert param-id=\"pl-8_d\"/\u003e allocated to \u003cinsert param-id=\"pl-8_e\"/\u003e are obtained from different suppliers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDifferent information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms based on their priorities and development schedules. By having different products at different locations there is an increased likelihood that at least one will detect the malicious code.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + }, + { + "href": "#sc.29" + } + ] + } + ], + "params": [ + { + "id": "pl-8_d", + "desc": "organization-defined security and privacy safeguards", + "value": "organization-defined security and privacy safeguards" + }, + { + "id": "pl-8_e", + "desc": "organization-defined locations and architectural layers", + "value": "organization-defined locations and architectural layers" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pl.9", + "title": "CENTRAL MANAGEMENT", + "params": [ + { + "id": "pl-9_a", + "desc": "organization-defined security and privacy controls and related processes", + "value": "organization-defined security and privacy controls and related processes" + } + ], + "props": [ + { + "class": "name", + "value": "PL-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCentrally manage \u003cinsert param-id=\"pl-9_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management refers to the organization-wide management and implementation of selected security and privacy controls and related processes. This includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed controls and processes. As the central management of security and privacy controls is generally associated with the concept of common controls, such management promotes and facilitates standardization of control implementations and management and judicious use of organizational resources. Centrally-managed controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate and as part of organizational continuous monitoring. As part of the security and privacy control selection processes, organizations determine which controls may be suitable for central management based on organizational resources and capabilities. It is not always possible to centrally manage every aspect of a security or privacy control. In such cases, the control can be treated as a hybrid control with the control managed and implemented centrally or at the system level. Those controls and control enhancements that are candidates for full or partial central management include, but are not limited to: AC-2 (1) (2) (3) (4); AC-17 (1) (2) (3) (9); AC-18 (1) (3) (4) (5); AC-19 (4); AC-22; AC-23; AT-2 (1) (2); AT-3 (1) (2) (3); AT-4; AU-6 (1) (3) (5) (6) (9); AU-7 (1) (2); AU-11, AU-13, AU-16, CA-2 (1) (2) (3); CA-3 (1) (2) (3); CA-7 (1); CA-9; CM-2 (1) (2); CM-3 (1) (4); CM-4; CM-6 (1); CM-7 (4) (5); CM-8 (all); CM-9 (1); CM-10; CM-11; CP-7 (all); CP-8 (all); SC-43; SI-2; SI-3; SI-7; and SI-8.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.8" + }, + { + "href": "#pm.9" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pl.10", + "title": "BASELINE SELECTION", + "props": [ + { + "class": "name", + "value": "PL-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eSelect a control baseline for the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe selection of an appropriate control baseline is determined by the needs of organizational stakeholders. Stakeholder needs and concerns consider mission and business requirements and mandates imposed by applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. For example, the three control baselines in Appendix D are based on the requirements from the Federal Information Security Modernization Act (FISMA) and the Privacy Act. These requirements, along with the NIST standards and guidelines implementing the legislation, require organizations to select one of the control baselines after the reviewing the information types and the information that is processed, stored, and transmitted on organizational systems; analyzing the potential adverse impact or consequences of the loss or compromise of the system or information on the organization\u0026#x92;s operations and assets, individuals, other organizations or the Nation; and considering the results from organizational and system assessments of risk. Nonfederal organizations that are part of other communities of interest including the U.S. critical infrastructure sectors, can develop similar control baselines (using the controls in Chapter Three) that represent the needs and concerns of those entities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.11" + }, + { + "href": "#ra.2" + }, + { + "href": "#ra.3" + }, + { + "href": "#sa.8" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#200", + "value": "FIPS Publication 200" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pl.11", + "title": "BASELINE TAILORING", + "props": [ + { + "class": "name", + "value": "PL-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTailor the selected control baseline by applying specified tailoring actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe concept of tailoring allows organizations to specialize or customize a set of baseline controls by applying a defined set of tailoring actions. These actions facilitate such specialization and customization by allowing organizations to develop security and privacy plans that reflect their specific missions and business functions, the environments where their systems operate, the threats and vulnerabilities that can affect their systems, and any other conditions or situations that can impact their mission or business success. The tailoring actions are described in Appendix G. Tailoring a control baseline is accomplished by identifying and designating common controls; applying scoping considerations; selecting compensating controls; assigning values to control parameters; supplementing the control baseline with additional controls, as needed; and providing information for control implementation. The general tailoring actions in Appendix G can be supplemented with additional actions based on the needs of organizations. Tailoring actions can be applied to the baselines in Appendix D in accordance with the security requirements from the Federal Information Security Modernization Act (FISMA) and the privacy requirements from the Privacy Act. Alternatively, other communities of interest adopting different control baselines can apply the tailoring actions in Appendix G to specialize or customize the controls that represent the specific needs and concerns of those entities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.10" + }, + { + "href": "#ra.2" + }, + { + "href": "#ra.3" + }, + { + "href": "#ra.9" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#200", + "value": "FIPS Publication 200" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + } + ] + } + } + ] + }, + { + "class": "family", + "title": "PROGRAM MANAGEMENT", + "controls": [ + { + "class": "SP800-53", + "id": "pm.1", + "title": "INFORMATION SECURITY PROGRAM PLAN", + "params": [ + { + "id": "pm-1_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PM-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop and disseminate an organization-wide information security program plan that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "pm.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eProvides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.1." + } + ] + }, + { + "class": "item", + "id": "pm.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.2." + } + ] + }, + { + "class": "item", + "id": "pm.1a.3", + "prose": [ + "\u003cp class=\"description\"\u003eReflects the coordination among organizational entities responsible for information security; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.3." + } + ] + }, + { + "class": "item", + "id": "pm.1a.4", + "prose": [ + "\u003cp class=\"description\"\u003eIs approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "pm.1b", + "prose": [ + "\u003cp class=\"description\"\u003eReview the organization-wide information security program plan \u003cinsert param-id=\"pm-1_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1b." + } + ] + }, + { + "class": "item", + "id": "pm.1c", + "prose": [ + "\u003cp class=\"description\"\u003eUpdate the information security program plan to address organizational changes and problems identified during plan implementation or control assessments; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1c." + } + ] + }, + { + "class": "item", + "id": "pm.1d", + "prose": [ + "\u003cp class=\"description\"\u003eProtect the information security program plan from unauthorized disclosure and modification.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-1d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation security program plans can be represented in single documents or compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Information security program plans provide sufficient information about the program management controls/common controls (including specification of parameters for any assignment and selection statements either explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended. Security plans for individual systems and the organization-wide information security program plan, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organization\u0026#x92;s information security program plan unless the controls are included in a separate security plan for a system. The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls. Organizations have the flexibility to describe common controls in a single document or in multiple documents. For multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the Facilities Management Office may develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular system but instead, support multiple systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.2" + }, + { + "href": "#pm.8" + }, + { + "href": "#pm.12" + }, + { + "href": "#ra.9" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.12" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.2", + "title": "INFORMATION SECURITY PROGRAM ROLES", + "props": [ + { + "class": "name", + "value": "PM-2" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.2a", + "prose": [ + "\u003cp class=\"description\"\u003eAppoint a Senior Agency Information Security Officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2a." + } + ] + }, + { + "class": "item", + "id": "pm.2b", + "prose": [ + "\u003cp class=\"description\"\u003eAppoint a Senior Accountable Official for Risk Management to align information security management proceeses with strategic, operational, and budgetary planning procceses; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2b." + } + ] + }, + { + "class": "item", + "id": "pm.2c", + "prose": [ + "\u003cp class=\"description\"\u003eAppoint a Risk Executive (function) to view and analyze risk from an organization-wide perspective and ensure management of risk is consistent across the organization.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-2c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe senior information security officer is an organizational official. For federal agencies (as defined by applicable laws, Executive Orders, regulations, directives, policies, and standards), this official is the Senior Agency Information Security Officer. Organizations may also refer to this official as the Senior Information Security Officer or Chief Information Security Officer. 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Organizations view plans of action and milestones from an enterprise-wide perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from control assessments and continuous monitoring activities.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "CA-5; CA-7" + }, + { + "href": "#pm.3" + }, + { + "href": "#ra.7" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.5", + "title": "SYSTEM INVENTORY", + "props": [ + { + "class": "name", + "value": "PM-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop and maintain an inventory of organizational systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOMB provides guidance on developing systems inventories and associated reporting requirements. This control refers to an organization-wide inventory of systems, not system components as described in CM-8.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.6", + "title": "MEASURES OF PERFORMANCE", + "props": [ + { + "class": "name", + "value": "PM-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, monitor, and report on the results of information security and privacy measures of performance.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMeasures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security and privacy programs and the security and privacy controls employed in support of the program.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-55", + "value": "NIST Special Publication 800-55" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.7", + "title": "ENTERPRISE ARCHITECTURE", + "props": [ + { + "class": "name", + "value": "PM-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop an enterprise architecture with consideration for information security, privacy, and the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe integration of security and privacy requirements and controls into the enterprise architecture ensures that security and privacy considerations are addressed early in the system development life cycle and are directly and explicitly related to the organization\u0026#x92;s mission and business processes. 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Security and privacy requirements and control integration are most effectively accomplished through the rigorous application of the Risk Management Framework and supporting security standards and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#pl.2" + }, + { + "href": "#pl.8" + }, + { + "href": "#pm.11" + }, + { + "href": "#ra.2" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.17" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.8", + "title": "CRITICAL INFRASTRUCTURE PLAN", + "props": [ + { + "class": "name", + "value": "PM-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAddress information security and privacy issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProtection strategies are based on the prioritization of critical assets and resources. 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The senior accountable official for risk management (agency head or designated official) aligns information security management proceeses with strategic, operational, and budgetary planning procceses. The use of a risk executive function, led by the senior accountable official for risk management, can facilitate consistent application of the risk management strategy organization-wide. The organization-wide risk management strategy can be informed by security, privacy, and supply chain risk-related inputs from other sources, internal and external to the organization, to ensure the strategy is both broad-based and comprehensive.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "All XX-1 Controls" + }, + { + "href": "#ca.2" + }, + { + "href": "#ca.5" + }, + { + "href": "#ca.6" + }, + { + "href": "#ca.7" + }, + { + "href": "#ip.1" + }, + { + "href": "#pa.1" + }, + { + "href": "#pa.2" + }, + { + "href": "#pa.3" + }, + { + "href": "#pl.2" + }, + { + "href": "#pm.8" + }, + { + "href": "#pm.18" + }, + { + "href": "#pm.31" + }, + { + "href": "#pm.32" + }, + { + "href": "#ra.3" + }, + { + "href": "#ra.9" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.12" + }, + { + "href": "#sc.38" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-161", + "value": "NIST Special Publication 800-161" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.10", + "title": "AUTHORIZATION PROCESS", + "props": [ + { + "class": "name", + "value": "PM-10" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.10a", + "prose": [ + "\u003cp class=\"description\"\u003eManage the security and privacy state of organizational systems and the environments in which those systems operate through authorization processes;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10a." + } + ] + }, + { + "class": "item", + "id": "pm.10b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate individuals to fulfill specific roles and responsibilities within the organizational risk management process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10b." + } + ] + }, + { + "class": "item", + "id": "pm.10c", + "prose": [ + "\u003cp class=\"description\"\u003eIntegrate the authorization processes into an organization-wide risk management program.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-10c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthorization processes for organizational systems and environments of operation require the implementation of an organization-wide risk management process, a Risk Management Framework, and associated security and privacy standards and guidelines. Specific roles for risk management processes include a risk executive (function) and designated authorizing officials for each organizational system and common control provider. The organizational authorization processes are integrated with continuous monitoring processes to facilitate ongoing understanding and acceptance of security and privacy risks to organizational operations and assets, individuals, other organizations, and the Nation.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.6" + }, + { + "href": "#ca.7" + }, + { + "href": "#pl.2" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.11", + "title": "MISSION AND BUSINESS PROCESS DEFINITION", + "params": [ + { + "id": "pm-11_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PM-11" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.11a", + "prose": [ + "\u003cp class=\"description\"\u003eDefine organizational mission and business processes with consideration for information security and privacy and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-11a." + } + ] + }, + { + "class": "item", + "id": "pm.11b", + "prose": [ + "\u003cp class=\"description\"\u003eDetermine information protection and personally identifiable information processing needs arising from the defined mission and business processes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-11b." + } + ] + }, + { + "class": "item", + "id": "pm.11c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and revise the mission and business processes \u003cinsert param-id=\"pm-11_a\"/\u003e, until achievable protection and personally identifiable information processing needs are obtained.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-11c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProtection needs are technology-independent, required capabilities to counter threats to organizations, individuals, systems, and the Nation through the compromise of information (i.e., loss of confidentiality, integrity, availability, or privacy). Information protection and personally identifiable information processing needs are derived from mission and business needs defined by the stakeholders in organizations, the mission and business processes defined to meet those needs, and the organizational risk management strategy. Information protection and personally identifiable information processing needs determine the required security and privacy controls for the organization and the systems supporting the mission and business processes. Inherent in defining the protection and personally identifiable information processing needs, is an understanding of adverse impact or consequences that could result if a compromise of information occurs. The categorization process is used to make such potential impact determinations. Privacy risks to individuals can arise from the compromise of personally identifiable information, but they can also arise as unintended consequences or a byproduct of authorized processing of information at any stage of the data life cycle. Privacy risk assessments are used to prioritize the risks that are created for individuals from system processing of personally identifiable information. These risk assessments enable the selection of the required privacy controls for the organization and systems supporting the mission and business processes. Mission and business process definitions and the associated protection requirements are documented in accordance with organizational policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#pl.2" + }, + { + "href": "#pm.7" + }, + { + "href": "#pm.8" + }, + { + "href": "#ra.2" + }, + { + "href": "#sa.2" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.12", + "title": "INSIDER THREAT PROGRAM", + "props": [ + { + "class": "name", + "value": "PM-12" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement an insider threat program that includes a cross-discipline insider threat incident handling team.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations handling classified information are required, under Executive Order 13587 and the National Policy on Insider Threat, to establish insider threat programs. The standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of Controlled Unclassified Information in non-national security systems. Insider threat programs include controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior official is designated by the department or agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs as a minimum, prepare department or agency insider threat policies and implementation plans; conduct host-based user monitoring of individual employee activities on government-owned classified computers; provide insider threat awareness training to employees; receive access to information from all offices within the department or agency for insider threat analysis; and conduct self-assessments of department or agency insider threat posture. Insider threat programs can leverage the existence of incident handling teams that organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace including, for example, ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues. These precursors can better inform and guide organizational officials in more focused, targeted monitoring efforts. However, the use of human resource records could raise significant concerns for privacy. The participation of a comprehensive legal team, including consultation with the senior agency officer for privacy (SAOP), ensures that all monitoring activities are performed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#at.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#au.10" + }, + { + "href": "#au.12" + }, + { + "href": "#au.13" + }, + { + "href": "#ca.7" + }, + { + "href": "#ia.4" + }, + { + "href": "#ir.4" + }, + { + "href": "#mp.7" + }, + { + "href": "#pe.2" + }, + { + "href": "#pm.16" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.4" + }, + { + "href": "#ps.5" + }, + { + "href": "#ps.7" + }, + { + "href": "#ps.8" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.38" + }, + { + "href": "#si.4" + }, + { + "href": "#pm.1" + }, + { + "href": "#pm.14" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.13", + "title": "SECURITY AND PRIVACY WORKFORCE", + "props": [ + { + "class": "name", + "value": "PM-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish a security and privacy workforce development and improvement program.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity and privacy workforce development and improvement programs include, for example, defining the knowledge, skills, and abilities needed to perform security and privacy duties and tasks; developing role-based training programs for individuals assigned security and privacy roles and responsibilities; and providing standards and guidelines for measuring and building individual qualifications for incumbents and applicants for security- and privacy-related positions. Such workforce development and improvement programs can also include security and privacy career paths to encourage security and privacy professionals to advance in the field and fill positions with greater responsibility. The programs encourage organizations to fill security- and privacy-related positions with qualified personnel. Security and privacy workforce development and improvement programs are complementary to organizational security awareness and training programs and focus on developing and institutionalizing the core security and privacy capabilities of personnel needed to protect organizational operations, assets, and individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.14", + "title": "TESTING, TRAINING, AND MONITORING", + "props": [ + { + "class": "name", + "value": "PM-14" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.14a", + "prose": [ + "\u003cp class=\"description\"\u003eImplement a process for ensuring that organizational plans for conducting security and privacy testing, training, and monitoring activities associated with organizational systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14a." + } + ], + "parts": [ + { + "class": "item", + "id": "pm.14a.1", + "prose": [ + "\u003cp class=\"description\"\u003eAre developed and maintained; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14a.1." + } + ] + }, + { + "class": "item", + "id": "pm.14a.2", + "prose": [ + "\u003cp class=\"description\"\u003eContinue to be executed in a timely manner;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "pm.14b", + "prose": [ + "\u003cp class=\"description\"\u003eReview testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-14b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control ensures that organizations provide oversight for the security and privacy testing, training, and monitoring activities conducted organization-wide and that those activities are coordinated. With the growing importance of continuous monitoring programs, the implementation of information security and privacy across the three tiers of the risk management hierarchy and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing organizational assessments supporting a variety of security and privacy controls. Security and privacy training activities, while focused on individual systems and specific roles, also necessitate coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#ca.7" + }, + { + "href": "#cp.4" + }, + { + "href": "#ir.3" + }, + { + "href": "#pm.12" + }, + { + "href": "#si.4" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.15", + "title": "CONTACTS WITH GROUPS AND ASSOCIATIONS", + "props": [ + { + "class": "name", + "value": "PM-15" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish and institutionalize contact with selected groups and associations within the security and privacy communities:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "pm.15a", + "prose": [ + "\u003cp class=\"description\"\u003eTo facilitate ongoing security and privacy education and training for organizational personnel;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15a." + } + ] + }, + { + "class": "item", + "id": "pm.15b", + "prose": [ + "\u003cp class=\"description\"\u003eTo maintain currency with recommended security and privacy practices, techniques, and technologies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15b." + } + ] + }, + { + "class": "item", + "id": "pm.15c", + "prose": [ + "\u003cp class=\"description\"\u003eTo share current security- and privacy-related information including threats, vulnerabilities, and incidents.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-15c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOngoing contact with security and privacy groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Security and privacy groups and associations include, for example, special interest groups, professional associations, forums, news groups, and peer groups of security and privacy professionals in similar organizations. Organizations select groups and associations based on organizational missions and business functions. Organizations share threat, vulnerability, privacy problems, contextual insights, compliance techniques, and incident information consistent with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.11" + }, + { + "href": "#si.5" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.16", + "title": "THREAT AWARENESS PROGRAM", + "props": [ + { + "class": "name", + "value": "PM-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement a threat awareness program that includes a cross-organization information-sharing capability.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBecause of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it may be more likely that adversaries can successfully breach or compromise organizational systems. One of the best techniques to address this concern is for organizations to share threat information. This can include sharing threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, and threat intelligence (i.e., indications and warnings about threats that can occur). Threat information sharing may be bilateral or multilateral. Examples of bilateral threat sharing include government-commercial cooperatives and government-government cooperatives. An example of multilateral sharing includes organizations taking part in threat-sharing consortia. Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.4" + }, + { + "href": "#pm.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pm.16.1", + "title": "AUTOMATED MEANS FOR SHARING THREAT INTELLIGENCE", + "props": [ + { + "class": "name", + "value": "PM-16 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUtilize automated means to maximize the effectiveness of sharing threat intelligence information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTo maximize the effectiveness of monitoring, it is important to know what threat observables and indicators the sensors need to be searching for. By utilizing well established frameworks, services, and automated tools, organizations greatly improve their ability to rapidly share and feed into monitoring tools, the relevant threat detection signatures.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.17", + "title": "PROTECTING CONTROLLED UNCLASSIFIED INFORMATION ON EXTERNAL SYSTEMS", + "params": [ + { + "id": "pm-17_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PM-17" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.17a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish policy and procedures to ensure that the requirements for the protection of Controlled Unclassified Information processed, stored or transmitted on external systems, are implemented in accordance with applicable laws, Executive Orders, directives, policies, regulations, and standards.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-17a." + } + ] + }, + { + "class": "item", + "id": "pm.17b", + "prose": [ + "\u003cp class=\"description\"\u003eUpdate the policy and procedures \u003cinsert param-id=\"pm-17_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-17b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe protection of Controlled Unclassified Information (CUI) in nonfederal organizations and systems is critical to the security of federal operations and assets and the privacy of individuals. CUI is defined by the National Archives and Records Administration along with the appropriate safeguarding and dissemination requirements for such information and is codified in 32 CFR 2002, Controlled Unclassified Information and specifically, for systems external to the federal organization, in 32 CFR 2002.14h. The policy prescribes the specific use and conditions to be implemented in accordance with organizational procedures including, for example, via its contracting processes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.6" + }, + { + "href": "#pm.10" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.18", + "title": "PRIVACY PROGRAM PLAN", + "props": [ + { + "class": "name", + "value": "PM-18" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.18a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop and disseminate an organization-wide privacy program plan that provides an overview of the agency\u0026#x92;s privacy program, and:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-18a." + } + ], + "parts": [ + { + "class": "item", + "id": "pm.18a.1", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes a description of the structure of the privacy program and the resources dedicated to the privacy program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-18a.1." + } + ] + }, + { + "class": "item", + "id": "pm.18a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProvides an overview of the requirements for the privacy program and a description of the privacy program management controls and common controls in place or planned for meeting those requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-18a.2." + } + ] + }, + { + "class": "item", + "id": "pm.18a.3", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes the role of the Senior Agency Official for Privacy and the identification and assignment of roles of other privacy officials and staff and their responsibilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-18a.3." + } + ] + }, + { + "class": "item", + "id": "pm.18a.4", + "prose": [ + "\u003cp class=\"description\"\u003eDescribes management commitment, compliance, and the strategic goals and objectives of the privacy program;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-18a.4." + } + ] + }, + { + "class": "item", + "id": "pm.18a.5", + "prose": [ + "\u003cp class=\"description\"\u003eReflects coordination among organizational entities responsible for the different aspects of privacy; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-18a.5." + } + ] + }, + { + "class": "item", + "id": "pm.18a.6", + "prose": [ + "\u003cp class=\"description\"\u003eIs approved by a senior official with responsibility and accountability for the privacy risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-18a.6." + } + ] + } + ] + }, + { + "class": "item", + "id": "pm.18b", + "prose": [ + "\u003cp class=\"description\"\u003eUpdate the plan to address changes in federal privacy laws and policy and organizational changes and problems identified during plan implementation or privacy control assessments.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-18b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA Privacy program plan is a formal document that provides an overview of an organization\u0026#x92;s privacy program, including a description of the structure of the privacy program, the resources dedicated to the privacy program, the role of the Senior Agency Official for Privacy and other privacy officials and staff, the strategic goals and objectives of the privacy program, and the program management and common controls in place or planned for meeting applicable privacy requirements and managing privacy risks. Privacy program plans can be integrated with information security plans or can be represented independently, either in a single document or in compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Privacy program plans provide sufficient information about the program management and common controls (including specification of parameters and assignment and selection statements either explicitly or by reference) to enable control implementations that are unambiguously compliant with the intent of the plans and a determination of the risk incurred if the plans are implemented as intended. The privacy plans for individual systems and the organization-wide privacy program plan together provide complete coverage for all privacy controls employed within the organization. Common controls are documented in an appendix to the organization\u0026#x92;s privacy program plan unless the controls are included in a separate privacy plan for a system. The organization-wide privacy program plan indicates which separate privacy plans contain descriptions of privacy controls. Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the privacy program plan. If the privacy program plan contains multiple documents, the organization specifies in each document, the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.8" + }, + { + "href": "#pm.9" + }, + { + "href": "#pm.19" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.19", + "title": "PRIVACY PROGRAM ROLES", + "props": [ + { + "class": "name", + "value": "PM-19" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAppoint a Senior Agency Official for Privacy with the authority, mission, accountability, and resources to coordinate, develop, and implement, applicable privacy requirements and manage privacy risks through the organization-wide privacy program.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe privacy officer described in this control is an organizational official. For federal agencies, as defined by applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines, this official is designated as the Senior Agency Official for Privacy. Organizations may also refer to this official as the Chief Privacy Officer.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.18" + }, + { + "href": "#pm.21" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.20", + "title": "SYSTEM OF RECORDS NOTICE", + "props": [ + { + "class": "name", + "value": "PM-20" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.20a", + "prose": [ + "\u003cp class=\"description\"\u003ePublish System of Records Notices in the Federal Register, subject to required oversight processes, for systems containing personally identifiable information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-20a." + } + ] + }, + { + "class": "item", + "id": "pm.20b", + "prose": [ + "\u003cp class=\"description\"\u003eKeep System of Records Notices current.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-20b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations issue System of Records Notices to provide the public notice regarding personally identifiable information collected in a system of records. The Privacy Act defines a system of records as a group of any records under the control of any agency from which information is retrieved by the name of an individual or by some identifying number, symbol, or other identifier. System of Records Notices explain how the information is used, retained, and may be corrected, and whether certain portions of the system are subject to Privacy Act exemptions for law enforcement or national security reasons.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ip.5" + }, + { + "href": "#pa.2" + }, + { + "href": "#pa.3" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.21", + "title": "DISSEMINATION OF PRIVACY PROGRAM INFORMATION", + "props": [ + { + "class": "name", + "value": "PM-21" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.21a", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the public has access to information about organizational privacy activities and can communicate with its Senior Agency Official for Privacy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-21a." + } + ] + }, + { + "class": "item", + "id": "pm.21b", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that organizational privacy practices are publicly available through organizational websites or otherwise; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-21b." + } + ] + }, + { + "class": "item", + "id": "pm.21c", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy practices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-21c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ different mechanisms for informing the public about their privacy practices including, for example, Privacy Impact Assessments, System of Records Notices, privacy reports, publicly available web pages, email distributions, blogs, and periodic publications, including, for example, quarterly newsletters.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ip.4" + }, + { + "href": "#ip.5" + }, + { + "href": "#pm.19" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.22", + "title": "ACCOUNTING OF DISCLOSURES", + "props": [ + { + "class": "name", + "value": "PM-22" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.22a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop and maintain an accounting of disclosures of personally identifiable information held in each system of records under its control, including:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-22a." + } + ], + "parts": [ + { + "class": "item", + "id": "pm.22a.1", + "prose": [ + "\u003cp class=\"description\"\u003eDate, nature, and purpose of each disclosure of a record; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-22a.1." + } + ] + }, + { + "class": "item", + "id": "pm.22a.2", + "prose": [ + "\u003cp class=\"description\"\u003eName and address of the person or organization to which the disclosure was made;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-22a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "pm.22b", + "prose": [ + "\u003cp class=\"description\"\u003eRetain the accounting of disclosures for the life of the record or five years after the disclosure is made, whichever is longer; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-22b." + } + ] + }, + { + "class": "item", + "id": "pm.22c", + "prose": [ + "\u003cp class=\"description\"\u003eMake the accounting of disclosures available to the person named in the record upon request.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-22c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses disclosure accounting requirements in the Privacy Act. The purpose of disclosure accounting requirements is to allow individuals to learn to whom records about them have been disclosed; to provide a basis for subsequently advising recipients of records of any corrected or disputed records; and to provide an audit trail for subsequent reviews of organizational compliance with conditions for disclosures. Organizations can use any system for keeping notations of disclosures, if it can construct from such a system, a document listing of all disclosures. Automated mechanisms can be used by organizations to determine when such information is disclosed, including, for example, commercial services providing notifications and alerts. Accounting of disclosures may also be used to help organizations verify compliance with applicable privacy statutes and policies governing disclosure or dissemination of information and dissemination restrictions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.23", + "title": "DATA QUALITY MANAGEMENT", + "props": [ + { + "class": "name", + "value": "PM-23" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIssue guidelines ensuring and maximizing the quality, utility, objectivity, integrity, impact determination, and de-identification of personally identifiable information across the information life cycle.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData quality management guidelines include the reasonable steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition of personally identifiable information. Such steps may include, for example, editing and validating addresses as they are collected or entered into systems using automated address verification look-up application programming interfaces. The measures taken to protect data quality are based on the nature and context of the personally identifiable information, how it is to be used, how it was obtained, the impact level of the personally identifiable information obtained, and potential de-identification methods employed. Measures taken to validate the accuracy of personally identifiable information that is used to make determinations about the rights, benefits, or privileges of individuals under federal programs may be more comprehensive than those used to validate less sensitive personally identifiable information. Additional steps may be necessary to validate personally identifiable information that is obtained from sources other than individuals or the authorized representatives of individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.24" + }, + { + "href": "#si.20" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pm.23.1", + "title": "AUTOMATION", + "props": [ + { + "class": "name", + "value": "PM-23 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIssue technical guidelines and documentation to support automated evaluation of data quality across the information life cycle.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAs data is obtained and used across the information life cycle, it is important to confirm the accuracy and relevance of personally identifiable information. Automated tools and techniques can augment existing process and procedures and enable an organization to better identify and manage personally identifiable information in large-scale systems. For example, automated tools can greatly improve efforts to consistently normalize data or identify malformed data. Automated tools can also be used to improve auditing of data, to track how data is used across the information life cycle, and to detect errors that may incorrectly alter personally identifiable information or incorrectly associate such information with the wrong individual. These automated capabilities backstop processes and procedures at-scale. They also enable more fine-grained detection and correction of data quality errors.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pm.23.2", + "title": "DATA TAGGING", + "props": [ + { + "class": "name", + "value": "PM-23 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIssue data modeling guidelines to support tagging of personally identifiable information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData tagging includes, for example, tags noting the authority to collect, usage, presence of personally identifiable information, de-identification, impact level, and information life cycle stage.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.16" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "pm.23.3", + "title": "UPDATING PERSONALLY IDENTIFIABLE INFORMATION", + "props": [ + { + "class": "name", + "value": "PM-23 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eWhen managing personally identifiable information, develop procedures and incorporate mechanisms to identify and record the method under which the information is updated, and the frequency that such updates occur.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen managing personally identifiable information including, for example, health information and financial information, it is important to carefully track updates or changes to such data. Having the ability to track both the method and frequency of updates enhances transparency and individual participation. It also enables individuals to better understand how and when their information is changed and helps both individuals and the responsible organizations to know how and what personally identifiable information was changed should erroneous information be identified.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.24", + "title": "DATA MANAGEMENT BOARD", + "params": [ + { + "id": "pm-24_a", + "desc": "organization-defined roles", + "value": "organization-defined roles" + } + ], + "props": [ + { + "class": "name", + "value": "PM-24" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.24a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish a written charter for a Data Management Board;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-24a." + } + ] + }, + { + "class": "item", + "id": "pm.24b", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish the Data Management Board consisting of \u003cinsert param-id=\"pm-24_a\"/\u003e with the following responsibilities:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-24b." + } + ], + "parts": [ + { + "class": "item", + "id": "pm.24b.1", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop and implement guidelines supporting data modeling, quality, integrity, and de-identification needs of personally identifiable information across the information life cycle;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-24b.1." + } + ] + }, + { + "class": "item", + "id": "pm.24b.2", + "prose": [ + "\u003cp class=\"description\"\u003eReview and approve applications to release data outside of the organization, archiving the applications and the released data, and performing post-release monitoring to ensure that the assumptions made as part of the data release continue to be valid;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-24b.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "pm.24c", + "prose": [ + "\u003cp class=\"description\"\u003eInclude requirements for personnel interaction with the Data Management Board in security and privacy awareness and/or role-based training.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-24c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe guidelines established by Data Management Board establish policies, procedures, and standards that enable data governance so that personally identifiable information is managed and maintained in accordance with any relevant statutes, regulations, and guidance. Members may include the Chief Information Officer, Senior Agency Information Security Officer, and Senior Agency Official for Privacy. With respect to data modeling, and the quality, integrity, and de-identification of personally identifiable information, data and information needs are met through organization-wide data governance policies that establish the roles, responsibilities, and processes by which personnel manage information as an asset across the information life cycle. The information life cycle includes creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition. Members may include the Chief Information Officer, Senior Agency Official for Privacy, and Senior Agency Information Security Officer.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#pm.23" + }, + { + "href": "#pm.25" + }, + { + "href": "#si.4" + }, + { + "href": "#si.20" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.25", + "title": "DATA INTEGRITY BOARD", + "props": [ + { + "class": "name", + "value": "PM-25" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish a Data Integrity Board to oversee organizational Computer Matching Agreements.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations executing Computer Matching Agreements or participating in such agreements with other organizations regarding applicants for and recipients of financial assistance or payments under federal benefit programs or certain computerized comparisons involving federal personnel or payroll records, establish a Data Integrity Board to oversee and coordinate the implementation of those matching agreements. As data is obtained and used across the information life cycle, it is important to confirm the accuracy and relevance of personally identifiable information. Organizations may integrate the function of the Data Integrity Board into the responsibilities of the Data Management Board under PM-24. In many organizations, the Data Integrity Board is led by the Senior Agency Official for Privacy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.1" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#au.2" + }, + { + "href": "#au.3" + }, + { + "href": "#au.6" + }, + { + "href": "#au.11" + }, + { + "href": "#pa.2" + }, + { + "href": "#pa.4" + }, + { + "href": "#pm.24" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.28" + }, + { + "href": "#si.19" + }, + { + "href": "#si.20" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pm.25.1", + "title": "PUBLISH AGREEMENTS ON WEBSITE", + "props": [ + { + "class": "name", + "value": "PM-25 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePublish Computer Matching Agreements on the public website of the organization.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.26", + "title": "MINIMIZATION OF PERSONALLY IDENTIFIABLE INFORMATION USED IN TESTING, TRAINING, AND RESEARCH", + "props": [ + { + "class": "name", + "value": "PM-26" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.26a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop and implement policies and procedures that address the use of personally identifiable information for internal testing, training, and research;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-26a." + } + ] + }, + { + "class": "item", + "id": "pm.26b", + "prose": [ + "\u003cp class=\"description\"\u003eTake measures to limit or minimize the amount of personally identifiable information used for internal testing, training, and research purposes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-26b." + } + ] + }, + { + "class": "item", + "id": "pm.26c", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize the use of personally identifiable information when such information is required for internal testing, training, and research.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-26c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations often use personally identifiable information for testing new applications or systems prior to deployment, for research purposes, and for training. The use of personally identifiable information in testing, research, and training increases risk of unauthorized disclosure or misuse of such information. Organizations consult with the Senior Agency Official for Privacy and legal counsel to ensure that the use of personally identifiable information in testing, training, and research is compatible with the original purpose for which it was collected. When possible, organizations use placeholder data to avoid exposure of personally identifiable information when conducting testing, training, and research.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pa.3" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.27", + "title": "INDIVIDUAL ACCESS CONTROL", + "props": [ + { + "class": "name", + "value": "PM-27" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.27a", + "prose": [ + "\u003cp class=\"description\"\u003ePublish:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-27a." + } + ], + "parts": [ + { + "class": "item", + "id": "pm.27a.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicies governing how individuals may request access to records maintained in a Privacy Act system of records; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-27a.1." + } + ] + }, + { + "class": "item", + "id": "pm.27a.2", + "prose": [ + "\u003cp class=\"description\"\u003eAccess procedures in System of Records Notices; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-27a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "pm.27b", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the published policies and access procedures are consistent with Privacy Act requirements and Office of Management and Budget policies and guidance for the proper processing of Privacy Act requests.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-27b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAccess affords individuals the ability to review personally identifiable information about them held within organizational systems of records. Access includes timely, simplified, and inexpensive access to data. Organizational processes for allowing access to records may differ based on resources, legal requirements, or other factors. The Senior Agency Official for Privacy is responsible for the content of Privacy Act regulations and record request processing, in consultation with the organization\u0026#x92;s legal counsel. Access to certain types of records may not be appropriate, however, and heads of agencies may promulgate rules exempting particular systems from the access provision of the Privacy Act.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ip.6" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.28", + "title": "COMPLAINT MANAGEMENT", + "props": [ + { + "class": "name", + "value": "PM-28" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement a process for receiving and responding to complaints, concerns, or questions from individuals about the organizational privacy practices that includes:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "pm.28a", + "prose": [ + "\u003cp class=\"description\"\u003eMechanisms that are easy to use and readily accessible by the public;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-28a." + } + ] + }, + { + "class": "item", + "id": "pm.28b", + "prose": [ + "\u003cp class=\"description\"\u003eAll information necessary for successfully filing complaints; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-28b." + } + ] + }, + { + "class": "item", + "id": "pm.28c", + "prose": [ + "\u003cp class=\"description\"\u003eTracking mechanisms to ensure all complaints received are reviewed and appropriately addressed in a timely manner.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-28c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eComplaints, concerns, and questions from individuals can serve as a valuable source of external input that ultimately improves operational models, uses of technology, data collection practices, and privacy and security controls. Mechanisms that can be used by the public may include, for example, e-mail, telephone hotline, or web-based forms. Information necessary for successfully filing complaints includes, for example, contact information for the Senior Agency Official for Privacy or other official designated to receive complaints.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ip.3" + }, + { + "href": "#ir.7" + }, + { + "href": "#ir.9" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.29", + "title": "INVENTORY OF PERSONALLY IDENTIFIABLE INFORMATION", + "params": [ + { + "id": "pm-29_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pm-29_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "pm-29_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PM-29" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.29a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish, maintain, and update \u003cinsert param-id=\"pm-29_a\"/\u003e an inventory of all programs and systems that create, collect, use, process, store, maintain, disseminate, disclose, or dispose of personally identifiable information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-29a." + } + ] + }, + { + "class": "item", + "id": "pm.29b", + "prose": [ + "\u003cp class=\"description\"\u003eProvide updates of the personally identifiable information inventory to the Chief Information Officer, Senior Agency Official for Privacy, and Senior Agency Information Security Officer \u003cinsert param-id=\"pm-29_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-29b." + } + ] + }, + { + "class": "item", + "id": "pm.29c", + "prose": [ + "\u003cp class=\"description\"\u003eUse the personally identifiable information inventory to support the establishment of information security and privacy requirements for all new or modified systems containing personally identifiable information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-29c." + } + ] + }, + { + "class": "item", + "id": "pm.29d", + "prose": [ + "\u003cp class=\"description\"\u003eReview the personally identifiable information inventory \u003cinsert param-id=\"pm-29_c\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-29d." + } + ] + }, + { + "class": "item", + "id": "pm.29e", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure to the extent practicable, that personally identifiable information is accurate, relevant, timely, and complete; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-29e." + } + ] + }, + { + "class": "item", + "id": "pm.29f", + "prose": [ + "\u003cp class=\"description\"\u003eReduce personally identifiable information to the minimum necessary for the proper performance of authorized organizational functions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-29f." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations coordinate with federal records officers to ensure that reductions in organizational holdings of personally identifiable information are consistent with National Archives and Records Administration retention schedules. By performing periodic assessments, organizations ensure that only the data specified in the notice is collected, and that the data collected is still relevant and necessary for the purpose specified in privacy notices. The set of personally identifiable information elements required to support an organizational mission or business process may be a subset of the personally identifiable information the organization is authorized to collect.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + }, + { + "href": "#pl.8" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "pm.29.1", + "title": "AUTOMATION SUPPORT", + "props": [ + { + "class": "name", + "value": "PM-29 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to determine if personally identifiable information is maintained in electronic form.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms include, for example, commercial services providing notifications and alerts to organizations about where personally identifiable information is stored.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.30", + "title": "PRIVACY REPORTING", + "params": [ + { + "id": "pm-30_a", + "desc": "organization-defined officials", + "value": "organization-defined officials" + } + ], + "props": [ + { + "class": "name", + "value": "PM-30" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, disseminate, and update privacy reports to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "pm.30a", + "prose": [ + "\u003cp class=\"description\"\u003eThe Office of Management and Budget, Congress, and other oversight bodies to demonstrate accountability with statutory and regulatory privacy program mandates; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-30a." + } + ] + }, + { + "class": "item", + "id": "pm.30b", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cinsert param-id=\"pm-30_a\"/\u003e and other personnel with responsibility for monitoring privacy program progress and compliance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-30b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThrough internal and external privacy reporting, organizations promote accountability and transparency in organizational privacy operations. Reporting can also help organizations to determine progress in meeting privacy compliance requirements and privacy controls, compare performance across the federal government, identify vulnerabilities and gaps in policy and implementation, and identify success models. Privacy reports include, for example, annual Senior Agency Official for Privacy reports to OMB; reports to Congress required by the Implementing Regulations of the 9/11 Commission Act; and other public reports required by specific statutory mandates or internal policies of organizations. The Senior Agency Official for Privacy consults with legal counsel, where appropriate, to ensure that organizations meet all applicable privacy reporting requirements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.9" + }, + { + "href": "#pm.19" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "pm.31", + "title": "SUPPLY CHAIN RISK MANAGEMENT PLAN", + "params": [ + { + "id": "pm-31_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PM-31" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.31a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop a plan for managing supply chain risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-31a." + } + ] + }, + { + "class": "item", + "id": "pm.31b", + "prose": [ + "\u003cp class=\"description\"\u003eImplement the supply chain risk management plan consistently across the organization; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-31b." + } + ] + }, + { + "class": "item", + "id": "pm.31c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the supply chain risk management plan \u003cinsert param-id=\"pm-31_a\"/\u003e or as required, to address organizational changes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-31c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAn organization-wide supply chain risk management plan includes, for example, an unambiguous expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the supply chain risk management plan, and associated roles and responsibilities. The organization-wide supply chain risk management plan can be incorporated into the organization\u0026#x92;s risk management strategy and be used to inform the system-level supply chain risk management plan. The use of a risk executive function can facilitate consistent, organization-wide application of the supply chain risk management plan.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#sa.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-161", + "value": "NIST Special Publication 800-161" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "pm.32", + "title": "RISK FRAMING", + "props": [ + { + "class": "name", + "value": "PM-32" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "pm.32a", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify assumptions affecting risk assessments, risk response, and risk monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-32a." + } + ] + }, + { + "class": "item", + "id": "pm.32b", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify constraints affecting risk assessments, risk response, and risk monitoring;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-32b." + } + ] + }, + { + "class": "item", + "id": "pm.32c", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify the organizational risk tolerance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-32c." + } + ] + }, + { + "class": "item", + "id": "pm.32d", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify priorities and trade-offs considered by the organization for managing risk.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PM-32d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRisk framing is most effectively conducted at the organization-wide level. The assumptions, constraints, organizational risk tolerance, and priorities and trade-offs identified for this control inform the organizational risk management strategy which in turn, informs the conduct of risk assessment, risk response, and risk monitoring.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#pm.9" + }, + { + "href": "#ra.3" + }, + { + "href": "#ra.7" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + } + ] + } + } + ] + }, + { + "class": "family", + "title": "PERSONNEL SECURITY", + "controls": [ + { + "class": "SP800-53", + "id": "ps.1", + "title": "PERSONNEL SECURITY POLICY AND PROCEDURES", + "params": [ + { + "id": "ps-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "ps-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ps-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PS-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ps.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"ps-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "ps.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eA personnel security policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "ps.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "ps.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "ps.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the personnel security policy and the associated personnel security controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ps.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"ps-1_b\"/\u003e to manage the personnel security policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1b." + } + ] + }, + { + "class": "item", + "id": "ps.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current personnel security:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "ps.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"ps-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1c.1." + } + ] + }, + { + "class": "item", + "id": "ps.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"ps-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ps.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the personnel security procedures implement the personnel security policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1d." + } + ] + }, + { + "class": "item", + "id": "ps.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the personnel security policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the PS family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ps.2", + "title": "POSITION RISK DESIGNATION", + "params": [ + { + "id": "ps-2_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PS-2" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ps.2a", + "prose": [ + "\u003cp class=\"description\"\u003eAssign a risk designation to all organizational positions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-2a." + } + ] + }, + { + "class": "item", + "id": "ps.2b", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish screening criteria for individuals filling those positions; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-2b." + } + ] + }, + { + "class": "item", + "id": "ps.2c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update position risk designations \u003cinsert param-id=\"ps-2_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-2c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePosition risk designations reflect Office of Personnel Management policy and guidance. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and systems. Position screening criteria include explicit information security role appointment requirements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.5" + }, + { + "href": "#at.3" + }, + { + "href": "#pe.2" + }, + { + "href": "#pe.3" + }, + { + "href": "#pl.2" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.6" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.21" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.gpo.gov/fdsys/granule/CFR-2012-title5-vol2/CFR-2012-title5-vol2-sec731-106/content-detail.html", + "value": "5 C.F.R. 731.106" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ps.3", + "title": "PERSONNEL SCREENING", + "params": [ + { + "id": "ps-3_a", + "desc": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of rescreening", + "value": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of rescreening" + } + ], + "props": [ + { + "class": "name", + "value": "PS-3" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ps.3a", + "prose": [ + "\u003cp class=\"description\"\u003eScreen individuals prior to authorizing access to the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-3a." + } + ] + }, + { + "class": "item", + "id": "ps.3b", + "prose": [ + "\u003cp class=\"description\"\u003eRescreen individuals in accordance with \u003cinsert param-id=\"ps-3_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-3b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePersonnel screening and rescreening activities reflect applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing systems based on types of information processed, stored, or transmitted by the systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ma.5" + }, + { + "href": "#pe.2" + }, + { + "href": "#pm.12" + }, + { + "href": "#ps.2" + }, + { + "href": "#ps.6" + }, + { + "href": "#ps.7" + }, + { + "href": "#sa.21" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ps.3.1", + "title": "CLASSIFIED INFORMATION", + "props": [ + { + "class": "name", + "value": "PS-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that individuals accessing a system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ps.3.2", + "title": "FORMAL INDOCTRINATION", + "props": [ + { + "class": "name", + "value": "PS-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that individuals accessing a system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all the relevant types of information to which they have access on the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTypes of classified information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ps.3.3", + "title": "INFORMATION WITH SPECIAL PROTECTION MEASURES", + "props": [ + { + "class": "name", + "value": "PS-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that individuals accessing a system processing, storing, or transmitting information requiring special protection:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ps.3.3.a", + "prose": [ + "\u003cp class=\"description\"\u003eHave valid access authorizations that are demonstrated by assigned official government duties; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-3 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "ps.3.3.b", + "prose": [ + "\u003cp class=\"description\"\u003eSatisfy \u003cinsert param-id=\"ps-3_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-3 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational information requiring special protection includes, for example, Controlled Unclassified Information (CUI). Personnel security criteria include, for example, position sensitivity background screening requirements.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ps-3_b", + "desc": "organization-defined additional personnel screening criteria", + "value": "organization-defined additional personnel screening criteria" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ps.3.4", + "title": "CITIZENSHIP REQUIREMENTS", + "props": [ + { + "class": "name", + "value": "PS-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that individuals accessing a system processing, storing, or transmitting \u003cinsert param-id=\"ps-3_c\"/\u003e meet \u003cinsert param-id=\"ps-3_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ps-3_c", + "desc": "organization-defined information types", + "value": "organization-defined information types" + }, + { + "id": "ps-3_d", + "desc": "organization-defined citizenship requirements", + "value": "organization-defined citizenship requirements" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-73", + "value": "NIST Special Publication 800-73" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-76", + "value": "NIST Special Publication 800-76" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-78", + "value": "NIST Special Publication 800-78" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ps.4", + "title": "PERSONNEL TERMINATION", + "params": [ + { + "id": "ps-4_a", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + }, + { + "id": "ps-4_b", + "desc": "organization-defined information security topics", + "value": "organization-defined information security topics" + }, + { + "id": "ps-4_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-4_d", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUpon termination of individual employment:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ps.4a", + "prose": [ + "\u003cp class=\"description\"\u003eDisable system access within \u003cinsert param-id=\"ps-4_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4a." + } + ] + }, + { + "class": "item", + "id": "ps.4b", + "prose": [ + "\u003cp class=\"description\"\u003eTerminate or revoke any authenticators and credentials associated with the individual;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4b." + } + ] + }, + { + "class": "item", + "id": "ps.4c", + "prose": [ + "\u003cp class=\"description\"\u003eConduct exit interviews that include a discussion of \u003cinsert param-id=\"ps-4_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4c." + } + ] + }, + { + "class": "item", + "id": "ps.4d", + "prose": [ + "\u003cp class=\"description\"\u003eRetrieve all security-related organizational system-related property;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4d." + } + ] + }, + { + "class": "item", + "id": "ps.4e", + "prose": [ + "\u003cp class=\"description\"\u003eRetain access to organizational information and systems formerly controlled by terminated individual; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4e." + } + ] + }, + { + "class": "item", + "id": "ps.4f", + "prose": [ + "\u003cp class=\"description\"\u003eNotify \u003cinsert param-id=\"ps-4_c\"/\u003e within \u003cinsert param-id=\"ps-4_d\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4f." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and unavailability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the system accounts of individuals that are being terminated prior to the individuals being notified.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pm.12" + }, + { + "href": "#ps.6" + }, + { + "href": "#ps.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ps.4.1", + "title": "POST-EMPLOYMENT REQUIREMENTS", + "props": [ + { + "class": "name", + "value": "PS-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ps.4.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eNotify terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "ps.4.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eRequire terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-4 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ps.4.2", + "title": "AUTOMATED NOTIFICATION", + "props": [ + { + "class": "name", + "value": "PS-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to notify \u003cinsert param-id=\"ps-4_e\"/\u003e upon termination of an individual.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn organizations with many employees, not all personnel who need to know about termination actions receive the appropriate notifications\u0026#x97;or, if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to specific organizational personnel or roles when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including, for example, telephonically, via electronic mail, via text message, or via websites.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ps-4_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ps.5", + "title": "PERSONNEL TRANSFER", + "params": [ + { + "id": "ps-5_a", + "desc": "organization-defined transfer or reassignment actions", + "value": "organization-defined transfer or reassignment actions" + }, + { + "id": "ps-5_b", + "desc": "organization-defined time-period following the formal transfer action", + "value": "organization-defined time-period following the formal transfer action" + }, + { + "id": "ps-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-5_d", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-5" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ps.5a", + "prose": [ + "\u003cp class=\"description\"\u003eReview and confirm ongoing operational need for current logical and physical access authorizations to systems and facilities when individuals are reassigned or transferred to other positions within the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5a." + } + ] + }, + { + "class": "item", + "id": "ps.5b", + "prose": [ + "\u003cp class=\"description\"\u003eInitiate \u003cinsert param-id=\"ps-5_a\"/\u003e within \u003cinsert param-id=\"ps-5_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5b." + } + ] + }, + { + "class": "item", + "id": "ps.5c", + "prose": [ + "\u003cp class=\"description\"\u003eModify access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5c." + } + ] + }, + { + "class": "item", + "id": "ps.5d", + "prose": [ + "\u003cp class=\"description\"\u003eNotify \u003cinsert param-id=\"ps-5_c\"/\u003e within \u003cinsert param-id=\"ps-5_d\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-5d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include, for example, returning old and issuing new keys, identification cards, and building passes; closing system accounts and establishing new accounts; changing system access authorizations (i.e., privileges); and providing for access to official records to which individuals had access at previous work locations and in previous system accounts.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#pe.2" + }, + { + "href": "#pm.12" + }, + { + "href": "#ps.4" + }, + { + "href": "#ps.7" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ps.6", + "title": "ACCESS AGREEMENTS", + "params": [ + { + "id": "ps-6_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ps-6_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PS-6" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ps.6a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop and document access agreements for organizational systems;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6a." + } + ] + }, + { + "class": "item", + "id": "ps.6b", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the access agreements \u003cinsert param-id=\"ps-6_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6b." + } + ] + }, + { + "class": "item", + "id": "ps.6c", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that individuals requiring access to organizational information and systems:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6c." + } + ], + "parts": [ + { + "class": "item", + "id": "ps.6c.1", + "prose": [ + "\u003cp class=\"description\"\u003eSign appropriate access agreements prior to being granted access; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6c.1." + } + ] + }, + { + "class": "item", + "id": "ps.6c.2", + "prose": [ + "\u003cp class=\"description\"\u003eRe-sign access agreements to maintain access to organizational systems when access agreements have been updated or \u003cinsert param-id=\"ps-6_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6c.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAccess agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#pe.2" + }, + { + "href": "#pl.4" + }, + { + "href": "#ps.2" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.7" + }, + { + "href": "#ps.8" + }, + { + "href": "#sa.21" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ps.6.1", + "title": "INFORMATION REQUIRING SPECIAL PROTECTION", + "props": [ + { + "class": "name", + "value": "PS-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into PS-3\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ps.3" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ps.6.2", + "title": "CLASSIFIED INFORMATION REQUIRING SPECIAL PROTECTION", + "props": [ + { + "class": "name", + "value": "PS-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that access to classified information requiring special protection is granted only to individuals who:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ps.6.2.a", + "prose": [ + "\u003cp class=\"description\"\u003eHave a valid access authorization that is demonstrated by assigned official government duties;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "ps.6.2.b", + "prose": [ + "\u003cp class=\"description\"\u003eSatisfy associated personnel security criteria; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (2)(b)" + } + ] + }, + { + "class": "item", + "id": "ps.6.2.c", + "prose": [ + "\u003cp class=\"description\"\u003eHave read, understood, and signed a nondisclosure agreement.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (2)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClassified information requiring special protection includes, for example, collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ps.6.3", + "title": "POST-EMPLOYMENT REQUIREMENTS", + "props": [ + { + "class": "name", + "value": "PS-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ps.6.3.a", + "prose": [ + "\u003cp class=\"description\"\u003eNotify individuals of applicable, legally binding post-employment requirements for protection of organizational information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "ps.6.3.b", + "prose": [ + "\u003cp class=\"description\"\u003eRequire individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-6 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.4" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ps.7", + "title": "EXTERNAL PERSONNEL SECURITY", + "params": [ + { + "id": "ps-7_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-7_b", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-7" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ps.7a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish personnel security requirements including security roles and responsibilities for external providers;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7a." + } + ] + }, + { + "class": "item", + "id": "ps.7b", + "prose": [ + "\u003cp class=\"description\"\u003eRequire external providers to comply with personnel security policies and procedures established by the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7b." + } + ] + }, + { + "class": "item", + "id": "ps.7c", + "prose": [ + "\u003cp class=\"description\"\u003eDocument personnel security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7c." + } + ] + }, + { + "class": "item", + "id": "ps.7d", + "prose": [ + "\u003cp class=\"description\"\u003eRequire external providers to notify \u003cinsert param-id=\"ps-7_a\"/\u003e of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges, or who have system privileges within \u003cinsert param-id=\"ps-7_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7d." + } + ] + }, + { + "class": "item", + "id": "ps.7e", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor provider compliance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-7e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal provider refers to organizations other than the organization operating or acquiring the system. External providers include, for example, service bureaus, contractors, and other organizations providing system development, information technology services, outsourced applications, testing/assessment services, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. External providers may have personnel working at organizational facilities with credentials, badges, or system privileges issued by organizations. Notifications of external personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#ma.5" + }, + { + "href": "#pe.3" + }, + { + "href": "#ps.2" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.4" + }, + { + "href": "#ps.5" + }, + { + "href": "#ps.6" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.9" + }, + { + "href": "#sa.21" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-35", + "value": "NIST Special Publication 800-35" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ps.8", + "title": "PERSONNEL SANCTIONS", + "params": [ + { + "id": "ps-8_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ps-8_b", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-8" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ps.8a", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy a formal sanctions process for individuals failing to comply with established information security policies and procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-8a." + } + ] + }, + { + "class": "item", + "id": "ps.8b", + "prose": [ + "\u003cp class=\"description\"\u003eNotify \u003cinsert param-id=\"ps-8_a\"/\u003e within \u003cinsert param-id=\"ps-8_b\"/\u003e when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "PS-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational sanctions processes reflect applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "All XX-1 Controls" + }, + { + "href": "#ip.1" + }, + { + "href": "#pl.4" + }, + { + "href": "#pm.12" + }, + { + "href": "#ps.6" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "RISK ASSESSMENT", + "controls": [ + { + "class": "SP800-53", + "id": "ra.1", + "title": "RISK ASSESSMENT POLICY AND PROCEDURES", + "params": [ + { + "id": "ra-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ra-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "ra-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ra-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "RA-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ra.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"ra-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "ra.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eA risk assessment policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "ra.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "ra.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "ra.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the risk assessment policy and the associated risk assessment controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ra.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"ra-1_b\"/\u003e to manage the risk assessment policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1b." + } + ] + }, + { + "class": "item", + "id": "ra.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current risk assessment:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "ra.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"ra-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1c.1." + } + ] + }, + { + "class": "item", + "id": "ra.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"ra-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ra.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the risk assessment procedures implement the risk assessment policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1d." + } + ] + }, + { + "class": "item", + "id": "ra.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the risk assessment policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the RA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ra.2", + "title": "SECURITY CATEGORIZATION", + "props": [ + { + "class": "name", + "value": "RA-2" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ra.2a", + "prose": [ + "\u003cp class=\"description\"\u003eCategorize the system and information it processes, stores, and transmits;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2a." + } + ] + }, + { + "class": "item", + "id": "ra.2b", + "prose": [ + "\u003cp class=\"description\"\u003eDocument the security categorization results including supporting rationale, in the security plan for the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2b." + } + ] + }, + { + "class": "item", + "id": "ra.2c", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-2c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClearly defined authorization boundaries are a prerequisite for effective security categorization decisions. Security categories describe the potential adverse impacts to organizational operations, organizational assets, and individuals if organizational information and systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of Chief Information Officers, Senior Agency Information Security Officers, system owners, mission and business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes facilitate the development of inventories of information assets, and along with CM-8, mappings to specific system components where information is processed, stored, or transmitted.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + }, + { + "href": "#mp.4" + }, + { + "href": "#pl.2" + }, + { + "href": "#pl.10" + }, + { + "href": "#pl.11" + }, + { + "href": "#pm.7" + }, + { + "href": "#ra.3" + }, + { + "href": "#ra.5" + }, + { + "href": "#ra.7" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.38" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ra.2.1", + "title": "SECOND-LEVEL CATEGORIZATION", + "props": [ + { + "class": "name", + "value": "RA-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eConduct a second-level categorization of organizational systems to obtain additional granularity on system impact levels.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations apply the \u0026#x93;high water mark\u0026#x94; concept to each of their systems categorized in accordance with FIPS Publication 199. This process results in systems designated as low impact, moderate impact, or high impact. Organizations desiring additional granularity in the system impact designations for risk-based decision making, can further partition the systems into sub-categories of the initial, first-level system categorization. For example, a second-level categorization on a moderate-impact system can produce three new sub-categories: low-moderate systems, moderate-moderate systems, and high-moderate systems. This secondary categorization and the resulting sub-categories of the system give organizations an opportunity to further prioritize their investments related to security control selection and the tailoring of control baselines in responding to identified risks. Second-level categorization can also be used to determine those systems that are exceptionally critical to organizational missions and business operations. These systems are sometimes described as high-value assets and thus, organizations may be more focused on complexity, aggregation, and interconnections. Such systems can be identified by partitioning high-impact systems into low-high systems, moderate-high systems, and high-high systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#200", + "value": "FIPS Publication 200" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ra.3", + "title": "RISK ASSESSMENT", + "params": [ + { + "id": "ra-3_a", + "desc": "organization-defined document", + "value": "organization-defined document" + }, + { + "id": "ra-3_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ra-3_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "ra-3_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "RA-3" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ra.3a", + "prose": [ + "\u003cp class=\"description\"\u003eConduct a risk assessment, including the likelihood and magnitude of harm, from:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3a." + } + ], + "parts": [ + { + "class": "item", + "id": "ra.3a.1", + "prose": [ + "\u003cp class=\"description\"\u003eThe unauthorized access, use, disclosure, disruption, modification, or destruction of the system, the information it processes, stores, or transmits, and any related information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3a.1." + } + ] + }, + { + "class": "item", + "id": "ra.3a.2", + "prose": [ + "\u003cp class=\"description\"\u003ePrivacy-related problems for individuals arising from the intentional processing of personally identifiable information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "ra.3b", + "prose": [ + "\u003cp class=\"description\"\u003eIntegrate risk assessment results and risk management decsions from the organization and missions/business process perspectives with system-level risk assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3b." + } + ] + }, + { + "class": "item", + "id": "ra.3c", + "prose": [ + "\u003cp class=\"description\"\u003eDocument risk assessment results in [Selection: security and privacy plans; risk assessment report; \u003cinsert param-id=\"ra-3_a\"/\u003e];\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3c." + } + ] + }, + { + "class": "item", + "id": "ra.3d", + "prose": [ + "\u003cp class=\"description\"\u003eReview risk assessment results \u003cinsert param-id=\"ra-3_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3d." + } + ] + }, + { + "class": "item", + "id": "ra.3e", + "prose": [ + "\u003cp class=\"description\"\u003eDisseminate risk assessment results to \u003cinsert param-id=\"ra-3_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3e." + } + ] + }, + { + "class": "item", + "id": "ra.3f", + "prose": [ + "\u003cp class=\"description\"\u003eUpdate the risk assessment \u003cinsert param-id=\"ra-3_d\"/\u003e or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-3f." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of systems. Risk assessments also take into account risk from external parties including, for example, individuals accessing organizational systems; contractors operating systems on behalf of the organization; service providers; and outsourcing entities. Organizations can conduct risk assessments, either formal or informal, at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, control selection, control implementation, control assessment, system authorization, and control monitoring. In addition to the information processed, stored, and transmitted by the system, risk assessments can also address any information related to the system including, for example, system design, the intended use of the system, testing results, and other supply chain-related information or artifacts. 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These events can have a significant impact on the confidentiality, integrity, or availability of a system and its information and therefore, can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. The supply chain-related events may be unintentional or malicious and can occur at any point during the system life cycle. An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.2" + }, + { + "href": "#ra.9" + }, + { + "href": "#pm.17" + }, + { + "href": "#sa.12" + } + ] + } + ], + "params": [ + { + "id": "ra-3_e", + "desc": "organization-defined systems, system components, and system services", + "value": "organization-defined systems, system components, and system services" + }, + { + "id": "ra-3_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-161", + "value": "NIST Special Publication 800-161" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ra.4", + "title": "RISK ASSESSMENT UPDATE", + "props": [ + { + "class": "name", + "value": "RA-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into RA-3\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ra.3" + } + ] + }, + { + "class": "SP800-53", + "id": "ra.5", + "title": "VULNERABILITY SCANNING", + "params": [ + { + "id": "ra-5_a", + "desc": "organization-defined frequency and/or randomly in accordance with organization-defined process", + "value": "organization-defined frequency and/or randomly in accordance with organization-defined process" + }, + { + "id": "ra-5_b", + "desc": "organization-defined response times", + "value": "organization-defined response times" + }, + { + "id": "ra-5_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "RA-5" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "ra.5a", + "prose": [ + "\u003cp class=\"description\"\u003eScan for vulnerabilities in the system and hosted applications \u003cinsert param-id=\"ra-5_a\"/\u003e and when new vulnerabilities potentially affecting the system are identified and reported;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5a." + } + ] + }, + { + "class": "item", + "id": "ra.5b", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5b." + } + ], + "parts": [ + { + "class": "item", + "id": "ra.5b.1", + "prose": [ + "\u003cp class=\"description\"\u003eEnumerating platforms, software flaws, and improper configurations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5b.1." + } + ] + }, + { + "class": "item", + "id": "ra.5b.2", + "prose": [ + "\u003cp class=\"description\"\u003eFormatting checklists and test procedures; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5b.2." + } + ] + }, + { + "class": "item", + "id": "ra.5b.3", + "prose": [ + "\u003cp class=\"description\"\u003eMeasuring vulnerability impact;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5b.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "ra.5c", + "prose": [ + "\u003cp class=\"description\"\u003eAnalyze vulnerability scan reports and results from control assessments;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5c." + } + ] + }, + { + "class": "item", + "id": "ra.5d", + "prose": [ + "\u003cp class=\"description\"\u003eRemediate legitimate vulnerabilities \u003cinsert param-id=\"ra-5_b\"/\u003e in accordance with an organizational assessment of risk;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5d." + } + ] + }, + { + "class": "item", + "id": "ra.5e", + "prose": [ + "\u003cp class=\"description\"\u003eShare information obtained from the vulnerability scanning process and control assessments with \u003cinsert param-id=\"ra-5_c\"/\u003e to help eliminate similar vulnerabilities in other systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5e." + } + ] + }, + { + "class": "item", + "id": "ra.5f", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy vulnerability scanning tools that include the capability to readily update the vulnerabilities to be scanned.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-5f." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity categorization of information and systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for system components, ensuring that the potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. The vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This process helps to ensure that potential vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability analyses for custom software may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can use these analysis approaches in source code reviews and in a variety of tools including, for example, web-based application scanners, static analysis tools, and binary analyzers. Vulnerability scanning includes, for example, scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for improperly configured or incorrectly operating information flow control mechanisms. Scanning tools that facilitate interoperability include, for example, products that are Security Content Automated Protocol (SCAP) validated. Thus, organizations consider using scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine the presence of vulnerabilities. Sources for vulnerability information include, for example, the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). Control assessments such as red team exercises provide additional sources of potential vulnerabilities for which to scan. Organizations also consider using scanning tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + }, + { + "href": "#ra.2" + }, + { + "href": "#ra.3" + }, + { + "href": "#sa.11" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.15" + }, + { + "href": "#sc.38" + }, + { + "href": "#si.2" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "ra.5.1", + "title": "UPDATE TOOL CAPABILITY", + "props": [ + { + "class": "name", + "value": "RA-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into RA-5\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ra.5" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.2", + "title": "UPDATE BY FREQUENCY, PRIOR TO NEW SCAN, OR WHEN IDENTIFIED", + "props": [ + { + "class": "name", + "value": "RA-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUpdate the system vulnerabilities to be scanned [Selection (one or more): \u003cinsert param-id=\"ra-5_d\"/\u003e; prior to a new scan; when new vulnerabilities are identified and reported].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.5" + } + ] + } + ], + "params": [ + { + "id": "ra-5_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.3", + "title": "BREADTH AND DEPTH OF COVERAGE", + "props": [ + { + "class": "name", + "value": "RA-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy vulnerability scanning procedures that can identify the breadth and depth of coverage.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe identification of the breadth and depth of coverage can include, for example, the system components scanned and the vulnerabilities checked.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.4", + "title": "DISCOVERABLE INFORMATION", + "props": [ + { + "class": "name", + "value": "RA-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDetermine unintended discoverable information about the system and take \u003cinsert param-id=\"ra-5_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDiscoverable information includes information that adversaries could obtain without directly compromising or breaching the system, for example, by collecting information the system is exposing or by conducting extensive searches of the web. Corrective actions can include, for example, notifying appropriate organizational personnel, removing designated information, or changing the system to make designated information less relevant or attractive to adversaries.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.13" + } + ] + } + ], + "params": [ + { + "id": "ra-5_e", + "desc": "organization-defined corrective actions", + "value": "organization-defined corrective actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.5", + "title": "PRIVILEGED ACCESS", + "props": [ + { + "class": "name", + "value": "RA-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplements privileged access authorization to \u003cinsert param-id=\"ra-5_f\"/\u003e for \u003cinsert param-id=\"ra-5_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, the nature of the vulnerability scanning may be more intrusive or the system component that is the subject of the scanning may contain classified or controlled unclassified information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and protects the sensitive nature of such scanning.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "ra-5_f", + "desc": "organization-identified system components", + "value": "organization-identified system components" + }, + { + "id": "ra-5_g", + "desc": "organization-defined vulnerability scanning activities", + "value": "organization-defined vulnerability scanning activities" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.6", + "title": "AUTOMATED TREND ANALYSES", + "props": [ + { + "class": "name", + "value": "RA-5 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to compare the results of vulnerability scans over time to determine trends in system vulnerabilities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.7", + "title": "AUTOMATED DETECTION AND NOTIFICATION OF UNAUTHORIZED COMPONENTS", + "props": [ + { + "class": "name", + "value": "RA-5 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.8" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.8", + "title": "REVIEW HISTORIC AUDIT LOGS", + "props": [ + { + "class": "name", + "value": "RA-5 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eReview historic audit logs to determine if a vulnerability identified in the system has been previously exploited.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + }, + { + "href": "#au.11" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.9", + "title": "PENETRATION TESTING AND ANALYSES", + "props": [ + { + "class": "name", + "value": "RA-5 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CA-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ca.8" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "ra.5.10", + "title": "CORRELATE SCANNING INFORMATION", + "props": [ + { + "class": "name", + "value": "RA-5 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCorrelate the output from vulnerability scanning tools to determine the presence of multi-vulnerability and multi-hop attack vectors.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-40", + "value": "NIST Special Publication 800-40" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-70", + "value": "NIST Special Publication 800-70" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-115", + "value": "NIST Special Publication 800-115" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ra.6", + "title": "TECHNICAL SURVEILLANCE COUNTERMEASURES SURVEY", + "params": [ + { + "id": "ra-6_a", + "desc": "organization-defined locations", + "value": "organization-defined locations" + }, + { + "id": "ra-6_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "ra-6_c", + "desc": "organization-defined events or indicators occur", + "value": "organization-defined events or indicators occur" + } + ], + "props": [ + { + "class": "name", + "value": "RA-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy a technical surveillance countermeasures survey at \u003cinsert param-id=\"ra-6_a\"/\u003e [Selection (one or more): \u003cinsert param-id=\"ra-6_b\"/\u003e; \u003cinsert param-id=\"ra-6_c\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTechnical surveillance countermeasures surveys are performed by qualified personnel. Organizations use such surveys to detect the presence of technical surveillance devices and hazards and to identify technical security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities. In addition, technical surveillance countermeasures surveys provide evaluations of the technical security posture of organizations and facilities and include thorough visual, electronic, and physical examinations of surveyed facilities, both internally and externally. The surveys also provide useful input for organizational risk assessments and critical information regarding organizational exposure to potential adversaries.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ra.7", + "title": "RISK RESPONSE", + "props": [ + { + "class": "name", + "value": "RA-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRespond to findings from security and privacy assessments, monitoring, and audits.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations have a variety of options for responding to risk including: mitigating the risk by implementing new controls or strengthening existing controls; accepting the risk with appropriate justification or rationale; sharing or transferring the risk; or rejecting the risk. Organizational risk tolerance influences risk response decisions and actions. Risk response is also known as risk treatment. This control addresses the need to determine an appropriate response to risk before a plan of action and milestones entry is generated. For example, the response may be to accept risk or reject risk, or it may be possible to mitigate the risk immediately so a plan of action and milestones entry is not needed. However, if the risk response is to mitigate the risk and the mitigation cannot be completed immediately, a plan of action and milestones entry is generated.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.5" + }, + { + "href": "#ir.9" + }, + { + "href": "#pm.4" + }, + { + "href": "#pm.32" + }, + { + "href": "#ra.2" + }, + { + "href": "#ra.3" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#200", + "value": "FIPS Publication 200" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "ra.8", + "title": "PRIVACY IMPACT ASSESSMENTS", + "props": [ + { + "class": "name", + "value": "RA-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eConduct privacy impact assessments for systems, programs, or other activities that pose a privacy risk before:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "ra.8a", + "prose": [ + "\u003cp class=\"description\"\u003eDeveloping or procuring information technology that collects, maintains, or disseminates information that is in an identifiable form; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-8a." + } + ] + }, + { + "class": "item", + "id": "ra.8b", + "prose": [ + "\u003cp class=\"description\"\u003eInitiating a new collection of information that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-8b." + } + ], + "parts": [ + { + "class": "item", + "id": "ra.8b.1", + "prose": [ + "\u003cp class=\"description\"\u003eWill be collected, maintained, or disseminated using information technology; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-8b.1." + } + ] + }, + { + "class": "item", + "id": "ra.8b.2", + "prose": [ + "\u003cp class=\"description\"\u003eIncludes information in an identifiable form permitting the physical or online contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more persons, other than agencies, instrumentalities, or employees of the Federal Government.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "RA-8b.2." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivacy impact assessments are an analysis of how information is managed to ensure that such management conforms to applicable legal, regulatory, and policy requirements regarding privacy; to determine the associated privacy risks and effects of creating, collecting, using, processing, storing, maintaining, disseminating, disclosing, and disposing of information in identifiable form in a system; and to examine and evaluate the protections and alternate processes for managing information to mitigate potential privacy concerns. A privacy impact assessment is an analysis and a formal document detailing the process and outcome of the analysis. To conduct the analysis, organizations use risk assessment processes. Although privacy impact assessments may be required by law, organizations may develop policies to require privacy impact assessments in circumstances where a privacy impact assessment would not be required by law.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ip.4" + }, + { + "href": "#pa.2" + }, + { + "href": "#pa.3" + }, + { + "href": "#ra.1" + }, + { + "href": "#ra.3" + }, + { + "href": "#ra.7" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "ra.9", + "title": "CRITICALITY ANALYSIS", + "params": [ + { + "id": "ra-9_a", + "desc": "organization-defined systems, system components, or system services", + "value": "organization-defined systems, system components, or system services" + }, + { + "id": "ra-9_b", + "desc": "organization-defined decision points in the system development life cycle", + "value": "organization-defined decision points in the system development life cycle" + } + ], + "props": [ + { + "class": "name", + "value": "RA-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify critical system components and functions by performing a criticality analysis for \u003cinsert param-id=\"ra-9_a\"/\u003e at \u003cinsert param-id=\"ra-9_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNot all system components, functions, or services necessarily require significant protections. Criticality analysis is a key tenet of, for example, supply chain risk management, and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable regulations, directives, policies, standards, and guidelines, system functionality requirements, system and component interfaces, and system and component dependencies. Systems engineers conduct an end-to-end functional decomposition of a system to identify mission-critical functions and components. The functional decomposition includes the identification of core organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and beyond the system boundary. The operational environment of a system or component may impact the criticality including, for example, the connections to and dependencies on cyber-physical systems, devices, system-of-systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions supported by the system containing those components and functions. A criticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If done early in the system life cycle, organizations may consider modifying the system design to reduce the critical nature of these components and functions by, for example, adding redundancy or alternate paths into the system design.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#pl.2" + }, + { + "href": "#pl.8" + }, + { + "href": "#pl.11" + }, + { + "href": "#pm.1" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.15" + }, + { + "href": "#sa.20" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "SYSTEM AND SERVICES ACQUISITION", + "controls": [ + { + "class": "SP800-53", + "id": "sa.1", + "title": "SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES", + "params": [ + { + "id": "sa-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "sa-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "sa-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "sa-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SA-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sa.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"sa-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sa.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eA system and services acquisition policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "sa.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "sa.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "sa.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the system and services acquisition policy and the associated system and services acquisition controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "sa.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"sa-1_b\"/\u003e to manage the system and services acquisition policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1b." + } + ] + }, + { + "class": "item", + "id": "sa.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current system and services acquisition:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "sa.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"sa-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1c.1." + } + ] + }, + { + "class": "item", + "id": "sa.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"sa-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "sa.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the system and services acquisition procedures implement the system and services acquisition policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1d." + } + ] + }, + { + "class": "item", + "id": "sa.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the system and services acquisition policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the SA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-39", + "value": "NIST Special Publication 800-39" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.2", + "title": "ALLOCATION OF RESOURCES", + "props": [ + { + "class": "name", + "value": "SA-2" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sa.2a", + "prose": [ + "\u003cp class=\"description\"\u003eDetermine information security and privacy requirements for the system or system service in mission and business process planning;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-2a." + } + ] + }, + { + "class": "item", + "id": "sa.2b", + "prose": [ + "\u003cp class=\"description\"\u003eDetermine, document, and allocate the resources required to protect the system or system service as part of the organizational capital planning and investment control process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-2b." + } + ] + }, + { + "class": "item", + "id": "sa.2c", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish a discrete line item for information security and privacy in organizational programming and budgeting documentation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-2c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eResource allocation for information security and privacy includes funding for system or service acquisition, sustainment, and supply chain concerns throughout the system development life cycle.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.7" + }, + { + "href": "#pm.3" + }, + { + "href": "#pm.11" + }, + { + "href": "#sa.9" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-65", + "value": "NIST Special Publication 800-65" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.3", + "title": "SYSTEM DEVELOPMENT LIFE CYCLE", + "params": [ + { + "id": "sa-3_a", + "desc": "organization-defined system development life cycle", + "value": "organization-defined system development life cycle" + } + ], + "props": [ + { + "class": "name", + "value": "SA-3" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sa.3a", + "prose": [ + "\u003cp class=\"description\"\u003eManage the system using \u003cinsert param-id=\"sa-3_a\"/\u003e that incorporates information security and privacy considerations;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3a." + } + ] + }, + { + "class": "item", + "id": "sa.3b", + "prose": [ + "\u003cp class=\"description\"\u003eDefine and document information security and privacy roles and responsibilities throughout the system development life cycle;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3b." + } + ] + }, + { + "class": "item", + "id": "sa.3c", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify individuals having information security and privacy roles and responsibilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3c." + } + ] + }, + { + "class": "item", + "id": "sa.3d", + "prose": [ + "\u003cp class=\"description\"\u003eIntegrate the organizational information security and privacy risk management process into system development life cycle activities.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA system development life cycle process provides the foundation for the successful development, implementation, and operation of organizational systems. To apply the required security and privacy controls within the system development life cycle requires a basic understanding of information security and privacy, threats, vulnerabilities, adverse impacts, and risk to critical missions and business functions. The security engineering principles in SA-8 help individuals properly design, code, and test systems and system components. Organizations include qualified personnel including, for example, chief information security officers, security architects, security engineers, system security officers, and chief privacy officers in system development life cycle processes to ensure that established security and privacy requirements are incorporated into organizational systems. It is also important that developers include individuals on the development team that possess the requisite security and privacy expertise and skills to ensure that the needed security and privacy capabilities are effectively integrated into the system. Role-based security and privacy training programs can ensure that individuals having key security and privacy roles and responsibilities have the experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security and privacy requirements into enterprise architecture also ensures that important security and privacy considerations are addressed early in the system life cycle and that those considerations are directly related to organizational mission and business processes. This process also facilitates the integration of the information security and privacy architectures into the enterprise architecture, consistent with risk management strategy of the organization. Because the development life cycle of a system involves multiple organizations, including, for example, external suppliers, developers, integrators, and service providers, it is important to recognize that acquisition and supply chain risk management functions and controls play a significant role in the overall effective management of the system during that life cycle.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#pl.8" + }, + { + "href": "#pm.7" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.11" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.15" + }, + { + "href": "#sa.17" + }, + { + "href": "#sa.18" + }, + { + "href": "#sa.22" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.3.1", + "title": "MANAGE DEVELOPMENT ENVIRONMENT", + "props": [ + { + "class": "name", + "value": "SA-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect system development, test, and integration environments commensurate with risk throughout the system development life cycle for the system, system component, or system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.4" + }, + { + "href": "#ra.3" + }, + { + "href": "#sa.4" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.3.2", + "title": "USE OF LIVE DATA", + "props": [ + { + "class": "name", + "value": "SA-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sa.3.2.a", + "prose": [ + "\u003cp class=\"description\"\u003eApprove, document, and control the use of live data in development, test, and integration environments for the system, system component, or system service; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "sa.3.2.b", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure development, test, and integration environments for the system, system component, or system service are protected at the same impact or classification level as any live data used.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-3 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLive data is also referred to as operational data. The use of live data in preproduction environments can result in significant risk to organizations. Organizations can minimize such risk by using test or dummy data during the design, development, and testing of systems, system components, and system services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.3" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.3.3", + "title": "TECHNOLOGY REFRESH", + "props": [ + { + "class": "name", + "value": "SA-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePlan for and implement a technology refresh schedule to support the system throughout the system development life cycle.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTechnology refresh planning may encompass hardware, software, firmware, processes, personnel skill sets, suppliers, service providers, and facilities. The use of obsolete or nearing obsolete technology may increase security and privacy risks associated with, for example, unsupported components, components unable to implement security or privacy requirements, counterfeit or re-purposed components, slow or inoperable components, components from untrusted sources, inadvertent personnel error, or increased complexity.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-64", + "value": "NIST Special Publication 800-64" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.4", + "title": "ACQUISITION PROCESS", + "props": [ + { + "class": "name", + "value": "SA-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInclude the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the system, system component, or system service:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sa.4a", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity and privacy functional requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4a." + } + ] + }, + { + "class": "item", + "id": "sa.4b", + "prose": [ + "\u003cp class=\"description\"\u003eStrength of mechanism requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4b." + } + ] + }, + { + "class": "item", + "id": "sa.4c", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity and privacy assurance requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4c." + } + ] + }, + { + "class": "item", + "id": "sa.4d", + "prose": [ + "\u003cp class=\"description\"\u003eSecurity and privacy documentation requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4d." + } + ] + }, + { + "class": "item", + "id": "sa.4e", + "prose": [ + "\u003cp class=\"description\"\u003eRequirements for protecting security and privacy documentation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4e." + } + ] + }, + { + "class": "item", + "id": "sa.4f", + "prose": [ + "\u003cp class=\"description\"\u003eDescription of the system development environment and environment in which the system is intended to operate;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4f." + } + ] + }, + { + "class": "item", + "id": "sa.4g", + "prose": [ + "\u003cp class=\"description\"\u003eAllocation of responsibility or identification of parties responsible for information security, privacy, and supply chain risk management; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4g." + } + ] + }, + { + "class": "item", + "id": "sa.4h", + "prose": [ + "\u003cp class=\"description\"\u003eAcceptance criteria.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4h." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem components are discrete, identifiable information technology assets including, for example, hardware, software, or firmware. These components represent the building blocks of a system. System components typically consist of commercial information technology products. Security and privacy functional requirements include security and privacy capabilities, functions, and mechanisms. Strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to tampering or bypass, and resistance to direct attack. Security and privacy assurance requirements include development processes, procedures, practices, and methodologies; and the evidence from development and assessment activities providing grounds for confidence that the required security and privacy functionality is implemented and possesses the required strength of mechanism. Security and privacy documentation requirements address all phases of the system development life cycle. Security and privacy requirements are expressed in terms of security and privacy controls and control enhancements that have been selected through the tailoring process. The tailoring process includes, for example, the specification of parameter values using assignment and selection statements and platform dependencies and implementation information. Security and privacy documentation provides user and administrator guidance regarding the implementation and operation of security and privacy controls. The level of detail required in such documentation is based on the security categorization or classification level of the system and the degree to which organizations depend on the stated security or privacy capabilities, functions, or mechanisms to meet overall risk response expectations. Security and privacy requirements can include mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for systems, system components, and system services are defined in the same manner as such criteria for any organizational acquisition or procurement.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + }, + { + "href": "#ps.7" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.11" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.15" + }, + { + "href": "#sa.16" + }, + { + "href": "#sa.17" + }, + { + "href": "#sa.21" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.4.1", + "title": "FUNCTIONAL PROPERTIES OF CONTROLS", + "props": [ + { + "class": "name", + "value": "SA-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to provide a description of the functional properties of the controls to be implemented.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFunctional properties of security and privacy controls describe the functionality (i.e., security or privacy capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.2", + "title": "DESIGN AND IMPLEMENTATION INFORMATION FOR CONTROLS", + "props": [ + { + "class": "name", + "value": "SA-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to provide design and implementation information for the selected controls that includes: [Selection (one or more): security-relevant external system interfaces; high-level design; low-level design; source code or hardware schematics; \u003cinsert param-id=\"sa-4_a\"/\u003e] at \u003cinsert param-id=\"sa-4_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may require different levels of detail in design and implementation documentation for controls implemented in organizational systems, system components, or system services based on mission and business requirements; requirements for trustworthiness and resiliency; and requirements for analysis and testing. Systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules and the interfaces between modules providing security-relevant functionality. Design and implementation documentation may include information such as manufacturer, version, serial number, verification hash signature, software libraries used, date of purchase or download, and the vendor or download source. Source code and hardware schematics are referred to as the implementation representation of the system.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sa-4_a", + "desc": "organization-defined design and implementation information", + "value": "organization-defined design and implementation information" + }, + { + "id": "sa-4_b", + "desc": "organization-defined level of detail", + "value": "organization-defined level of detail" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.3", + "title": "DEVELOPMENT METHODS, TECHNIQUES, AND PRACTICES", + "props": [ + { + "class": "name", + "value": "SA-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to demonstrate the use of a system development life cycle process that includes \u003cinsert param-id=\"sa-4_c\"/\u003e; software development methods; testing, evaluation, assessment, verification, and validation methods; and quality control processes].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFollowing a system development life cycle that includes state-of-the-practice software development methods, systems engineering methods, systems security and privacy engineering methods, and quality control processes helps to reduce the number and severity of latent errors within systems, system components, and system services. Reducing the number and severity of such errors reduces the number of vulnerabilities in those systems, components, and services.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sa-4_c", + "desc": "organization-defined systems engineering methods; Selection (one or more): systems security engineering methods; privacy engineering methods", + "value": "organization-defined systems engineering methods; Selection (one or more): systems security engineering methods; privacy engineering methods" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.4", + "title": "ASSIGNMENT OF COMPONENTS TO SYSTEMS", + "props": [ + { + "class": "name", + "value": "SA-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-8(9)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "CM-8(9)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.5", + "title": "SYSTEM, COMPONENT, AND SERVICE CONFIGURATIONS", + "props": [ + { + "class": "name", + "value": "SA-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sa.4.5.d", + "prose": [ + "\u003cp class=\"description\"\u003eDeliver the system, component, or service with \u003cinsert param-id=\"sa-4_d\"/\u003e implemented; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (5)(d)" + } + ] + }, + { + "class": "item", + "id": "sa.4.5.e", + "prose": [ + "\u003cp class=\"description\"\u003eUse the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (5)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity configurations include, for example, the U.S. Government Configuration Baseline (USGCB) and any limitations on functions, ports, protocols, and services. Security characteristics include, for example, requiring that default passwords have been changed.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sa-4_d", + "desc": "organization-defined security configurations", + "value": "organization-defined security configurations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.6", + "title": "USE OF INFORMATION ASSURANCE PRODUCTS", + "props": [ + { + "class": "name", + "value": "SA-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sa.4.6.a", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy only government off-the-shelf or commercial off-the-shelf information assurance and information assurance-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (6)(a)" + } + ] + }, + { + "class": "item", + "id": "sa.4.6.b", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (6)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCommercial off-the-shelf IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.7", + "title": "NIAP-APPROVED PROTECTION PROFILES", + "props": [ + { + "class": "name", + "value": "SA-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sa.4.7.a", + "prose": [ + "\u003cp class=\"description\"\u003eLimit the use of commercially provided information assurance and information assurance-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "sa.4.7.b", + "prose": [ + "\u003cp class=\"description\"\u003eRequire, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated or NSA-approved.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-4 (7)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.7" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.8", + "title": "CONTINUOUS MONITORING PLAN FOR CONTROLS", + "props": [ + { + "class": "name", + "value": "SA-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to produce a plan for continuous monitoring of security and privacy control effectiveness that contains the following: \u003cinsert param-id=\"sa-4_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe objective of continuous monitoring plans is to determine if the complete set of planned, required, and deployed security and privacy controls within the system, system component, or system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into the continuous monitoring strategies and programs implemented by organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + } + ] + } + ], + "params": [ + { + "id": "sa-4_e", + "desc": "organization-defined level of detail", + "value": "organization-defined level of detail" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.9", + "title": "FUNCTIONS, PORTS, PROTOCOLS, AND SERVICES IN USE", + "props": [ + { + "class": "name", + "value": "SA-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to identify the functions, ports, protocols, and services intended for organizational use.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe identification of functions, ports, protocols, and services early in the system development life cycle, for example, during the initial requirements definition and design phases, allows organizations to influence the design of the system, system component, or system service. This early involvement in the system life cycle helps organizations to avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services or when requiring system service providers to do so. Early identification of functions, ports, protocols, and services avoids costly retrofitting of controls after the system, component, or system service has been implemented. SA-9 describes the requirements for external system services with organizations identifying which functions, ports, protocols, and services are provided from external sources.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + }, + { + "href": "#sa.9" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.4.10", + "title": "USE OF APPROVED PIV PRODUCTS", + "props": [ + { + "class": "name", + "value": "SA-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ia.2" + }, + { + "href": "#ia.8" + }, + { + "href": "#pm.9" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=50341", + "value": "ISO/IEC 15408" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#201", + "value": "FIPS Publication 201" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-23", + "value": "NIST Special Publication 800-23" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-35", + "value": "NIST Special Publication 800-35" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-36", + "value": "NIST Special Publication 800-36" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-37", + "value": "NIST Special Publication 800-37" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-64", + "value": "NIST Special Publication 800-64" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-70", + "value": "NIST Special Publication 800-70" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-73", + "value": "NIST Special Publication 800-73" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-161", + "value": "NIST Special Publication 800-161" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.5", + "title": "SYSTEM DOCUMENTATION", + "params": [ + { + "id": "sa-5_a", + "desc": "organization-defined actions", + "value": "organization-defined actions" + }, + { + "id": "sa-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SA-5" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sa.5a", + "prose": [ + "\u003cp class=\"description\"\u003eObtain administrator documentation for the system, system component, or system service that describes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5a." + } + ], + "parts": [ + { + "class": "item", + "id": "sa.5a.1", + "prose": [ + "\u003cp class=\"description\"\u003eSecure configuration, installation, and operation of the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5a.1." + } + ] + }, + { + "class": "item", + "id": "sa.5a.2", + "prose": [ + "\u003cp class=\"description\"\u003eEffective use and maintenance of security and privacy functions and mechanisms; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5a.2." + } + ] + }, + { + "class": "item", + "id": "sa.5a.3", + "prose": [ + "\u003cp class=\"description\"\u003eKnown vulnerabilities regarding configuration and use of administrative or privileged functions;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5a.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "sa.5b", + "prose": [ + "\u003cp class=\"description\"\u003eObtain user documentation for the system, system component, or system service that describes:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5b." + } + ], + "parts": [ + { + "class": "item", + "id": "sa.5b.1", + "prose": [ + "\u003cp class=\"description\"\u003eUser-accessible security and privacy functions and mechanisms and how to effectively use those functions and mechanisms;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5b.1." + } + ] + }, + { + "class": "item", + "id": "sa.5b.2", + "prose": [ + "\u003cp class=\"description\"\u003eMethods for user interaction, which enables individuals to use the system, component, or service in a more secure manner and protect individual privacy; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5b.2." + } + ] + }, + { + "class": "item", + "id": "sa.5b.3", + "prose": [ + "\u003cp class=\"description\"\u003eUser responsibilities in maintaining the security of the system, component, or service and privacy of individuals;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5b.3." + } + ] + } + ] + }, + { + "class": "item", + "id": "sa.5c", + "prose": [ + "\u003cp class=\"description\"\u003eDocument attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent and takes \u003cinsert param-id=\"sa-5_a\"/\u003e in response;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5c." + } + ] + }, + { + "class": "item", + "id": "sa.5d", + "prose": [ + "\u003cp class=\"description\"\u003eProtect documentation as required, in accordance with the organizational risk management strategy; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5d." + } + ] + }, + { + "class": "item", + "id": "sa.5e", + "prose": [ + "\u003cp class=\"description\"\u003eDistribute documentation to \u003cinsert param-id=\"sa-5_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-5e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control helps organizational personnel understand the implementation and operation of security and privacy controls associated with systems, system components, and system services. Organizations consider establishing specific measures to determine the quality and completeness of the content provided. System documentation may be used, for example, to support the management of supply chain risk, incident response, and other functions. Personnel or roles requiring documentation may include, for example, system owners, system security officers, and system administrators. Attempts to obtain documentation may include, for example, directly contacting manufacturers or suppliers and conducting web-based searches. The inability to obtain needed documentation may occur, for example, due to the age of the system or component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the implementation or operation of the security and privacy controls. The level of protection provided for the system, component, or service documentation is commensurate with the security category or classification of the system. Documentation that addresses system vulnerabilities may require an increased level of protection. Secure operation of the system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.4" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.7" + }, + { + "href": "#cm.8" + }, + { + "href": "#pl.2" + }, + { + "href": "#pl.4" + }, + { + "href": "#pl.8" + }, + { + "href": "#ps.2" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.9" + }, + { + "href": "#sa.10" + }, + { + "href": "#sa.11" + }, + { + "href": "#sa.15" + }, + { + "href": "#sa.16" + }, + { + "href": "#sa.17" + }, + { + "href": "#si.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.5.1", + "title": "FUNCTIONAL PROPERTIES OF SECURITY CONTROLS", + "props": [ + { + "class": "name", + "value": "SA-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4(1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SA-4(1)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.5.2", + "title": "SECURITY-RELEVANT EXTERNAL SYSTEM INTERFACES", + "props": [ + { + "class": "name", + "value": "SA-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SA-4(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.5.3", + "title": "HIGH-LEVEL DESIGN", + "props": [ + { + "class": "name", + "value": "SA-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SA-4(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.5.4", + "title": "LOW-LEVEL DESIGN", + "props": [ + { + "class": "name", + "value": "SA-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SA-4(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.5.5", + "title": "SOURCE CODE", + "props": [ + { + "class": "name", + "value": "SA-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-4(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SA-4(2)" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.6", + "title": "SOFTWARE USAGE RESTRICTIONS", + "props": [ + { + "class": "name", + "value": "SA-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-10 and SI-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.10" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "SP800-53", + "id": "sa.7", + "title": "USER-INSTALLED SOFTWARE", + "props": [ + { + "class": "name", + "value": "SA-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into CM-11 and SI-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#cm.11" + }, + { + "href": "#si.7" + } + ] + }, + { + "class": "SP800-53", + "id": "sa.8", + "title": "SECURITY AND PRIVACY ENGINEERING PRINCIPLES", + "params": [ + { + "id": "sa-8_a", + "desc": "organization-defined systems security engineering principles", + "value": "organization-defined systems security engineering principles" + } + ], + "props": [ + { + "class": "name", + "value": "SA-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eApply \u003cinsert param-id=\"sa-8_a\"/\u003e in the specification, design, development, implementation, and modification of the system and system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can apply systems security and privacy engineering principles to new systems under development or to systems undergoing upgrades. For legacy systems, organizations apply systems security and privacy engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems. The application of systems security and privacy engineering concepts and principles help to develop trustworthy, secure systems and system components and reduce the susceptibility of organizations to disruptions, hazards, threats, and creating privacy-related problems for individuals. Examples of these concepts and principles include, developing layered protections; establishing security and privacy policies, architecture, and controls as the foundation for design and development; incorporating security and privacy requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; tailoring security and privacy controls to meet organizational and operational needs; performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk. Organizations that apply security and privacy engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and system services; reduce risk to acceptable levels; and make informed risk management decisions. Security engineering principles can also be used to protect against certain supply chain risks including, for example, incorporating tamper-resistant hardware into a design.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.8" + }, + { + "href": "#pm.7" + }, + { + "href": "#ra.2" + }, + { + "href": "#ra.3" + }, + { + "href": "#ra.9" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.15" + }, + { + "href": "#sa.17" + }, + { + "href": "#sa.20" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.32" + }, + { + "href": "#sc.39" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#200", + "value": "FIPS Publication 200" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-64", + "value": "NIST Special Publication 800-64" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.9", + "title": "EXTERNAL SYSTEM SERVICES", + "params": [ + { + "id": "sa-9_a", + "desc": "organization-defined security and privacy controls", + "value": "organization-defined security and privacy controls" + }, + { + "id": "sa-9_b", + "desc": "organization-defined processes, methods, and techniques", + "value": "organization-defined processes, methods, and techniques" + } + ], + "props": [ + { + "class": "name", + "value": "SA-9" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sa.9a", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that providers of external system services comply with organizational security and privacy requirements and employ \u003cinsert param-id=\"sa-9_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9a." + } + ] + }, + { + "class": "item", + "id": "sa.9b", + "prose": [ + "\u003cp class=\"description\"\u003eDefine and document organizational oversight and user roles and responsibilities with regard to external system services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9b." + } + ] + }, + { + "class": "item", + "id": "sa.9c", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sa-9_b\"/\u003e to monitor security and privacy control compliance by external service providers on an ongoing basis.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal system services are those services that are implemented external to authorization boundaries of organizational systems. This includes services that are used by, but not a part of, organizational systems. Organizations establish relationships with external service providers in a variety of ways including, for example, through business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, joint ventures, and supply chain exchanges. The responsibility for managing risks from the use of external system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each provider in the consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for implemented security and privacy controls; describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.3" + }, + { + "href": "#cp.2" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.7" + }, + { + "href": "#pl.10" + }, + { + "href": "#pl.11" + }, + { + "href": "#ps.7" + }, + { + "href": "#sa.2" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.9.1", + "title": "RISK ASSESSMENTS AND ORGANIZATIONAL APPROVALS", + "props": [ + { + "class": "name", + "value": "SA-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sa.9.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eConduct an organizational assessment of risk prior to the acquisition or outsourcing of information security services; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "sa.9.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that the acquisition or outsourcing of dedicated information security services is approved by \u003cinsert param-id=\"sa-9_c\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-9 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExamples of information security services include the operation of security devices such as firewalls, or key management services; and incident monitoring, analysis and response. Risks assessed may include, for example, system-related, mission-related, privacy-related, or supply chain-related risks.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.6" + }, + { + "href": "#ra.3" + } + ] + } + ], + "params": [ + { + "id": "sa-9_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.9.2", + "title": "IDENTIFICATION OF FUNCTIONS, PORTS, PROTOCOLS, AND SERVICES", + "props": [ + { + "class": "name", + "value": "SA-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire providers of \u003cinsert param-id=\"sa-9_d\"/\u003e to identify the functions, ports, protocols, and other services required for the use of such services.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be useful when the need arises to understand the trade-offs involved in restricting certain functions and services or blocking certain ports and protocols.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.6" + }, + { + "href": "#cm.7" + } + ] + } + ], + "params": [ + { + "id": "sa-9_d", + "desc": "organization-defined external system services", + "value": "organization-defined external system services" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.9.3", + "title": "ESTABLISH AND MAINTAIN TRUST RELATIONSHIP WITH PROVIDERS", + "props": [ + { + "class": "name", + "value": "SA-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish, document, and maintain trust relationships with external service providers based on \u003cinsert param-id=\"sa-9_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe degree of confidence that the risk from using external services is at an acceptable level depends on the trust that organizations place in the external providers, individually or in combination. Trust relationships can help organizations to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered. They can also be useful when conducting incident response or when planning for upgrades or obsolescence. Trust relationships can be complicated due to the number of potential entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and types of interactions between the parties. In some cases, the degree of trust is based on the level of control organizations can exert on external service providers regarding the controls necessary for the protection of the service, information, or individual privacy and the evidence brought forth as to the effectiveness of the implemented controls. The level of control is established by the terms and conditions of the contracts or service-level agreements. Extensive control may include negotiating contracts or agreements that specify security and privacy requirements for providers. Limited control may include using contracts or service-level agreements to obtain commodity services such as commercial telecommunications services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + } + ] + } + ], + "params": [ + { + "id": "sa-9_e", + "desc": "organization-defined security and privacy requirements, properties, factors, or conditions defining acceptable trust relationships", + "value": "organization-defined security and privacy requirements, properties, factors, or conditions defining acceptable trust relationships" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.9.4", + "title": "CONSISTENT INTERESTS OF CONSUMERS AND PROVIDERS", + "props": [ + { + "class": "name", + "value": "SA-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTake \u003cinsert param-id=\"sa-9_f\"/\u003e to verify that the interests of \u003cinsert param-id=\"sa-9_g\"/\u003e are consistent with and reflect organizational interests.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAs organizations increasingly use external service providers, it is possible that the interests of the service providers may diverge from organizational interests. In such situations, simply having the required technical, management, or operational controls in place may not be sufficient if the providers that implement and manage those controls are not operating in a manner consistent with the interests of the consuming organizations. The actions that organizations might take to address such concerns include, for example, requiring background checks for selected service provider personnel; examining ownership records; employing only trustworthy service providers, including providers with which organizations have had successful trust relationships; and conducting routine periodic, unscheduled visits to service provider facilities.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sa-9_f", + "desc": "organization-defined actions", + "value": "organization-defined actions" + }, + { + "id": "sa-9_g", + "desc": "organization-defined external service providers", + "value": "organization-defined external service providers" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.9.5", + "title": "PROCESSING, STORAGE, AND SERVICE LOCATION", + "props": [ + { + "class": "name", + "value": "SA-9 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRestrict the location of [Selection (one or more): information processing; information or data; system services] to \u003cinsert param-id=\"sa-9_h\"/\u003e based on \u003cinsert param-id=\"sa-9_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe location of information processing, information and data storage, or system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions and business functions. This occurs when external providers control the location of processing, storage, or services. The criteria that external providers use for the selection of processing, storage, or service locations may be different from the criteria organizations use. For example, organizations may desire that data or information storage locations are restricted to certain locations to help facilitate incident response activities in case of information security or privacy incidents. Such incident response activities including, for example, forensic analyses and after-the-fact investigations, may be adversely affected by the governing laws or protocols in the locations where processing and storage occur and/or the locations from which system services emanate.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + }, + { + "href": "#sa.12" + } + ] + } + ], + "params": [ + { + "id": "sa-9_h", + "desc": "organization-defined locations", + "value": "organization-defined locations" + }, + { + "id": "sa-9_i", + "desc": "organization-defined requirements or conditions", + "value": "organization-defined requirements or conditions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.9.6", + "title": "ORGANIZATION-CONTROLLED CRYPTOGRAPHIC KEYS", + "props": [ + { + "class": "name", + "value": "SA-9 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain exclusive control of cryptographic keys.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMaintaining exclusive control of cryptographic keys in an external system prevents decryption of organizational data by external system staff. This enhancement can be implemented, for example, by encrypting and decrypting data inside the organization as data is sent to and received from the external system or through use of a component that permits encryption and decryption functions to be local to the external system, but allows the organization exclusive access to encryption keys.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + }, + { + "href": "#si.4" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.9.7", + "title": "ORGANIZATION-CONTROLLED INTEGRITY CHECKING", + "props": [ + { + "class": "name", + "value": "SA-9 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide the capability to check the integrity of organizational information while it resides in the external system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eStorage of organizational information in an external system could limit organizational visibility into the security status of its data. The ability for the organization to verify and validate the integrity of its stored data without transferring it out of the external system provides such visibility.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.7" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-35", + "value": "NIST Special Publication 800-35" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-161", + "value": "NIST Special Publication 800-161" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.10", + "title": "DEVELOPER CONFIGURATION MANAGEMENT", + "params": [ + { + "id": "sa-10_a", + "desc": "organization-defined configuration items under configuration management", + "value": "organization-defined configuration items under configuration management" + }, + { + "id": "sa-10_b", + "desc": "organization-defined personnel", + "value": "organization-defined personnel" + } + ], + "props": [ + { + "class": "name", + "value": "SA-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sa.10a", + "prose": [ + "\u003cp class=\"description\"\u003ePerform configuration management during system, component, or service [Selection (one or more): design; development; implementation; operation; disposal];\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10a." + } + ] + }, + { + "class": "item", + "id": "sa.10b", + "prose": [ + "\u003cp class=\"description\"\u003eDocument, manage, and control the integrity of changes to \u003cinsert param-id=\"sa-10_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10b." + } + ] + }, + { + "class": "item", + "id": "sa.10c", + "prose": [ + "\u003cp class=\"description\"\u003eImplement only organization-approved changes to the system, component, or service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10c." + } + ] + }, + { + "class": "item", + "id": "sa.10d", + "prose": [ + "\u003cp class=\"description\"\u003eDocument approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10d." + } + ] + }, + { + "class": "item", + "id": "sa.10e", + "prose": [ + "\u003cp class=\"description\"\u003eTrack security flaws and flaw resolution within the system, component, or service and report findings to \u003cinsert param-id=\"sa-10_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-10e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider the quality and completeness of the configuration management activities conducted by developers as direct evidence of applying effective security controls. Controls include, for example, protecting from unauthorized modification or destruction, the master copies of material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the system, system component, or system service requires strict configuration control throughout the system development life cycle to track authorized changes and to prevent unauthorized changes. The configuration items that are placed under configuration management include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the current running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and source code with previous versions; and test fixtures and documentation. Depending on the mission and business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the system life cycle.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.7" + }, + { + "href": "#cm.9" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.2" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.10.1", + "title": "SOFTWARE AND FIRMWARE INTEGRITY VERIFICATION", + "props": [ + { + "class": "name", + "value": "SA-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to enable integrity verification of software and firmware components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement allows organizations to detect unauthorized changes to software and firmware components using developer-provided tools, techniques, and mechanisms. Integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.7" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.2", + "title": "ALTERNATIVE CONFIGURATION MANAGEMENT PROCESSES", + "props": [ + { + "class": "name", + "value": "SA-10 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf information technology products. Alternate configuration management processes include organizational personnel that review and approve proposed changes to systems, system components, and system services; and that conduct security and privacy impact analyses prior to the implementation of changes to systems, components, or services.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.3", + "title": "HARDWARE INTEGRITY VERIFICATION", + "props": [ + { + "class": "name", + "value": "SA-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to enable integrity verification of hardware components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement allows organizations to detect unauthorized changes to hardware components using developer-provided tools, techniques, methods, and mechanisms. Organizations verify the integrity of hardware components, for example, with hard-to-copy labels and verifiable serial numbers provided by developers, and by requiring the implementation of anti-tamper technologies. Delivered hardware components also include updates to such components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.7" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.4", + "title": "TRUSTED GENERATION", + "props": [ + { + "class": "name", + "value": "SA-10 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions, source code, and object code with previous versions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses authorized changes to hardware, software, and firmware components between versions during development. The focus is on the efficacy of the configuration management process by the developer to ensure that newly generated versions of security-relevant hardware descriptions, source code, and object code continue to enforce the security policy for the system, system component, or system service. In contrast, SA-10(1) and SA-10(3) allow organizations to detect unauthorized changes to hardware, software, and firmware components using tools, techniques, and/or mechanisms provided by developers.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.5", + "title": "MAPPING INTEGRITY FOR VERSION CONTROL", + "props": [ + { + "class": "name", + "value": "SA-10 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses changes to hardware, software, and firmware components during initial development and during system life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs and source code) and the equivalent data in master copies on-site in operational environments is essential to ensure the availability of organizational systems supporting critical missions and business functions.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.10.6", + "title": "TRUSTED DISTRIBUTION", + "props": [ + { + "class": "name", + "value": "SA-10 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe trusted distribution of security-relevant hardware, software, and firmware updates ensure that such updates are correct representations of the master copies maintained by the developer and have not been tampered with during distribution.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.11", + "title": "DEVELOPER TESTING AND EVALUATION", + "params": [ + { + "id": "sa-11_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "sa-11_b", + "desc": "organization-defined depth and coverage", + "value": "organization-defined depth and coverage" + } + ], + "props": [ + { + "class": "name", + "value": "SA-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service, at all post-design phases of the system development life cycle, to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sa.11a", + "prose": [ + "\u003cp class=\"description\"\u003eCreate and implement a security and privacy assessment plan;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11a." + } + ] + }, + { + "class": "item", + "id": "sa.11b", + "prose": [ + "\u003cp class=\"description\"\u003ePerform [Selection (one or more): unit; integration; system; regression] testing/evaluation \u003cinsert param-id=\"sa-11_a\"/\u003e at \u003cinsert param-id=\"sa-11_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11b." + } + ] + }, + { + "class": "item", + "id": "sa.11c", + "prose": [ + "\u003cp class=\"description\"\u003eProduce evidence of the execution of the assessment plan and the results of the testing and evaluation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11c." + } + ] + }, + { + "class": "item", + "id": "sa.11d", + "prose": [ + "\u003cp class=\"description\"\u003eImplement a verifiable flaw remediation process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11d." + } + ] + }, + { + "class": "item", + "id": "sa.11e", + "prose": [ + "\u003cp class=\"description\"\u003eCorrect flaws identified during testing and evaluation.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopmental testing and evaluation confirms that the required security and privacy controls are implemented correctly, operating as intended, enforcing the desired security and privacy policies, and meeting established security and privacy requirements. Security properties of systems and the privacy of individuals may be affected by the interconnection of system components or changes to those components. These interconnections or changes including, for example, upgrading or replacing applications, operating systems, and firmware, may adversely affect previously implemented security and privacy controls. This control provides additional types of testing and evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can use these analysis approaches in a variety of tools and in source code reviews. Security and privacy assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of testing and evaluation refers to the rigor and level of detail associated with the assessment process. The coverage of testing and evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security and privacy assessment plans, flaw remediation processes, and the evidence that the plans and processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the system. Contracts may specify documentation protection requirements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.4" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.12" + }, + { + "href": "#sa.15" + }, + { + "href": "#sa.17" + }, + { + "href": "#si.2" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.11.1", + "title": "STATIC CODE ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to employ static code analysis tools to identify common flaws and document the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eStatic code analysis provides a technology and methodology for security reviews and may include, for example, checking for weaknesses in the code and checking for incorporation of libraries or other included code with known vulnerabilities or that are out-of-date and not supported. Such analysis can be used to identify vulnerabilities and enforce secure coding practices. Static code analysis is most effective when used early in the development process, when each code change can be automatically scanned for potential weaknesses. Static analysis can provide clear remediation guidance along with defects to enable developers to fix such defects. Evidence of correct implementation of static analysis can include, for example, aggregate defect density for critical defect types; evidence that defects were inspected by developers or security professionals; and evidence that defects were remediated. An excessively high density of ignored findings, commonly referred to as false positives, indicates a potential problem with the analysis process or the analysis tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.2", + "title": "THREAT MODELING AND VULNERABILITY ANALYSES", + "props": [ + { + "class": "name", + "value": "SA-11 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses at \u003cinsert param-id=\"sa-11_c\"/\u003e during development and during the subsequent testing and evaluation of the system, component, or service that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sa.11.2.a", + "prose": [ + "\u003cp class=\"description\"\u003eUses \u003cinsert param-id=\"sa-11_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "sa.11.2.b", + "prose": [ + "\u003cp class=\"description\"\u003eEmploys \u003cinsert param-id=\"sa-11_e\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11 (2)(b)" + } + ] + }, + { + "class": "item", + "id": "sa.11.2.c", + "prose": [ + "\u003cp class=\"description\"\u003eProduces evidence that meets \u003cinsert param-id=\"sa-11_f\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11 (2)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystems, system components, and system services may deviate significantly from the functional and design specifications created during the requirements and design phases of the system development life cycle. Therefore, threat modeling and vulnerability analyses of those systems, system components, and system services prior to delivery are critical to the effective operation of those systems, components, and services. Threat modeling and vulnerability analyses at this phase of the system development life cycle ensure that design and implementation changes have been accounted for and vulnerabilities created because of those changes have been reviewed and mitigated. Related controls: PM-15, RA-3, RA-5.\u003c/p\u003e" + ] + } + ], + "params": [ + { + "id": "sa-11_c", + "desc": "organization-defined breadth and depth", + "value": "organization-defined breadth and depth" + }, + { + "id": "sa-11_d", + "desc": "organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels", + "value": "organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels" + }, + { + "id": "sa-11_e", + "desc": "organization-defined tools and methods", + "value": "organization-defined tools and methods" + }, + { + "id": "sa-11_f", + "desc": "organization-defined acceptance criteria", + "value": "organization-defined acceptance criteria" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.3", + "title": "INDEPENDENT VERIFICATION OF ASSESSMENT PLANS AND EVIDENCE", + "props": [ + { + "class": "name", + "value": "SA-11 (3)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sa.11.3.a", + "prose": [ + "\u003cp class=\"description\"\u003eRequire an independent agent satisfying \u003cinsert param-id=\"sa-11_g\"/\u003e to verify the correct implementation of the developer security and privacy assessment plans and the evidence produced during testing and evaluation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "sa.11.3.b", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that the independent agent is provided with sufficient information to complete the verification process or granted the authority to obtain such information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-11 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndependent agents have the necessary qualifications, including the expertise, skills, training, certifications, and experience, to verify the correct implementation of developer security and privacy assessment plans.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#ra.5" + } + ] + } + ], + "params": [ + { + "id": "sa-11_g", + "desc": "organization-defined independence criteria", + "value": "organization-defined independence criteria" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.4", + "title": "MANUAL CODE REVIEWS", + "props": [ + { + "class": "name", + "value": "SA-11 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to perform a manual code review of \u003cinsert param-id=\"sa-11_h\"/\u003e using \u003cinsert param-id=\"sa-11_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eManual code reviews are usually reserved for the critical software and firmware components of systems. Such code reviews are effective in identifying weaknesses that require knowledge of the application\u0026#x92;s requirements or context which in most cases, are unavailable to automated analytic tools and techniques including static and dynamic analysis. Components benefiting from manual review include, for example, verifying access control matrices against application controls and reviewing more detailed aspects of cryptographic implementations and controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sa-11_h", + "desc": "organization-defined specific code", + "value": "organization-defined specific code" + }, + { + "id": "sa-11_i", + "desc": "organization-defined processes, procedures, and/or techniques", + "value": "organization-defined processes, procedures, and/or techniques" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.5", + "title": "PENETRATION TESTING", + "props": [ + { + "class": "name", + "value": "SA-11 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to perform penetration testing at \u003cinsert param-id=\"sa-11_j\"/\u003e and with \u003cinsert param-id=\"sa-11_k\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePenetration testing is an assessment methodology in which assessors, using all available information technology product or system documentation and working under specific constraints, attempt to circumvent implemented security and privacy features of information technology products and systems. Useful information for assessors conducting penetration testing can include, for example, product and system design specifications, source code, and administrator and operator manuals. Penetration testing can include white-box, gray-box, or black box testing with associated analyses performed by skilled professionals simulating adversary actions. The objective of penetration testing is to uncover the potential vulnerabilities in systems, system components and services resulting from implementation errors, configuration faults, or other operational weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide greater levels of analysis than would ordinarily be possible.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.8" + } + ] + } + ], + "params": [ + { + "id": "sa-11_j", + "desc": "organization-defined breadth and depth", + "value": "organization-defined breadth and depth" + }, + { + "id": "sa-11_k", + "desc": "organization-defined constraints", + "value": "organization-defined constraints" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.6", + "title": "ATTACK SURFACE REVIEWS", + "props": [ + { + "class": "name", + "value": "SA-11 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to perform attack surface reviews.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAttack surfaces of systems and system components are exposed areas that make those systems more vulnerable to attacks. This includes any accessible areas where weaknesses or deficiencies in the hardware, software, and firmware components provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers analyze the design and implementation changes to systems and mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes, for example, deprecation of unsafe functions.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.7", + "title": "VERIFY SCOPE OF TESTING AND EVALUATION", + "props": [ + { + "class": "name", + "value": "SA-11 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to verify that the scope of testing and evaluation provides complete coverage of required security and privacy controls at \u003cinsert param-id=\"sa-11_l\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eVerifying that testing and evaluation provides complete coverage of required security and privacy controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance corresponding to the degree of formality of the analysis. Rigorously demonstrating control coverage at the highest levels of assurance can be provided using formal modeling and analysis techniques including correlation between control implementation and corresponding test cases.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sa-11_l", + "desc": "organization-defined depth of testing and evaluation", + "value": "organization-defined depth of testing and evaluation" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.11.8", + "title": "DYNAMIC CODE ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-11 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to ensure that security functionality performs in the way it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the associated functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms).\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=50341", + "value": "ISO/IEC 15408" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-53A", + "value": "NIST Special Publication 800-53A" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.12", + "title": "SUPPLY CHAIN RISK MANAGEMENT", + "params": [ + { + "id": "sa-12_a", + "desc": "organization-defined supply chain safeguards", + "value": "organization-defined supply chain safeguards" + }, + { + "id": "sa-12_b", + "desc": "organization-defined document", + "value": "organization-defined document" + } + ], + "props": [ + { + "class": "name", + "value": "SA-12" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sa.12a", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sa-12_a\"/\u003e to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12a." + } + ] + }, + { + "class": "item", + "id": "sa.12b", + "prose": [ + "\u003cp class=\"description\"\u003eDocument the selected and implemented supply chain safeguards in [Selection: security and privacy plans; supply chain risk management plan; \u003cinsert param-id=\"sa-12_b\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-12b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupply chain-related events including, for example, disruption, theft, insertion of counterfeits, insertion of malicious code, malicious development practices, improper delivery practices, and use of defective components, can adversely impact the confidentiality, integrity, or availability of information processed, stored, or transmitted by a system. Such events can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. Supply chain-related events may be unintentional or malicious and occur at any point during the system life cycle. Managing supply chain risks involves gaining visibility and understanding of the processes and procedures used to protect the system, system component, or system service throughout the system life cycle. This allows organizations to make appropriate acquisition decisions and to identify appropriate mitigation strategies. A supply chain risk management plan includes, for example, an unambiguous expression of the supply chain risk tolerance for the system, acceptable supply chain risk mitigation strategies or controls, a description of and justification for supply chain protection measures taken, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the supply chain risk management plan, and associated roles and responsibilities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + }, + { + "href": "#cm.8" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.6" + }, + { + "href": "#ma.2" + }, + { + "href": "#ma.6" + }, + { + "href": "#pe.3" + }, + { + "href": "#pe.16" + }, + { + "href": "#pl.8" + }, + { + "href": "#pm.31" + }, + { + "href": "#ra.3" + }, + { + "href": "#ra.7" + }, + { + "href": "#ra.9" + }, + { + "href": "#sa.2" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.9" + }, + { + "href": "#sa.10" + }, + { + "href": "#sa.15" + }, + { + "href": "#sa.18" + }, + { + "href": "#sa.19" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.29" + }, + { + "href": "#sc.30" + }, + { + "href": "#sc.38" + }, + { + "href": "#si.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.12.1", + "title": "ACQUISITION STRATEGIES, TOOLS, AND METHODS", + "props": [ + { + "class": "name", + "value": "SA-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sa-12_c\"/\u003e to protect against, identify, and mitigate supply chain risks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of the acquisition process early in the system development life cycle provides an important vehicle to protect the supply chain. There are many useful tools and techniques available including, for example, obscuring the end use of a system or system component, using blind or filtered buys, requiring tamper-evident packaging, or using trusted or controlled distribution. The results from a supply chain risk assessment can inform which strategies, tools, and methods are most applicable to the situation. Tools and techniques may provide protections against the insertion of counterfeits, tampering, theft, unauthorized production, insertion of malicious software, as well as poor manufacturing and development practices throughout the system development life cycle. Organizations also consider creating incentives for suppliers who implement security and privacy controls; promote transparency into their organizational processes and security and privacy practices; provide additional vetting of the processes and practices of subordinate suppliers, critical system components, and services; restrict purchases from specific suppliers; and provide contract language that addresses the prohibition of tainted or counterfeit components. Finally, organizations consider providing training, education, and awareness programs for organizational personnel regarding supply chain risk, available mitigation strategies, and when they should be used. Methods for reviewing and protecting development plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sa-12_c", + "desc": "organization-defined acquisition strategies, contract tools, and procurement methods", + "value": "organization-defined acquisition strategies, contract tools, and procurement methods" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.2", + "title": "SUPPLIER REVIEWS", + "props": [ + { + "class": "name", + "value": "SA-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eReview the supply chain-related risks associated with suppliers or contractors and the system, system component, or system service they provide \u003cinsert param-id=\"sa-12_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA review of supplier risk may include, for example, the ability of the supplier to effectively assess or vet any subordinate second-tier and third-tier suppliers and contractors. These reviews may be conducted by the organization or by an independent third party. The reviews consider documented processes, documented controls, publicly available information related to the supplier or contractor, and all-source intelligence where possible. The organization can use open-source information to monitor for indications of stolen CUI, poor development and quality control practices, information spillage, or counterfeits. In some cases, it may be appropriate to share review results with other organizations in accordance with any applicable inter-organizational agreements or contracts.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sa-12_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.3", + "title": "TRUSTED SHIPPING AND WAREHOUSING", + "props": [ + { + "class": "name", + "value": "SA-12 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-12(1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SA-12(1)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.4", + "title": "DIVERSITY OF SUPPLIERS", + "props": [ + { + "class": "name", + "value": "SA-12 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-12(13)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SA-12(13)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.5", + "title": "LIMITATION OF HARM", + "props": [ + { + "class": "name", + "value": "SA-12 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sa-12_e\"/\u003e to limit harm from potential adversaries identifying and targeting the organizational supply chain.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSafeguards that can be implemented to reduce the probability of adversaries successfully identifying and targeting the supply chain include, for example, avoiding the purchase of custom or non-standardized configurations; employing a diverse set of suppliers; employing approved vendor lists with standing reputations in industry; using procurement carve outs that provide exclusions to commitments or obligations; and designing the system to include diversity of materials, components, and paths. In addition, organizations consider minimizing the time between purchase decisions and required delivery to limit the opportunities for adversaries to corrupt system components.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sa-12_e", + "desc": "organization-defined safeguards", + "value": "organization-defined safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.6", + "title": "MINIMIZING PROCUREMENT TIME", + "props": [ + { + "class": "name", + "value": "SA-12 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-12(1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SA-12(1)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.7", + "title": "ASSESSMENTS PRIOR TO SELECTION, ACCEPTANCE, AND UPDATE", + "props": [ + { + "class": "name", + "value": "SA-12 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAssess the system, system component, or system service prior to selection, acceptance, modification, or update.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational personnel or independent, external entities conduct assessments of systems, components, products, tools, and services to uncover unintentional and intentional vulnerabilities, evidence of tampering, or evidence of non-compliance with supply chain controls. These include, for example, malicious code, malicious processes, defective software, and counterfeits. Assessments can include, for example, visual or physical inspection; evaluations; design proposal reviews; static and dynamic analyses; visual, x-ray, or magnetic particle inspections; simulations; white, gray, and black box testing; fuzz testing; stress testing; and penetration testing. Organizations can also ensure that the components or services are genuine by using, for example, tags, cryptographic hash verifications, or digital signatures. Evidence generated during security assessments is documented for follow-on actions carried out by organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.8" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.11" + }, + { + "href": "#si.7" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.8", + "title": "USE OF ALL-SOURCE INTELLIGENCE", + "props": [ + { + "class": "name", + "value": "SA-12 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUse all-source intelligence to assist in the analysis of supply chain risk.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ all-source intelligence to inform engineering, acquisition, and supply chain risk management decisions. All-source intelligence consists of information derived from all available sources, including, for example, publicly available or open-source information; human intelligence; signals intelligence; imagery intelligence; and measurement and signature intelligence. This information is used to analyze the risk of intentional and unintentional vulnerabilities from development, manufacturing, and delivery processes, people, and the environment. This review may be performed on suppliers at multiple tiers in the supply chain sufficient to manage risks. Organizations may develop agreements to share all-source intelligence information or resulting decisions with other organizations, as appropriate.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.9", + "title": "OPERATIONS SECURITY", + "props": [ + { + "class": "name", + "value": "SA-12 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sa-12_f\"/\u003e to protect supply chain-related information for the system, system component, or system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupply chain information includes, for example, user identities; uses for systems, system components, and system services; supplier identities; supplier processes; security requirements; design specifications; testing and evaluation results; and system and component configurations. This control enhancement expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process of identifying critical information and subsequently analyzing friendly actions attendant to operations and other activities to identify those actions that can be observed by potential adversaries; determine indicators that potential adversaries might obtain that could be interpreted or pieced together to derive information in sufficient time to cause harm to organizations; implement safeguards or countermeasures to eliminate or reduce to an acceptable level, exploitable vulnerabilities; and finally, consider how aggregated information may compromise the confidentiality of users or the specific uses of the supply chain. OPSEC may require organizations to withhold specific mission/business information from suppliers and may include the use of intermediaries to hide the end use, or users of systems, system components, or system services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.38" + } + ] + } + ], + "params": [ + { + "id": "sa-12_f", + "desc": "organization-defined Operations Security (OPSEC) safeguards", + "value": "organization-defined Operations Security (OPSEC) safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.10", + "title": "VALIDATE AS GENUINE AND NOT ALTERED", + "props": [ + { + "class": "name", + "value": "SA-12 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sa-12_g\"/\u003e to validate that the system or system component received is genuine and has not been altered.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor many systems and system components, especially hardware, there are technical means to determine if the items are genuine or have been altered, including, for example, optical and nanotechnology tagging; physically unclonable functions; side-channel analysis; and visible anti-tamper stickers and labels. Safeguards can also include monitoring for out of specification performance, which can be an indicator of tampering or counterfeits. Suppliers and contractors may have processes for validating that a system or component is genuine and has not been altered, and for replacing a suspect system or component, which the organization may leverage. Some indications of tampering may be visible and addressable before accepting delivery including, for example, broken seals, inconsistent packaging, and incorrect labels. The organization may consider providing training to appropriate personnel on how to identify suspicious system or component deliveries. When a system or component is suspected of being altered or counterfeit, the organization considers notifying the supplier, contractor, or original equipment manufacturer who may be able to replace the item or provide a forensic capability to determine the origin of the counterfeit or altered item.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.19" + } + ] + } + ], + "params": [ + { + "id": "sa-12_g", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.11", + "title": "PENETRATION TESTING AND ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-12 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy [Selection (one or more): organizational analysis, independent third-party analysis, organizational penetration testing, independent third-party penetration testing] of \u003cinsert param-id=\"sa-12_h\"/\u003e associated with the system, system component, or system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses analysis or testing of the supply chain. It also considers the relationships or linkages between entities and procedures within the supply chain including, for example, development and delivery. Supply chain elements include system components that contain programmable logic and that are critically important to system functions. Supply chain processes include, for example, hardware, software, and firmware development processes; shipping and handling procedures; personnel and physical security programs; configuration management tools, techniques, and measures to maintain provenance; and programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated and collected during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.5" + } + ] + } + ], + "params": [ + { + "id": "sa-12_h", + "desc": "organization-defined supply chain elements, processes, and actors", + "value": "organization-defined supply chain elements, processes, and actors" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.12", + "title": "NOTIFICATION AGREEMENTS", + "props": [ + { + "class": "name", + "value": "SA-12 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish agreements and procedures with entities involved in the supply chain for the system, system component, or system service for the [Selection (one or more): notification of supply chain compromises; results of assessments or audits; \u003cinsert param-id=\"sa-12_i\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe establishment of agreements and procedures provides for formal communications among supply chain entities. Early notification of compromises in the supply chain that can potentially adversely affect or have adversely affected organizational systems, including critical system components, is essential for organizations to effectively respond to such incidents. The results of assessments or audits may include open-source information that contributed to a decision or result and could be used to help the supply chain entity resolve a concern or improve its processes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.8" + } + ] + } + ], + "params": [ + { + "id": "sa-12_i", + "desc": "organization-defined information", + "value": "organization-defined information" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.13", + "title": "CRITICAL SYSTEM COMPONENTS", + "props": [ + { + "class": "name", + "value": "SA-12 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MA-6 and RA-9\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ma.6" + }, + { + "href": "#ra.9" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.14", + "title": "IDENTITY AND TRACEABILITY", + "props": [ + { + "class": "name", + "value": "SA-12 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish and maintain unique identification of \u003cinsert param-id=\"sa-12_j\"/\u003e associated with the \u003cinsert param-id=\"sa-12_k\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eKnowing who and what is in the supply chains of organizations is critical to gaining visibility into what is happening within such supply chains. It is also important for monitoring and identifying high-risk events and activities. Without reasonable visibility and traceability into supply chains (i.e., elements, processes, and personnel), it is very difficult for organizations to understand, and therefore manage risk, and ultimately reduce the likelihood of or susceptibility to adverse events. Supply chain elements are systems or system components that contain programmable logic and that are critically important to system functions. Supply chain processes include, for example, hardware, software, and firmware development processes; shipping and handling procedures; personnel and physical security programs; configuration management tools, techniques, and measures to maintain provenance; or other programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain personnel are individuals in the supply chain with specific roles and responsibilities related to, for example, the secure development, delivery, maintenance, and disposal of a system or system component. Tracking the unique identifiers of supply chain elements, processes, and personnel establishes a foundational identity structure for assessment of supply chain activities and for the establishment and maintenance of provenance. For example, supply chain elements may be labeled using serial numbers or tagged using radio-frequency identification tags. These labels and tags can help provide the organization better visibility into the provenance of that element. Identification methods are sufficient to support a forensic investigation in the event of a supply chain compromise or event.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.8" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.8" + } + ] + } + ], + "params": [ + { + "id": "sa-12_j", + "desc": "organization-defined supply chain elements, processes, and personnel", + "value": "organization-defined supply chain elements, processes, and personnel" + }, + { + "id": "sa-12_k", + "desc": "organization-defined system, critical system components", + "value": "organization-defined system, critical system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.15", + "title": "PROCESSES TO ADDRESS WEAKNESSES OR DEFICIENCIES", + "props": [ + { + "class": "name", + "value": "SA-12 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish a process or processes to address weaknesses or deficiencies in supply chain elements in coordination with \u003cinsert param-id=\"sa-12_l\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupply chain elements are system or system components that contain programmable logic and that are critically important to system functions. Supply chain processes include, for example, hardware, software, and firmware development processes; shipping and handling procedures; personnel and physical security programs; configuration management tools, techniques, and measures to maintain provenance; or other programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain personnel are individuals with specific roles and responsibilities in the supply chain. The evidence generated during the independent or organizational assessments of designated supply chain elements may be used to improve the supply chain processes and inform the organization\u0026#x92;s supply chain risk management process. The evidence can also be leveraged in follow-on assessments. Evidence and other related documentation may be shared in accordance with organizational agreements.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sa-12_l", + "desc": "organization-defined supply chain personnel", + "value": "organization-defined supply chain personnel" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.12.16", + "title": "PROVENANCE", + "props": [ + { + "class": "name", + "value": "SA-12 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDocument, monitor, and maintain valid provenance of \u003cinsert param-id=\"sa-12_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEvery system and system component has a point of origin and may be changed throughout its existence. Provenance is the chronology of the origin, development, ownership, location, and changes to a system or system component and associated data. It may also include personnel and processes used to interact with or make modifications to the system, component, or associated data. Organizations consider developing procedures for allocating responsibilities for the creation, maintenance, and monitoring of provenance for systems and components; transferring provenance documentation and responsibility between organizations; and preventing and monitoring for unauthorized changes to the provenance records. Organizations consider developing methods to document, monitor, and maintain valid provenance baselines for systems, system components, and related data. Such actions help track, assess, and document changes to the provenance, including changes in supply chain elements or configuration, and ensure non-repudiation of provenance information and the provenance change records.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.9" + } + ] + } + ], + "params": [ + { + "id": "sa-12_m", + "desc": "organization-defined systems, system components, and associated data", + "value": "organization-defined systems, system components, and associated data" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-30", + "value": "NIST Special Publication 800-30" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-161", + "value": "NIST Special Publication 800-161" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsNISTIRs.html#NIST-IR-7622", + "value": "NIST Interagency Report 7622" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.13", + "title": "TRUSTWORTHINESS", + "props": [ + { + "class": "name", + "value": "SA-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.8" + } + ] + }, + { + "class": "SP800-53", + "id": "sa.14", + "title": "CRITICALITY ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-14" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into RA-9\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ra.9" + } + ] + }, + { + "class": "SP800-53", + "id": "sa.15", + "title": "DEVELOPMENT PROCESS, STANDARDS, AND TOOLS", + "params": [ + { + "id": "sa-15_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "sa-15_b", + "desc": "organization-defined security and privacy requirements", + "value": "organization-defined security and privacy requirements" + } + ], + "props": [ + { + "class": "name", + "value": "SA-15" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sa.15a", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to follow a documented development process that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a." + } + ], + "parts": [ + { + "class": "item", + "id": "sa.15a.1", + "prose": [ + "\u003cp class=\"description\"\u003eExplicitly addresses security requirements;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a.1." + } + ] + }, + { + "class": "item", + "id": "sa.15a.2", + "prose": [ + "\u003cp class=\"description\"\u003eIdentifies the standards and tools used in the development process;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a.2." + } + ] + }, + { + "class": "item", + "id": "sa.15a.3", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments the specific tool options and tool configurations used in the development process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a.3." + } + ] + }, + { + "class": "item", + "id": "sa.15a.4", + "prose": [ + "\u003cp class=\"description\"\u003eDocuments, manages, and ensures the integrity of changes to the process and/or tools used in development; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15a.4." + } + ] + } + ] + }, + { + "class": "item", + "id": "sa.15b", + "prose": [ + "\u003cp class=\"description\"\u003eReview the development process, standards, tools, tool options, and tool configurations \u003cinsert param-id=\"sa-15_a\"/\u003e to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy \u003cinsert param-id=\"sa-15_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopment tools include, for example, programming languages and computer-aided design systems. Reviews of development processes can include, for example, the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes facilitates effective supply chain risk assessment and mitigation. Such integrity requires configuration control throughout the system development life cycle to track authorized changes and to prevent unauthorized changes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ma.6" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.11" + }, + { + "href": "#sa.12" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.15.1", + "title": "QUALITY METRICS", + "props": [ + { + "class": "name", + "value": "SA-15 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sa.15.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eDefine quality metrics at the beginning of the development process; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "sa.15.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eProvide evidence of meeting the quality metrics [Selection (one or more): \u003cinsert param-id=\"sa-15_c\"/\u003e; \u003cinsert param-id=\"sa-15_d\"/\u003e; upon delivery].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations use quality metrics to establish acceptable levels of system quality. Metrics may include quality gates which are collections of completion criteria or sufficiency standards representing the satisfactory execution of specific phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or a determination that such warnings have no impact on the effectiveness of required security or privacy capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. These metrics can include defining the severity thresholds of vulnerabilities, for example, requiring no known vulnerabilities in the delivered system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sa-15_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "sa-15_d", + "desc": "organization-defined program review milestones", + "value": "organization-defined program review milestones" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.2", + "title": "SECURITY TRACKING TOOLS", + "props": [ + { + "class": "name", + "value": "SA-15 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to select and employ a security tracking tool for use during the development process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem development teams select and deploy security tracking tools, including, for example, vulnerability/work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with system development processes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.11" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.3", + "title": "CRITICALITY ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-15 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to perform a criticality analysis at \u003cinsert param-id=\"sa-15_e\"/\u003e and at \u003cinsert param-id=\"sa-15_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides developer input to the criticality analysis performed by organizations. Developer input is essential to such analysis because organizations may not have access to detailed design documentation for system components that are developed as commercial off-the-shelf products. Such design documentation includes, for example, functional specifications, high-level designs, low-level designs, and source code and hardware schematics. Criticality analysis is important for organizational systems that are designated as high value assets. Such assets can be moderate- or high-impact systems due to the potential for serious, severe, or catastrophic adverse impacts on organizational missions or business functions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.9" + } + ] + } + ], + "params": [ + { + "id": "sa-15_e", + "desc": "organization-defined breadth/depth", + "value": "organization-defined breadth/depth" + }, + { + "id": "sa-15_f", + "desc": "organization-defined decision points in the system development life cycle", + "value": "organization-defined decision points in the system development life cycle" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.4", + "title": "THREAT MODELING AND VULNERABILITY ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-15 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-11(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SA-11(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.5", + "title": "ATTACK SURFACE REDUCTION", + "props": [ + { + "class": "name", + "value": "SA-15 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to reduce attack surfaces to \u003cinsert param-id=\"sa-15_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAttack surface reduction is closely aligned with developer threat and vulnerability analyses and system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within systems, system components, and system services. Attack surface reduction includes, for example, employing the concept of layered defenses; applying the principles of least privilege and least functionality; deprecating unsafe functions; applying secure software development practices including, for example, reducing the amount of code executing and reducing entry points available to unauthorized users; and eliminating application programming interfaces (APIs) that are vulnerable to attacks.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#cm.7" + }, + { + "href": "#ra.3" + } + ] + } + ], + "params": [ + { + "id": "sa-15_g", + "desc": "organization-defined thresholds", + "value": "organization-defined thresholds" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.6", + "title": "CONTINUOUS IMPROVEMENT", + "props": [ + { + "class": "name", + "value": "SA-15 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to implement an explicit process to continuously improve the development process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopers of systems, system components, and system services consider the effectiveness and efficiency of their current development processes for meeting quality objectives and for addressing the security and privacy capabilities in current threat environments.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.7", + "title": "AUTOMATED VULNERABILITY ANALYSIS", + "props": [ + { + "class": "name", + "value": "SA-15 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sa.15.7.a", + "prose": [ + "\u003cp class=\"description\"\u003ePerform an automated vulnerability analysis using \u003cinsert param-id=\"sa-15_h\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "sa.15.7.b", + "prose": [ + "\u003cp class=\"description\"\u003eDetermine the exploitation potential for discovered vulnerabilities;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (7)(b)" + } + ] + }, + { + "class": "item", + "id": "sa.15.7.c", + "prose": [ + "\u003cp class=\"description\"\u003eDetermine potential risk mitigations for delivered vulnerabilities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (7)(c)" + } + ] + }, + { + "class": "item", + "id": "sa.15.7.d", + "prose": [ + "\u003cp class=\"description\"\u003eDeliver the outputs of the tools and results of the analysis to \u003cinsert param-id=\"sa-15_i\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-15 (7)(d)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.5" + }, + { + "href": "#sa.11" + } + ] + } + ], + "params": [ + { + "id": "sa-15_h", + "desc": "organization-defined tools", + "value": "organization-defined tools" + }, + { + "id": "sa-15_i", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.8", + "title": "REUSE OF THREAT AND VULNERABILITY INFORMATION", + "props": [ + { + "class": "name", + "value": "SA-15 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAnalysis of vulnerabilities found in similar software applications can inform potential design and implementation issues for systems under development. Similar systems or system components may exist within developer organizations. Vulnerability information is available from a variety of public and private sector sources including, for example, the NIST National Vulnerability Database.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.9", + "title": "USE OF LIVE DATA", + "props": [ + { + "class": "name", + "value": "SA-15 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-3(2)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SA-3(2)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.10", + "title": "INCIDENT RESPONSE PLAN", + "props": [ + { + "class": "name", + "value": "SA-15 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to provide, implement, and test an incident response plan.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe incident response plan provided by developers of systems, system components, and system services may be incorporated into organizational incident response plans. This information provides the type of incident response information that is not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf products.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.8" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.15.11", + "title": "ARCHIVE SYSTEM OR COMPONENT", + "props": [ + { + "class": "name", + "value": "SA-15 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security and privacy review.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eArchiving system or system components requires the developer to retain key development artifacts including, for example, hardware specifications, source code, object code, and any relevant documentation from the development process that can provide a readily available configuration baseline for system and component upgrades or modifications.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.16", + "title": "DEVELOPER-PROVIDED TRAINING", + "params": [ + { + "id": "sa-16_a", + "desc": "organization-defined training", + "value": "organization-defined training" + } + ], + "props": [ + { + "class": "name", + "value": "SA-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to provide \u003cinsert param-id=\"sa-16_a\"/\u003e on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to external and internal (in-house) developers. Training of personnel is an essential element to ensure the effectiveness of the security and privacy controls implemented within organizational systems. Training options include, for example, web-based and computer-based training; classroom-style training; and hands-on training. Organizations can also request training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security and privacy functions, controls, and mechanisms.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.2" + }, + { + "href": "#at.3" + }, + { + "href": "#pe.3" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.17", + "title": "DEVELOPER SECURITY ARCHITECTURE AND DESIGN", + "props": [ + { + "class": "name", + "value": "SA-17" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to produce a design specification and security architecture that:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sa.17a", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with and supportive of the organization\u0026#x92;s security architecture which is established within and is an integrated part of the organization\u0026#x92;s enterprise architecture;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17a." + } + ] + }, + { + "class": "item", + "id": "sa.17b", + "prose": [ + "\u003cp class=\"description\"\u003eAccurately and completely describes the required security functionality, and the allocation of security controls among physical and logical components; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17b." + } + ] + }, + { + "class": "item", + "id": "sa.17c", + "prose": [ + "\u003cp class=\"description\"\u003eExpresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control is primarily directed at external developers, although it could also be used for internal (in-house) development. In contrast, PL-8 is primarily directed at internal developers to ensure that organizations develop a security architecture and that the architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important when organizations outsource the development of systems, system components, or system services to external entities, and when there is a requirement to demonstrate consistency with the enterprise architecture and security architecture of the organization. ISO/IEC 15408 provides additional information on security architecture and design including, for example, formal policy models, security-relevant components, formal and informal correspondence, conceptually simple design, and structuring for least privilege and testing.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.2" + }, + { + "href": "#pl.8" + }, + { + "href": "#pm.7" + }, + { + "href": "#sa.3" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.8" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.17.1", + "title": "FORMAL POLICY MODEL", + "props": [ + { + "class": "name", + "value": "SA-17 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sa.17.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eProduce, as an integral part of the development process, a formal policy model describing the \u003cinsert param-id=\"sa-17_a\"/\u003e to be enforced; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "sa.17.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eProve that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFormal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors and policies to be formally proven. Not all components of systems can be modeled. Generally, formal specifications are scoped to the specific behaviors or policies of interest, for example, nondiscretionary access control policies. Organizations choose the formal modeling language and approach based on the nature of the behaviors and policies to be described and the available tools. Examples of formal modeling tools include Gypsy and Zed.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sa-17_a", + "desc": "organization-defined elements of organizational security policy", + "value": "organization-defined elements of organizational security policy" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.2", + "title": "SECURITY-RELEVANT COMPONENTS", + "props": [ + { + "class": "name", + "value": "SA-17 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sa.17.2.a", + "prose": [ + "\u003cp class=\"description\"\u003eDefine security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (2)(a)" + } + ] + }, + { + "class": "item", + "id": "sa.17.2.b", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a rationale that the definition for security-relevant hardware, software, and firmware is complete.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (2)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe security-relevant hardware, software, and firmware represent the portion of the system, component, or service that must be trusted to perform correctly to maintain required security properties.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.3", + "title": "FORMAL CORRESPONDENCE", + "props": [ + { + "class": "name", + "value": "SA-17 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sa.17.3.a", + "prose": [ + "\u003cp class=\"description\"\u003eProduce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "sa.17.3.b", + "prose": [ + "\u003cp class=\"description\"\u003eShow via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(b)" + } + ] + }, + { + "class": "item", + "id": "sa.17.3.c", + "prose": [ + "\u003cp class=\"description\"\u003eShow via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(c)" + } + ] + }, + { + "class": "item", + "id": "sa.17.3.d", + "prose": [ + "\u003cp class=\"description\"\u003eShow that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(d)" + } + ] + }, + { + "class": "item", + "id": "sa.17.3.e", + "prose": [ + "\u003cp class=\"description\"\u003eDescribe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (3)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrespondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details that are present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal system description, and that the formal system description is correctly implemented by a description of some lower level, for example a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to show such consistency. Consistency between the formal top-level specification and the actual implementation may require the use of an informal demonstration due to limitations in the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input and output.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.4", + "title": "INFORMAL CORRESPONDENCE", + "props": [ + { + "class": "name", + "value": "SA-17 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sa.17.4.a", + "prose": [ + "\u003cp class=\"description\"\u003eProduce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "sa.17.4.b", + "prose": [ + "\u003cp class=\"description\"\u003eShow via [Selection: informal demonstration, convincing argument with formal methods as feasible] that the descriptive top-level specification is consistent with the formal policy model;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "sa.17.4.c", + "prose": [ + "\u003cp class=\"description\"\u003eShow via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(c)" + } + ] + }, + { + "class": "item", + "id": "sa.17.4.d", + "prose": [ + "\u003cp class=\"description\"\u003eShow that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(d)" + } + ] + }, + { + "class": "item", + "id": "sa.17.4.e", + "prose": [ + "\u003cp class=\"description\"\u003eDescribe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrespondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input and output.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.5", + "title": "CONCEPTUALLY SIMPLE DESIGN", + "props": [ + { + "class": "name", + "value": "SA-17 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sa.17.5.a", + "prose": [ + "\u003cp class=\"description\"\u003eDesign and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (5)(a)" + } + ] + }, + { + "class": "item", + "id": "sa.17.5.b", + "prose": [ + "\u003cp class=\"description\"\u003eInternally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-17 (5)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.3" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.6", + "title": "STRUCTURE FOR TESTING", + "props": [ + { + "class": "name", + "value": "SA-17 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + }, + { + "href": "#sa.11" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.17.7", + "title": "STRUCTURE FOR LEAST PRIVILEGE", + "props": [ + { + "class": "name", + "value": "SA-17 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=50341", + "value": "ISO/IEC 15408" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sa.18", + "title": "TAMPER RESISTANCE AND DETECTION", + "props": [ + { + "class": "name", + "value": "SA-18" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement a tamper protection program for the system, system component, or system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAnti-tamper technologies, tools, and techniques provide a level of protection for systems and system components against many threats including reverse engineering, modification, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting systems and components during distribution and when in use.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.3" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.18.1", + "title": "MULTIPLE PHASES OF SYSTEM DEVELOPMENT LIFE CYCLE", + "props": [ + { + "class": "name", + "value": "SA-18 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy anti-tamper technologies, tools, and techniques during multiple phases in the system development life cycle including design, development, integration, operations, and maintenance.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations employ obfuscation and self-checking, for example, to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. The customization of systems and system components can make substitutions easier to detect and therefore limit damage.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.3" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.18.2", + "title": "INSPECTION OF SYSTEMS OR COMPONENTS", + "props": [ + { + "class": "name", + "value": "SA-18 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInspect \u003cinsert param-id=\"sa-18_a\"/\u003e [Selection (one or more): at random; at \u003cinsert param-id=\"sa-18_b\"/\u003e, upon \u003cinsert param-id=\"sa-18_c\"/\u003e] to detect tampering.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses physical and logical tampering and is typically applied to mobile devices, notebook computers, or other system components taken out of organization-controlled areas. Indications of a need for inspection include, for example, when individuals return from travel to high-risk locations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.4" + } + ] + } + ], + "params": [ + { + "id": "sa-18_a", + "desc": "organization-defined systems or system components", + "value": "organization-defined systems or system components" + }, + { + "id": "sa-18_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "sa-18_c", + "desc": "organization-defined indications of need for inspection", + "value": "organization-defined indications of need for inspection" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.19", + "title": "COMPONENT AUTHENTICITY", + "params": [ + { + "id": "sa-19_a", + "desc": "organization-defined external reporting organizations", + "value": "organization-defined external reporting organizations" + }, + { + "id": "sa-19_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SA-19" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sa.19a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop and implement anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19a." + } + ] + }, + { + "class": "item", + "id": "sa.19b", + "prose": [ + "\u003cp class=\"description\"\u003eReport counterfeit system components to [Selection (one or more): source of counterfeit component; \u003cinsert param-id=\"sa-19_a\"/\u003e; \u003cinsert param-id=\"sa-19_b\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-19b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSources of counterfeit components include, for example, manufacturers, developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include, for example, US-CERT.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.3" + }, + { + "href": "#sa.12" + }, + { + "href": "#si.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.19.1", + "title": "ANTI-COUNTERFEIT TRAINING", + "props": [ + { + "class": "name", + "value": "SA-19 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTrain \u003cinsert param-id=\"sa-19_c\"/\u003e to detect counterfeit system components (including hardware, software, and firmware).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#at.3" + } + ] + } + ], + "params": [ + { + "id": "sa-19_c", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.19.2", + "title": "CONFIGURATION CONTROL FOR COMPONENT SERVICE AND REPAIR", + "props": [ + { + "class": "name", + "value": "SA-19 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain configuration control over \u003cinsert param-id=\"sa-19_d\"/\u003e awaiting service or repair and serviced or repaired components awaiting return to service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + } + ] + } + ], + "params": [ + { + "id": "sa-19_d", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.19.3", + "title": "COMPONENT DISPOSAL", + "props": [ + { + "class": "name", + "value": "SA-19 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDispose of system components using \u003cinsert param-id=\"sa-19_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProper disposal of system components helps to prevent such components from entering the gray market.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.6" + } + ] + } + ], + "params": [ + { + "id": "sa-19_e", + "desc": "organization-defined techniques and methods", + "value": "organization-defined techniques and methods" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sa.19.4", + "title": "ANTI-COUNTERFEIT SCANNING", + "props": [ + { + "class": "name", + "value": "SA-19 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eScan for counterfeit system components \u003cinsert param-id=\"sa-19_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ra.5" + } + ] + } + ], + "params": [ + { + "id": "sa-19_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.20", + "title": "CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS", + "params": [ + { + "id": "sa-20_a", + "desc": "organization-defined critical system components", + "value": "organization-defined critical system components" + } + ], + "props": [ + { + "class": "name", + "value": "SA-20" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRe-implement or custom develops \u003cinsert param-id=\"sa-20_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine that certain system components likely cannot be trusted due to specific threats to and vulnerabilities in those components, and for which there are no viable security controls to adequately mitigate the resulting risk. Re-implementation or custom development of such components helps to satisfy requirements for higher assurance. This is accomplished by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to re-implement or custom develop critical system components, additional safeguards can be employed. These include, for example, enhanced auditing; restrictions on source code and system utility access; and protection from deletion of system and application files.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#ra.9" + }, + { + "href": "#sa.8" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.21", + "title": "DEVELOPER SCREENING", + "params": [ + { + "id": "sa-21_a", + "desc": "organization-defined system, system component, or system service", + "value": "organization-defined system, system component, or system service" + }, + { + "id": "sa-21_b", + "desc": "organization-defined official government duties", + "value": "organization-defined official government duties" + }, + { + "id": "sa-21_c", + "desc": "organization-defined additional personnel screening criteria", + "value": "organization-defined additional personnel screening criteria" + } + ], + "props": [ + { + "class": "name", + "value": "SA-21" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that the developer of \u003cinsert param-id=\"sa-21_a\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sa.21a", + "prose": [ + "\u003cp class=\"description\"\u003eHave appropriate access authorizations as determined by assigned \u003cinsert param-id=\"sa-21_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21a." + } + ] + }, + { + "class": "item", + "id": "sa.21b", + "prose": [ + "\u003cp class=\"description\"\u003eSatisfy \u003cinsert param-id=\"sa-21_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21b." + } + ] + }, + { + "class": "item", + "id": "sa.21c", + "prose": [ + "\u003cp class=\"description\"\u003eProvide information that the access authorizations and screening criteria specified in a. and b. are satisfied.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SA-21c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control is directed at external developers. Because the system, system component, or system service may be employed in critical activities essential to the national or economic security interests of the United States, organizations have a strong interest in ensuring that the developer is trustworthy. The degree of trust required of the developer may need to be consistent with that of the individuals accessing the system/component/service once deployed. Examples of authorization and personnel screening criteria include clearances, background checks, citizenship, and nationality. Trustworthiness of developers may also include a review and analysis of company ownership and any relationships the company has with entities potentially affecting the quality and reliability of the systems, components, or services being developed. Satisfying required access authorizations and personnel screening criteria includes, for example, providing a list of all individuals who are authorized to perform development activities on the selected system, system component, or system service so that organizations can validate that the developer has satisfied the authorization and screening requirements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ps.2" + }, + { + "href": "#ps.3" + }, + { + "href": "#ps.6" + }, + { + "href": "#ps.7" + }, + { + "href": "#sa.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.21.1", + "title": "VALIDATION OF SCREENING", + "props": [ + { + "class": "name", + "value": "SA-21 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-21\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.21" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sa.22", + "title": "UNSUPPORTED SYSTEM COMPONENTS", + "props": [ + { + "class": "name", + "value": "SA-22" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eReplace system components when support for the components is no longer available from the developer, vendor, or manufacturer.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupport for system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components, for example, when vendors no longer provide critical software patches or product updates, provide an opportunity for adversaries to exploit weaknesses in the installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission or business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.2" + }, + { + "href": "#sa.3" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sa.22.1", + "title": "ALTERNATIVE SOURCES FOR CONTINUED SUPPORT", + "props": [ + { + "class": "name", + "value": "SA-22 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide [Selection (one or more): in-house support; \u003cinsert param-id=\"sa-22_a\"/\u003e] for unsupported system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses the need to provide continued support for system components that are no longer supported by the original manufacturers, developers, or vendors when such components remain essential to organizational mission and business operations. Organizations can establish in-house support, for example, by developing customized patches for critical software components or alternatively, obtain the services of external providers who through contractual relationships, provide ongoing support for the designated unsupported components. Such contractual relationships can include, for example, Open Source Software value-added vendors.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sa-22_a", + "desc": "organization-defined support from external providers", + "value": "organization-defined support from external providers" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "SYSTEM AND COMMUNICATIONS PROTECTION", + "controls": [ + { + "class": "SP800-53", + "id": "sc.1", + "title": "SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES", + "params": [ + { + "id": "sc-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "sc-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "sc-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "sc-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SC-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"sc-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "sc.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eA system and communications protection policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "sc.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "sc.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "sc.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the system and communications protection policy and the associated system and communications protection controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "sc.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"sc-1_b\"/\u003e to manage the system and communications protection policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1b." + } + ] + }, + { + "class": "item", + "id": "sc.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current system and communications protection:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "sc.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"sc-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1c.1." + } + ] + }, + { + "class": "item", + "id": "sc.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"sc-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "sc.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the system and communications protection procedures implement the system and communications protection policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1d." + } + ] + }, + { + "class": "item", + "id": "sc.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the system and communications protection policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the SC family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.2", + "title": "APPLICATION PARTITIONING", + "props": [ + { + "class": "name", + "value": "SC-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eSeparate user functionality, including user interface services, from system management functionality.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem management functionality includes, for example, functions that are necessary to administer databases, network components, workstations, or servers. These functions typically require privileged user access. The separation of user functions from system management functions is either physical or logical. Organizations implement separation of system management functions from user functions, for example, by using different computers, instances of operating systems, central processing units, or network addresses; by employing virtualization techniques; or some combination of these or other methods. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other system resources. Separation of system and user functions may include isolating administrative interfaces on different domains and with additional access controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.8" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.22" + }, + { + "href": "#sc.32" + }, + { + "href": "#sc.39" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.2.1", + "title": "INTERFACES FOR NON-PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SC-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent the presentation of system management functionality at an interface for non-privileged users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement ensures that system administration options including administrator privileges, are not available to general users. This type of restricted access also prohibits the use of the grey-out option commonly used to eliminate accessibility to such information. One potential solution is to withhold administration options until users establish sessions with administrator privileges.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.3", + "title": "SECURITY FUNCTION ISOLATION", + "props": [ + { + "class": "name", + "value": "SC-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIsolate security functions from nonsecurity functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe system isolates security functions from nonsecurity functions by means of an isolation boundary implemented via partitions and domains. Such isolation controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Systems implement code separation in many ways, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that protect the code on disk and address space protections that protect executing code. Systems can restrict access to security functions using access control mechanisms and by implementing least privilege capabilities. While the ideal is for all code within the defined security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.25" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.4" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.5" + }, + { + "href": "#sa.8" + }, + { + "href": "#sa.15" + }, + { + "href": "#sa.17" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.32" + }, + { + "href": "#sc.39" + }, + { + "href": "#si.16" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.3.1", + "title": "HARDWARE SEPARATION", + "props": [ + { + "class": "name", + "value": "SC-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUse hardware separation mechanisms to implement security function isolation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHardware separation mechanisms include, for example, hardware ring architectures that are commonly implemented within microprocessors, and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable).\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.3.2", + "title": "ACCESS AND FLOW CONTROL FUNCTIONS", + "props": [ + { + "class": "name", + "value": "SC-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIsolate security functions enforcing access and information flow control from nonsecurity functions and from other security functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity function isolation occurs because of implementation. The functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include, for example, auditing, intrusion detection, and anti-virus functions.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.3.3", + "title": "MINIMIZE NONSECURITY FUNCTIONALITY", + "props": [ + { + "class": "name", + "value": "SC-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMinimize the number of nonsecurity functions included within the isolation boundary containing security functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn those instances where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize the nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or the maliciousness in such software, can directly impact the security functions of systems. The fundamental design objective is that the specific portions of systems providing information security are of minimal size and complexity. Minimizing the number of nonsecurity functions in the security-relevant system components allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing nonsecurity functions within the isolation boundaries, the amount of code that must be trusted to enforce security policies is significantly reduced, thus contributing to understandability.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.3.4", + "title": "MODULE COUPLING AND COHESIVENESS", + "props": [ + { + "class": "name", + "value": "SC-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe reduction in inter-module interactions helps to constrain security functions and to manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between different functions within a module. Best practices in software engineering rely on layering, minimization, and modular decomposition to reduce and manage complexity. This produces software modules that are highly cohesive and loosely coupled.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.3.5", + "title": "LAYERED STRUCTURES", + "props": [ + { + "class": "name", + "value": "SC-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) further enables the isolation of security functions and management of complexity.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.4", + "title": "INFORMATION IN SHARED SYSTEM RESOURCES", + "props": [ + { + "class": "name", + "value": "SC-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent unauthorized and unintended information transfer via shared system resources.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control prevents information produced by the actions of prior users or roles (or the actions of processes acting on behalf of prior users or roles) from being available to current users or roles (or current processes acting on behalf of current users or roles) that obtain access to shared system resources after those resources have been released back to the system. This control also applies to encrypted representations of information. The control of information in shared system resources is referred to as object reuse and residual information protection. This control does not address information remanence which refers to the residual representation of data that has been nominally deleted; covert channels (including storage and timing channels) where shared system resources are manipulated to violate information flow restrictions; or components within systems for which there are only single users or roles.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.4.1", + "title": "SECURITY LEVELS", + "props": [ + { + "class": "name", + "value": "SC-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.4.2", + "title": "MULTILEVEL OR PERIODS PROCESSING", + "props": [ + { + "class": "name", + "value": "SC-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent unauthorized information transfer via shared resources in accordance with \u003cinsert param-id=\"sc-4_a\"/\u003e when system processing explicitly switches between different information classification levels or security categories.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies when there are explicit changes in information processing levels during system operations. This situation can occur, for example, during multilevel or periods processing with information at different classification levels or security categories. Organization-defined procedures may include, for example, approved sanitization processes for electronically stored information.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-4_a", + "desc": "organization-defined procedures", + "value": "organization-defined procedures" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.5", + "title": "DENIAL OF SERVICE PROTECTION", + "params": [ + { + "id": "sc-5_a", + "desc": "organization-defined types of denial of service events or references to sources for such information", + "value": "organization-defined types of denial of service events or references to sources for such information" + }, + { + "id": "sc-5_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect against or limit the effects of the following types of denial of service events: \u003cinsert param-id=\"sc-5_a\"/\u003e by employing \u003cinsert param-id=\"sc-5_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDenial of service may occur because of an attack by an adversary or a lack of internal planning to support organizational needs with respect to capacity and bandwidth. There are a variety of technologies available to limit or eliminate the effects of denial of service events. For example, boundary protection devices can filter certain types of packets to protect system components on internal networks from being directly affected by denial of service attacks. Employing increased network capacity and bandwidth combined with service redundancy also reduces the susceptibility to denial of service events.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#ir.4" + }, + { + "href": "#sc.6" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.40" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.5.1", + "title": "RESTRICT INTERNAL USERS", + "props": [ + { + "class": "name", + "value": "SC-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRestrict the ability of individuals to launch \u003cinsert param-id=\"sc-5_c\"/\u003e against other systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRestricting the ability of individuals to launch denial of service attacks requires that the mechanisms commonly used for such attacks are unavailable. Individuals of concern can include, for example, hostile insiders or external adversaries that have breached or compromised the system and are subsequently using the system to launch attacks on other individuals or organizations. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., wired or wireless networks). Organizations can also limit the ability of individuals to use excessive system resources. Protection against individuals having the ability to launch denial of service attacks may be implemented on specific systems or on boundary devices prohibiting egress to potential target systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-5_c", + "desc": "organization-defined denial of service attacks", + "value": "organization-defined denial of service attacks" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.5.2", + "title": "CAPACITY, BANDWIDTH, AND REDUNDANCY", + "props": [ + { + "class": "name", + "value": "SC-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eManage capacity, bandwidth, or other redundancy to limit the effects of information flooding denial of service attacks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eManaging capacity ensures that sufficient capacity is available to counter flooding attacks. Managing capacity may include, for example, establishing selected usage priorities, quotas, or partitioning.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.5.3", + "title": "DETECTION AND MONITORING", + "props": [ + { + "class": "name", + "value": "SC-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.5.3.a", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sc-5_d\"/\u003e to detect indicators of denial of service attacks against the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "sc.5.3.b", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor \u003cinsert param-id=\"sc-5_e\"/\u003e to determine if sufficient resources exist to prevent effective denial of service attacks.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-5 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider utilization and capacity of system resources when managing risk from denial of service due to malicious attacks. Denial of service attacks can originate from external or internal sources. System resources sensitive to denial of service include, for example, physical disk storage, memory, and CPU cycles. Examples of common safeguards used to prevent denial of service attacks related to storage utilization and capacity include, instituting disk quotas; configuring systems to automatically alert administrators when specific storage capacity thresholds are reached; using file compression technologies to maximize available storage space; and imposing separate partitions for system and user data.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#si.4" + } + ] + } + ], + "params": [ + { + "id": "sc-5_d", + "desc": "organization-defined monitoring tools", + "value": "organization-defined monitoring tools" + }, + { + "id": "sc-5_e", + "desc": "organization-defined system resources", + "value": "organization-defined system resources" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.6", + "title": "RESOURCE AVAILABILITY", + "params": [ + { + "id": "sc-6_a", + "desc": "organization-defined resources", + "value": "organization-defined resources" + }, + { + "id": "sc-6_b", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect the availability of resources by allocating \u003cinsert param-id=\"sc-6_a\"/\u003e by [Selection (one or more); priority; quota; \u003cinsert param-id=\"sc-6_b\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePriority protection prevents lower-priority processes from delaying or interfering with the system servicing higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to system components for which there are only single users or roles.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.5" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.7", + "title": "BOUNDARY PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-7" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.7a", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor and control communications at the external boundary of the system and at key internal boundaries within the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7a." + } + ] + }, + { + "class": "item", + "id": "sc.7b", + "prose": [ + "\u003cp class=\"description\"\u003eImplement subnetworks for publicly accessible system components that are [Selection: physically; logically] separated from internal organizational networks; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7b." + } + ] + }, + { + "class": "item", + "id": "sc.7c", + "prose": [ + "\u003cp class=\"description\"\u003eConnect to external networks or systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eManaged interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture. Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Commercial telecommunications services are typically provided by network components and consolidated management systems shared by customers. These services may also include third party-provided access lines and other service elements. Such services may represent sources of increased risk despite contract security provisions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#ac.20" + }, + { + "href": "#au.13" + }, + { + "href": "#ca.3" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.7" + }, + { + "href": "#cm.10" + }, + { + "href": "#cp.8" + }, + { + "href": "#cp.10" + }, + { + "href": "#ir.4" + }, + { + "href": "#ma.4" + }, + { + "href": "#pe.3" + }, + { + "href": "#pm.12" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.19" + }, + { + "href": "#sc.32" + }, + { + "href": "#sc.43" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.7.1", + "title": "PHYSICALLY SEPARATED SUBNETWORKS", + "props": [ + { + "class": "name", + "value": "SC-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.2", + "title": "PUBLIC ACCESS", + "props": [ + { + "class": "name", + "value": "SC-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.3", + "title": "ACCESS POINTS", + "props": [ + { + "class": "name", + "value": "SC-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eLimit the number of external network connections to the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLimiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection initiative is an example of limiting the number of external network connections.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.4", + "title": "EXTERNAL TELECOMMUNICATIONS SERVICES", + "props": [ + { + "class": "name", + "value": "SC-7 (4)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.7.4.a", + "prose": [ + "\u003cp class=\"description\"\u003eImplement a managed interface for each external telecommunication service;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "sc.7.4.b", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish a traffic flow policy for each managed interface;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(b)" + } + ] + }, + { + "class": "item", + "id": "sc.7.4.c", + "prose": [ + "\u003cp class=\"description\"\u003eProtect the confidentiality and integrity of the information being transmitted across each interface;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(c)" + } + ] + }, + { + "class": "item", + "id": "sc.7.4.d", + "prose": [ + "\u003cp class=\"description\"\u003eDocument each exception to the traffic flow policy with a supporting mission/business need and duration of that need; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(d)" + } + ] + }, + { + "class": "item", + "id": "sc.7.4.e", + "prose": [ + "\u003cp class=\"description\"\u003eReview exceptions to the traffic flow policy \u003cinsert param-id=\"sc-7_a\"/\u003e and removes exceptions that are no longer supported by an explicit mission/business need.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)(e)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#sc.8" + } + ] + } + ], + "params": [ + { + "id": "sc-7_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.5", + "title": "DENY BY DEFAULT — ALLOW BY EXCEPTION", + "props": [ + { + "class": "name", + "value": "SC-7 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDeny network communications traffic by default and allow network communications traffic by exception at managed interfaces.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those system connections which are essential and approved are allowed. This requirement differs from CA-3(5) in that it applies to any type of network communications while CA-3(5) is applied to a system that is interconnected with another system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.6", + "title": "RESPONSE TO RECOGNIZED FAILURES", + "props": [ + { + "class": "name", + "value": "SC-7 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-7(18)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SC-7(18)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.7", + "title": "PREVENT SPLIT TUNNELING FOR REMOTE DEVICES", + "props": [ + { + "class": "name", + "value": "SC-7 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent a remote device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is implemented in remote devices including, for example, notebook computers, through configuration settings to disable split tunneling in those devices, and by preventing those configuration settings from being readily configurable by users. This control enhancement is implemented within the system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local system resources such as printers or file servers. However, split tunneling can allow unauthorized external connections, making the system more vulnerable to attack and to exfiltration of organizational information. The use of VPNs for remote connections, when adequately provisioned with the appropriate security controls, may provide the organization with sufficient assurance that it can effectively treat such connections as non-remote connections with respect to the objectives of confidentiality and integrity. VPNs provide a means for allowing non-remote communications paths from remote devices. The use of an adequately provisioned VPN does not eliminate the need for preventing split tunneling.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.8", + "title": "ROUTE TRAFFIC TO AUTHENTICATED PROXY SERVERS", + "props": [ + { + "class": "name", + "value": "SC-7 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRoute \u003cinsert param-id=\"sc-7_b\"/\u003e to \u003cinsert param-id=\"sc-7_c\"/\u003e through authenticated proxy servers at managed interfaces.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal networks are networks outside of organizational control. A proxy server is a server (i.e., system or application) that acts as an intermediary for clients requesting system resources from non-organizational or other organizational servers. These system resources can include, for example, files, connections, web pages, or services. Client requests established through an initial connection to the proxy server are evaluated to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers can support logging of individual Transmission Control Protocol sessions and blocking specific Uniform Resource Locators, Internet Protocol addresses, and domain names. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + } + ] + } + ], + "params": [ + { + "id": "sc-7_b", + "desc": "organization-defined internal communications traffic", + "value": "organization-defined internal communications traffic" + }, + { + "id": "sc-7_c", + "desc": "organization-defined external networks", + "value": "organization-defined external networks" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.9", + "title": "RESTRICT THREATENING OUTGOING COMMUNICATIONS TRAFFIC", + "props": [ + { + "class": "name", + "value": "SC-7 (9)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.7.9.a", + "prose": [ + "\u003cp class=\"description\"\u003eDetect and deny outgoing communications traffic posing a threat to external systems; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (9)(a)" + } + ] + }, + { + "class": "item", + "id": "sc.7.9.b", + "prose": [ + "\u003cp class=\"description\"\u003eAudit the identity of internal users associated with denied communications.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (9)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetecting outgoing communications traffic from internal actions that may pose threats to external systems is known as extrusion detection. Extrusion detection is carried out at system boundaries as part of managed interfaces. This capability includes the analysis of incoming and outgoing communications traffic while searching for indications of internal threats to the security of external systems. Such threats include, for example, traffic indicative of denial of service attacks and traffic containing malicious code.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#sc.5" + }, + { + "href": "#sc.38" + }, + { + "href": "#sc.44" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.10", + "title": "PREVENT EXFILTRATION", + "props": [ + { + "class": "name", + "value": "SC-7 (10)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.7.10.a", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent the exfiltration of information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (10)(a)" + } + ] + }, + { + "class": "item", + "id": "sc.7.10.b", + "prose": [ + "\u003cp class=\"description\"\u003eConduct exfiltration tests \u003cinsert param-id=\"sc-7_d\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (10)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to intentional and unintentional exfiltration of information. Safeguards to prevent exfiltration of information from systems may be implemented at internal endpoints, external boundaries, and across managed interfaces and include, for example, strict adherence to protocol formats; monitoring for beaconing activity from systems; monitoring for steganography; disconnecting external network interfaces except when explicitly needed; disassembling and reassembling packet headers; employing traffic profile analysis to detect deviations from the volume and types of traffic expected within organizations or call backs to command and control centers; and implementing data loss and data leakage prevention tools. Devices that enforce strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. This control enhancement is analogous with data loss/data leakage prevention and is closely associated with cross-domain solutions and system guards enforcing information flow requirements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + } + ] + } + ], + "params": [ + { + "id": "sc-7_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.11", + "title": "RESTRICT INCOMING COMMUNICATIONS TRAFFIC", + "props": [ + { + "class": "name", + "value": "SC-7 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eOnly allow incoming communications from \u003cinsert param-id=\"sc-7_e\"/\u003e to be routed to \u003cinsert param-id=\"sc-7_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides determinations that source and destination address pairs represent authorized/allowed communications. Such determinations can be based on several factors including, for example, the presence of such address pairs in the lists of authorized/allowed communications; the absence of such address pairs in lists of unauthorized/disallowed pairs; or meeting more general rules for authorized/allowed source and destination pairs.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + } + ] + } + ], + "params": [ + { + "id": "sc-7_e", + "desc": "organization-defined authorized sources", + "value": "organization-defined authorized sources" + }, + { + "id": "sc-7_f", + "desc": "organization-defined authorized destinations", + "value": "organization-defined authorized destinations" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.12", + "title": "HOST-BASED PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-7 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"sc-7_g\"/\u003e at \u003cinsert param-id=\"sc-7_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHost-based boundary protection mechanisms include, for example, host-based firewalls. Examples of system components employing host-based boundary protection mechanisms include servers, workstations, notebook computers, and mobile devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-7_g", + "desc": "organization-defined host-based boundary protection mechanisms", + "value": "organization-defined host-based boundary protection mechanisms" + }, + { + "id": "sc-7_h", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.13", + "title": "ISOLATION OF SECURITY TOOLS, MECHANISMS, AND SUPPORT COMPONENTS", + "props": [ + { + "class": "name", + "value": "SC-7 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIsolate \u003cinsert param-id=\"sc-7_i\"/\u003e from other internal system components by implementing physically separate subnetworks with managed interfaces to other components of the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysically separate subnetworks with managed interfaces are useful, for example, in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques of organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.2" + }, + { + "href": "#sc.3" + } + ] + } + ], + "params": [ + { + "id": "sc-7_i", + "desc": "organization-defined information security tools, mechanisms, and support components", + "value": "organization-defined information security tools, mechanisms, and support components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.14", + "title": "PROTECTS AGAINST UNAUTHORIZED PHYSICAL CONNECTIONS", + "props": [ + { + "class": "name", + "value": "SC-7 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect against unauthorized physical connections at \u003cinsert param-id=\"sc-7_j\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystems operating at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within the same facilities. In practice, it is possible that these separate systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pe.4" + }, + { + "href": "#pe.19" + } + ] + } + ], + "params": [ + { + "id": "sc-7_j", + "desc": "organization-defined managed interfaces", + "value": "organization-defined managed interfaces" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.15", + "title": "ROUTE PRIVILEGED NETWORK ACCESSES", + "props": [ + { + "class": "name", + "value": "SC-7 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRoute all networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#au.2" + }, + { + "href": "#si.4" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.16", + "title": "PREVENT DISCOVERY OF COMPONENTS AND DEVICES", + "props": [ + { + "class": "name", + "value": "SC-7 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent the discovery of specific system components that represent a managed interface.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects network addresses of system components that are part of managed interfaces from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery, requiring prior knowledge for access. This can be accomplished by not publishing network addresses or entering the addresses in domain name systems. Another obfuscation technique is to periodically change network addresses.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.17", + "title": "AUTOMATED ENFORCEMENT OF PROTOCOL FORMATS", + "props": [ + { + "class": "name", + "value": "SC-7 (17)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnforce adherence to protocol formats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExamples of system components that enforce protocol formats include deep packet inspection firewalls and XML gateways. Such components verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices operating at the network or transport layers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.4" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.18", + "title": "FAIL SECURE", + "props": [ + { + "class": "name", + "value": "SC-7 (18)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent systems from entering unsecure states in the event of an operational failure of a boundary protection device.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFail secure is a condition achieved by employing system mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces, systems do not enter into unsecure states where intended security properties no longer hold. Examples of managed interfaces include routers, firewalls, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.12" + }, + { + "href": "#sc.24" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.19", + "title": "BLOCK COMMUNICATION FROM NON-ORGANIZATIONALLY CONFIGURED HOSTS", + "props": [ + { + "class": "name", + "value": "SC-7 (19)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eBlock inbound and outbound communications traffic between \u003cinsert param-id=\"sc-7_k\"/\u003e that are independently configured by end users and external service providers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCommunication clients independently configured by end users and external service providers include, for example, instant messaging clients. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-7_k", + "desc": "organization-defined communication clients", + "value": "organization-defined communication clients" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.20", + "title": "DYNAMIC ISOLATION AND SEGREGATION", + "props": [ + { + "class": "name", + "value": "SC-7 (20)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide the capability to dynamically isolate or segregate \u003cinsert param-id=\"sc-7_l\"/\u003e from other system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe capability to dynamically isolate or segregate certain internal components of organizational systems is useful when it is necessary to partition or separate certain system components of questionable origin from those components possessing greater trustworthiness. Component isolation reduces the attack surface of organizational systems. Isolating selected system components can also limit the damage from successful attacks when such attacks occur.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-7_l", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.21", + "title": "ISOLATION OF SYSTEM COMPONENTS", + "props": [ + { + "class": "name", + "value": "SC-7 (21)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy boundary protection mechanisms to separate \u003cinsert param-id=\"sc-7_m\"/\u003e supporting \u003cinsert param-id=\"sc-7_n\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can isolate system components performing different missions or business functions. Such isolation limits unauthorized information flows among system components and provides the opportunity to deploy greater levels of protection for selected system components. Separating system components with boundary protection mechanisms provides the capability for increased protection of individual components and to more effectively control information flows between those components. This type of enhanced protection limits the potential harm from hostile attacks and errors. The degree of separation provided varies depending upon the mechanisms chosen. Boundary protection mechanisms include, for example, routers, gateways, and firewalls separating system components into physically separate networks or subnetworks; cross-domain devices separating subnetworks; virtualization techniques; and encrypting information flows among system components using distinct encryption keys.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.9" + }, + { + "href": "#sc.3" + } + ] + } + ], + "params": [ + { + "id": "sc-7_m", + "desc": "organization-defined system components", + "value": "organization-defined system components" + }, + { + "id": "sc-7_n", + "desc": "organization-defined missions and/or business functions", + "value": "organization-defined missions and/or business functions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.22", + "title": "SEPARATE SUBNETS FOR CONNECTING TO DIFFERENT SECURITY DOMAINS", + "props": [ + { + "class": "name", + "value": "SC-7 (22)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement separate network addresses to connect to systems in different security domains.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe decomposition of systems into subnetworks (subnets) helps to provide the appropriate level of protection for network connections to different security domains containing information with different security categories or classification levels.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.23", + "title": "DISABLE SENDER FEEDBACK ON PROTOCOL VALIDATION FAILURE", + "props": [ + { + "class": "name", + "value": "SC-7 (23)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDisable feedback to senders on protocol format validation failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDisabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information which would otherwise be unavailable.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.7.24", + "title": "PERSONALLY IDENTIFIABLE INFORMATION", + "props": [ + { + "class": "name", + "value": "SC-7 (24)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eFor systems that process, store, or transmit personally identifiable information:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sc.7.24.a", + "prose": [ + "\u003cp class=\"description\"\u003eApply \u003cinsert param-id=\"sc-7_o\"/\u003e to data elements of personally identifiable information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (24)(a)" + } + ] + }, + { + "class": "item", + "id": "sc.7.24.b", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor for permitted processing at the external boundary of the system and at key internal boundaries within the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (24)(b)" + } + ] + }, + { + "class": "item", + "id": "sc.7.24.c", + "prose": [ + "\u003cp class=\"description\"\u003eDocument each processing exception; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (24)(c)" + } + ] + }, + { + "class": "item", + "id": "sc.7.24.d", + "prose": [ + "\u003cp class=\"description\"\u003eReview and remove exceptions that are no longer supported.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-7 (24)(d)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eManaging the transmission of personally identifiable information and how such information is used is an important aspect of safeguarding an individual\u0026#x92;s privacy. Processing rules that determine how or when personally identifiable information may be used or transmitted ensures that such information is used or transmitted only in accordance with established privacy requirements.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.15" + } + ] + } + ], + "params": [ + { + "id": "sc-7_o", + "desc": "organization-defined processing rules", + "value": "organization-defined processing rules" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-41", + "value": "NIST Special Publication 800-41" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-77", + "value": "NIST Special Publication 800-77" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.8", + "title": "TRANSMISSION CONFIDENTIALITY AND INTEGRITY", + "props": [ + { + "class": "name", + "value": "SC-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect the [Selection (one or more): confidentiality; integrity] of transmitted information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to internal and external networks and any system components that can transmit information including, for example, servers, notebook computers, desktop computers, mobile devices, printers, copiers, scanners, facsimile machines, and radios. Unprotected communication paths are exposed to the possibility of interception and modification. Protecting the confidentiality and integrity of information can be accomplished by physical means or by logical means. Physical protection can be achieved by employing protected distribution systems. Logical protection can be achieved by employing encryption techniques. Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services, may find it difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality and integrity. In such situations, organizations determine what types of confidentiality/integrity services are available in standard, commercial telecommunication service packages. If it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, organizations can implement appropriate compensating security controls or explicitly accept the additional risk.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#au.10" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.8" + }, + { + "href": "#ia.9" + }, + { + "href": "#ma.4" + }, + { + "href": "#pe.4" + }, + { + "href": "#sa.4" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.16" + }, + { + "href": "#sc.20" + }, + { + "href": "#sc.23" + }, + { + "href": "#sc.28" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.8.1", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement cryptographic mechanisms to [Selection (one or more): prevent unauthorized disclosure of information; detect changes to information] during transmission.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEncrypting information for transmission protects information from unauthorized disclosure and modification. Cryptographic mechanisms implemented to protect information integrity include, for example, cryptographic hash functions which have common application in digital signatures, checksums, and message authentication codes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.8.2", + "title": "PRE- AND POST-TRANSMISSION HANDLING", + "props": [ + { + "class": "name", + "value": "SC-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain the [Selection (one or more): confidentiality; integrity] of information during preparation for transmission and during reception.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation can be either unintentionally or maliciously disclosed or modified during preparation for transmission or during reception including, for example, during aggregation, at protocol transformation points, and during packing and unpacking. These unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.10" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.8.3", + "title": "CRYPTOGRAPHIC PROTECTION FOR MESSAGE EXTERNALS", + "props": [ + { + "class": "name", + "value": "SC-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement cryptographic mechanisms to protect message externals unless otherwise protected by \u003cinsert param-id=\"sc-8_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses protection against unauthorized disclosure of information. Message externals include, for example, message headers and routing information. This control enhancement prevents the exploitation of message externals and applies to internal and external networks or links that may be visible to individuals who are not authorized users. Header and routing information is sometimes transmitted in the clear (i.e., unencrypted) because the information is not properly identified by organizations as having significant value or because encrypting the information can result in lower network performance or higher costs. Alternative physical safeguards include, for example, protected distribution systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + } + ], + "params": [ + { + "id": "sc-8_a", + "desc": "organization-defined alternative physical safeguards", + "value": "organization-defined alternative physical safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.8.4", + "title": "CONCEAL OR RANDOMIZE COMMUNICATIONS", + "props": [ + { + "class": "name", + "value": "SC-8 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by \u003cinsert param-id=\"sc-8_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses protection against unauthorized disclosure of information. Communication patterns include, for example, frequency, periods, amount, and predictability. Changes to communications patterns can reveal information having intelligence value especially when combined with other available information related to the missions and business functions supported by organizational systems. This control enhancement prevents the derivation of intelligence based on communications patterns and applies to internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed or random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical safeguards include, for example, protected distribution systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + } + ], + "params": [ + { + "id": "sc-8_b", + "desc": "organization-defined alternative physical safeguards", + "value": "organization-defined alternative physical safeguards" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#197", + "value": "FIPS Publication 197" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-52", + "value": "NIST Special Publication 800-52" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-77", + "value": "NIST Special Publication 800-77" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-81", + "value": "NIST Special Publication 800-81" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-113", + "value": "NIST Special Publication 800-113" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.9", + "title": "TRANSMISSION CONFIDENTIALITY", + "props": [ + { + "class": "name", + "value": "SC-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.8" + } + ] + }, + { + "class": "SP800-53", + "id": "sc.10", + "title": "NETWORK DISCONNECT", + "params": [ + { + "id": "sc-10_a", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ], + "props": [ + { + "class": "name", + "value": "SC-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTerminate the network connection associated with a communications session at the end of the session or after \u003cinsert param-id=\"sc-10_a\"/\u003e of inactivity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to internal and external networks. Terminating network connections associated with specific communications sessions include, for example, de-allocating associated TCP/IP address or port pairs at the operating system level and de-allocating networking assignments at the application level if multiple application sessions are using a single operating system-level network connection. Periods of inactivity may be established by organizations and include, for example, time-periods by type of network access or for specific network accesses.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#sc.23" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.11", + "title": "TRUSTED PATH", + "params": [ + { + "id": "sc-11_a", + "desc": "organization-defined security functions", + "value": "organization-defined security functions" + } + ], + "props": [ + { + "class": "name", + "value": "SC-11" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.11a", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a [Selection: physically; logically] isolated trusted communications path for communications between the user and the trusted components of the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-11a." + } + ] + }, + { + "class": "item", + "id": "sc.11b", + "prose": [ + "\u003cp class=\"description\"\u003ePermit users to invoke the trusted communications path for communications between the user and the following security functions of the system, including at a minimum, authentication and re-authentication: \u003cinsert param-id=\"sc-11_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-11b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTrusted paths are mechanisms by which users (through input devices) can communicate directly with security functions of systems with the requisite assurance to support security policies. These mechanisms can be activated only by users or the security functions of organizational systems. User responses via trusted paths are protected from modifications by or disclosure to untrusted applications. Organizations employ trusted paths for trustworthy, high-assurance connections between security functions of systems and users including, for example, during system logons. The original implementations of trusted path used an out-of-band signal to initiate the path, for example using the \u0026lt;BREAK\u0026gt; key, which does not transmit characters that can be spoofed. In later implementations, a key combination that could not be hijacked was used, for example, the \u0026lt;CTRL\u0026gt; + \u0026lt;ALT\u0026gt; + \u0026lt;DEL\u0026gt; keys. Note, however, that any such key combinations are platform-specific and may not provide a trusted path implementation in every case. Enforcement of trusted communications paths is typically provided by a specific implementation that meets the reference monitor concept.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.16" + }, + { + "href": "#ac.25" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.23" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.11.1", + "title": "LOGICAL ISOLATION", + "props": [ + { + "class": "name", + "value": "SC-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.11.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a trusted communications path that is irrefutably distinguishable from other communications paths; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-11 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "sc.11.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eInitiate the trusted communications path for communications between the following security functions of the system and the user \u003cinsert param-id=\"sc-11_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-11 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis enhancement permits the system to initiate a trusted path which necessitates that the user can unmistakably recognize the source of the communication as a trusted system component. For example, the trusted path may appear in an area of the display that other applications cannot access, or be based on the presence of an identifier that cannot be spoofed.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-11_b", + "desc": "organization-defined security functions", + "value": "organization-defined security functions" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.12", + "title": "CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT", + "params": [ + { + "id": "sc-12_a", + "desc": "organization-defined requirements for key generation, distribution, storage, access, and destruction", + "value": "organization-defined requirements for key generation, distribution, storage, access, and destruction" + } + ], + "props": [ + { + "class": "name", + "value": "SC-12" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish and manage cryptographic keys for required cryptography employed within the system in accordance with \u003cinsert param-id=\"sc-12_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define their key management requirements in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines, specifying appropriate options, levels, and parameters. Organizations manage trust stores to ensure that only approved trust anchors are in such trust stores. This includes certificates with visibility external to organizational systems and certificates related to the internal operations of systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.17" + }, + { + "href": "#au.9" + }, + { + "href": "#au.10" + }, + { + "href": "#cm.3" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.7" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.9" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.11" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.17" + }, + { + "href": "#sc.20" + }, + { + "href": "#sc.37" + }, + { + "href": "#sc.40" + }, + { + "href": "#si.3" + }, + { + "href": "#si.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.12.1", + "title": "AVAILABILITY", + "props": [ + { + "class": "name", + "value": "SC-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain availability of information in the event of the loss of cryptographic keys by users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEscrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys. A forgotten passphrase is an example of losing a cryptographic key.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.12.2", + "title": "SYMMETRIC KEYS", + "props": [ + { + "class": "name", + "value": "SC-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProduce, control, and distribute symmetric cryptographic keys using [Selection: NIST FIPS-compliant; NSA-approved] key management technology and processes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.12.3", + "title": "ASYMMETRIC KEYS", + "props": [ + { + "class": "name", + "value": "SC-12 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProduce, control, and distribute asymmetric cryptographic keys using [Selection: NSA-approved key management technology and processes; approved DoD PKI Class 3 certificates; prepositioned keying material; approved DoD PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user\u0026#x92;s private key; certificates issued in accordance with organization-defined requirements].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.12.4", + "title": "PKI CERTIFICATES", + "props": [ + { + "class": "name", + "value": "SC-12 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.12" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.12.5", + "title": "PKI CERTIFICATES / HARDWARE TOKENS", + "props": [ + { + "class": "name", + "value": "SC-12 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.12" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.13", + "title": "CRYPTOGRAPHIC PROTECTION", + "params": [ + { + "id": "sc-13_a", + "desc": "organization-defined cryptographic uses and type of cryptography required for each use", + "value": "organization-defined cryptographic uses and type of cryptography required for each use" + } + ], + "props": [ + { + "class": "name", + "value": "SC-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement the following cryptographic uses and type of cryptography for each use: \u003cinsert param-id=\"sc-13_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptography can be employed to support a variety of security solutions including, for example, the protection of classified information and Controlled Unclassified Information; the provision and implementation of digital signatures; and the enforcement of information separation when authorized individuals have the necessary clearances but lack the necessary formal access approvals. Cryptography can also be used to support random number generation and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. This control does not impose any requirements on organizations to use cryptography. However, if cryptography is required due to the selection of other security controls, organizations define each type of cryptographic use and the type of cryptography required. For example, organizations that need to protect classified information specify the use of NSA-approved cryptography. Organizations that need to provision and implement digital signatures specify the use of FIPS-validated cryptography. In all instances, cryptography is implemented in accordance with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.7" + }, + { + "href": "#ac.17" + }, + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#au.9" + }, + { + "href": "#au.10" + }, + { + "href": "#cm.11" + }, + { + "href": "#cp.9" + }, + { + "href": "#ia.3" + }, + { + "href": "#ia.7" + }, + { + "href": "#ma.4" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#sa.4" + }, + { + "href": "#sa.9" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.20" + }, + { + "href": "#sc.23" + }, + { + "href": "#sc.28" + }, + { + "href": "#sc.40" + }, + { + "href": "#si.3" + }, + { + "href": "#si.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.13.1", + "title": "FIPS-VALIDATED CRYPTOGRAPHY", + "props": [ + { + "class": "name", + "value": "SC-13 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.13.2", + "title": "NSA-APPROVED CRYPTOGRAPHY", + "props": [ + { + "class": "name", + "value": "SC-13 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.13.3", + "title": "INDIVIDUALS WITHOUT FORMAL ACCESS APPROVALS", + "props": [ + { + "class": "name", + "value": "SC-13 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.13" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.13.4", + "title": "DIGITAL SIGNATURES", + "props": [ + { + "class": "name", + "value": "SC-13 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-13\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.13" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.14", + "title": "PUBLIC ACCESS PROTECTIONS", + "props": [ + { + "class": "name", + "value": "SC-14" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-2, AC-3, AC-5, AC-6, SI-3, SI-4, SI-5, SI-7, SI-10\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.5" + }, + { + "href": "#si.7" + }, + { + "href": "#si.10" + } + ] + }, + { + "class": "SP800-53", + "id": "sc.15", + "title": "COLLABORATIVE COMPUTING DEVICES AND APPLICATIONS", + "params": [ + { + "id": "sc-15_a", + "desc": "organization-defined exceptions where remote activation is to be allowed", + "value": "organization-defined exceptions where remote activation is to be allowed" + } + ], + "props": [ + { + "class": "name", + "value": "SC-15" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.15a", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit remote activation of collaborative computing devices and applications with the following exceptions: \u003cinsert param-id=\"sc-15_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15a." + } + ] + }, + { + "class": "item", + "id": "sc.15b", + "prose": [ + "\u003cp class=\"description\"\u003eProvide an explicit indication of use to users physically present at the devices.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-15b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCollaborative computing devices and applications include, for example, remote meeting devices and applications, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices and applications are activated.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.21" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.15.1", + "title": "PHYSICAL DISCONNECT", + "props": [ + { + "class": "name", + "value": "SC-15 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide physical disconnect of collaborative computing devices in a manner that supports ease of use.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailing to physically disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to physically disconnect from such devices after a collaborative computing session ensures that participants carry out the disconnect activity without having to go through complex and tedious procedures.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.15.2", + "title": "BLOCKING INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC", + "props": [ + { + "class": "name", + "value": "SC-15 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.15.3", + "title": "DISABLING AND REMOVAL IN SECURE WORK AREAS", + "props": [ + { + "class": "name", + "value": "SC-15 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDisable or remove collaborative computing devices and applications from \u003cinsert param-id=\"sc-15_b\"/\u003e in \u003cinsert param-id=\"sc-15_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailing to disable or remove collaborative computing devices and applications from systems or system components can result in subsequent compromises of organizational information including, for example, eavesdropping on conversations.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-15_b", + "desc": "organization-defined systems or system components", + "value": "organization-defined systems or system components" + }, + { + "id": "sc-15_c", + "desc": "organization-defined secure work areas", + "value": "organization-defined secure work areas" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.15.4", + "title": "EXPLICITLY INDICATE CURRENT PARTICIPANTS", + "props": [ + { + "class": "name", + "value": "SC-15 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide an explicit indication of current participants in \u003cinsert param-id=\"sc-15_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement helps to prevent unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-15_d", + "desc": "organization-defined online meetings and teleconferences", + "value": "organization-defined online meetings and teleconferences" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.16", + "title": "TRANSMISSION OF SECURITY AND PRIVACY ATTRIBUTES", + "params": [ + { + "id": "sc-16_a", + "desc": "organization-defined security and privacy attributes", + "value": "organization-defined security and privacy attributes" + } + ], + "props": [ + { + "class": "name", + "value": "SC-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAssociate \u003cinsert param-id=\"sc-16_a\"/\u003e with information exchanged between systems and between system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity and privacy attributes can be explicitly or implicitly associated with the information contained in systems or system components. Attributes are an abstraction representing the basic properties or characteristics of an entity with respect to safeguarding information or the management of personally identifiable information. Attributes are typically associated with internal data structures including, for example, records, buffers, files within the information system. Security and privacy attributes are used to implement access control and flow control policies; reflect special dissemination, management, or distribution instructions, including permitted uses of personally identifiable information; or support other aspects of the information security and privacy policies. Privacy attributes may be used independently, or in conjunction with security attributes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.16" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.16.1", + "title": "INTEGRITY VALIDATION", + "props": [ + { + "class": "name", + "value": "SC-16 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eValidate the integrity of transmitted security and privacy attributes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement ensures that the integrity verification of transmitted information includes security and privacy attributes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.10" + }, + { + "href": "#sc.8" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.17", + "title": "PUBLIC KEY INFRASTRUCTURE CERTIFICATES", + "params": [ + { + "id": "sc-17_a", + "desc": "organization-defined certificate policy", + "value": "organization-defined certificate policy" + } + ], + "props": [ + { + "class": "name", + "value": "SC-17" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIssue public key certificates under an \u003cinsert param-id=\"sc-17_a\"/\u003e or obtain public key certificates from an approved service provider.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor all certificates, organizations manage system trust stores to ensure only approved trust anchors are in the trust stores. This control addresses certificates with visibility external to organizational systems and certificates related to the internal operations of systems, for example, application-specific time services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.10" + }, + { + "href": "#ia.5" + }, + { + "href": "#sc.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-32", + "value": "NIST Special Publication 800-32" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-63", + "value": "NIST Special Publication 800-63" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.18", + "title": "MOBILE CODE", + "props": [ + { + "class": "name", + "value": "SC-18" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.18a", + "prose": [ + "\u003cp class=\"description\"\u003eDefine acceptable and unacceptable mobile code and mobile code technologies;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18a." + } + ] + }, + { + "class": "item", + "id": "sc.18b", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18b." + } + ] + }, + { + "class": "item", + "id": "sc.18c", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize, monitor, and control the use of mobile code within the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-18c." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDecisions regarding the use of mobile code within organizational systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidelines apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices including, for example, notebook computers and smart phones. Mobile code policy and procedures address the specific actions taken to prevent the development, acquisition, and introduction of unacceptable mobile code within organizational systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.12" + }, + { + "href": "#cm.2" + }, + { + "href": "#cm.6" + }, + { + "href": "#si.3" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.18.1", + "title": "IDENTIFY UNACCEPTABLE CODE AND TAKE CORRECTIVE ACTIONS", + "props": [ + { + "class": "name", + "value": "SC-18 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify \u003cinsert param-id=\"sc-18_a\"/\u003e and take \u003cinsert param-id=\"sc-18_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrective actions when unacceptable mobile code is detected include, for example, blocking, quarantine, or alerting administrators. Blocking includes, for example, preventing transmission of word processing files with embedded macros when such macros have been defined to be unacceptable mobile code.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-18_a", + "desc": "organization-defined unacceptable mobile code", + "value": "organization-defined unacceptable mobile code" + }, + { + "id": "sc-18_b", + "desc": "organization-defined corrective actions", + "value": "organization-defined corrective actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.18.2", + "title": "ACQUISITION, DEVELOPMENT, AND USE", + "props": [ + { + "class": "name", + "value": "SC-18 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that the acquisition, development, and use of mobile code to be deployed in the system meets \u003cinsert param-id=\"sc-18_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-18_c", + "desc": "organization-defined mobile code requirements", + "value": "organization-defined mobile code requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.18.3", + "title": "PREVENT DOWNLOADING AND EXECUTION", + "props": [ + { + "class": "name", + "value": "SC-18 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent the download and execution of \u003cinsert param-id=\"sc-18_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-18_d", + "desc": "organization-defined unacceptable mobile code", + "value": "organization-defined unacceptable mobile code" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.18.4", + "title": "PREVENT AUTOMATIC EXECUTION", + "props": [ + { + "class": "name", + "value": "SC-18 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent the automatic execution of mobile code in \u003cinsert param-id=\"sc-18_e\"/\u003e and enforce \u003cinsert param-id=\"sc-18_f\"/\u003e prior to executing the code.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eActions enforced before executing mobile code, include, for example, prompting users prior to opening electronic mail attachments. 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Systems that provide name and address resolution services include, for example, domain name system (DNS) servers. Additional artifacts include, for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples of authoritative data. The means to indicate the security status of child zones includes, for example, the use of delegation signer resource records in the DNS. Systems that use technologies other than the DNS to map between host and service names and network addresses provide other means to assure the authenticity and integrity of response data.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.10" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.21" + }, + { + "href": "#sc.22" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.20.1", + "title": "CHILD SUBSPACES", + "props": [ + { + "class": "name", + "value": "SC-20 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-20\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.20" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.20.2", + "title": "DATA ORIGIN AND INTEGRITY", + "props": [ + { + "class": "name", + "value": "SC-20 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide data origin and integrity protection artifacts for internal name/address resolution queries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-81", + "value": "NIST Special Publication 800-81" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.21", + "title": "SECURE NAME/ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)", + "props": [ + { + "class": "name", + "value": "SC-21" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequest and perform data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEach client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Systems that provide name and address resolution services for local clients include, for example, recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Systems that use technologies other than the DNS to map between host/service names and network addresses provide some other means to enable clients to verify the authenticity and integrity of response data.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.20" + }, + { + "href": "#sc.22" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.21.1", + "title": "DATA ORIGIN AND INTEGRITY", + "props": [ + { + "class": "name", + "value": "SC-21 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-21\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.21" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-81", + "value": "NIST Special Publication 800-81" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.22", + "title": "ARCHITECTURE AND PROVISIONING FOR NAME/ADDRESS RESOLUTION SERVICE", + "props": [ + { + "class": "name", + "value": "SC-22" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure the systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal and external role separation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystems that provide name and address resolution services include, for example, domain name system (DNS) servers. To eliminate single points of failure and to enhance redundancy, organizations employ at least two authoritative domain name system servers; one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in certain roles, for example, by address ranges and explicit lists.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.2" + }, + { + "href": "#sc.20" + }, + { + "href": "#sc.21" + }, + { + "href": "#sc.24" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-81", + "value": "NIST Special Publication 800-81" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.23", + "title": "SESSION AUTHENTICITY", + "props": [ + { + "class": "name", + "value": "SC-23" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect the authenticity of communications sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses communications protection at the session, versus packet level. Such protection establishes grounds for confidence at both ends of communications sessions in the ongoing identities of other parties and in the validity of information transmitted. Authenticity protection includes, for example, protecting against man-in-the-middle attacks and session hijacking, and the insertion of false information into sessions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.10" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.10" + }, + { + "href": "#sc.11" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.23.1", + "title": "INVALIDATE SESSION IDENTIFIERS AT LOGOUT", + "props": [ + { + "class": "name", + "value": "SC-23 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInvalidate session identifiers upon user logout or other session termination.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement curtails the ability of adversaries from capturing and continuing to employ previously valid session IDs.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.23.2", + "title": "USER-INITIATED LOGOUTS AND MESSAGE DISPLAYS", + "props": [ + { + "class": "name", + "value": "SC-23 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-12(1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "AC-12(1)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.23.3", + "title": "UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION", + "props": [ + { + "class": "name", + "value": "SC-23 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eGenerate a unique session identifier for each session with \u003cinsert param-id=\"sc-23_a\"/\u003e and recognize only session identifiers that are system-generated.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement curtails the ability of adversaries from reusing previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers protects against brute-force attacks to determine future session identifiers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.10" + }, + { + "href": "#sc.13" + } + ] + } + ], + "params": [ + { + "id": "sc-23_a", + "desc": "organization-defined randomness requirements", + "value": "organization-defined randomness requirements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.23.4", + "title": "UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION", + "props": [ + { + "class": "name", + "value": "SC-23 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-23(3)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SC-23(3)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.23.5", + "title": "ALLOWED CERTIFICATE AUTHORITIES", + "props": [ + { + "class": "name", + "value": "SC-23 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eOnly allow the use of \u003cinsert param-id=\"sc-23_b\"/\u003e for verification of the establishment of protected sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eReliance on certificate authorities (CAs) for the establishment of secure sessions includes, for example, the use of Transport Layer Security (TLS) certificates. These certificates, after verification by their respective CAs, facilitate the establishment of protected sessions between web clients and web servers.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.13" + } + ] + } + ], + "params": [ + { + "id": "sc-23_b", + "desc": "organization-defined certificate authorities", + "value": "organization-defined certificate authorities" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-52", + "value": "NIST Special Publication 800-52" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-77", + "value": "NIST Special Publication 800-77" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-95", + "value": "NIST Special Publication 800-95" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-113", + "value": "NIST Special Publication 800-113" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.24", + "title": "FAIL IN KNOWN STATE", + "params": [ + { + "id": "sc-24_a", + "desc": "organization-defined known system state", + "value": "organization-defined known system state" + }, + { + "id": "sc-24_b", + "desc": "organization-defined types of system failures", + "value": "organization-defined types of system failures" + }, + { + "id": "sc-24_c", + "desc": "organization-defined system state information", + "value": "organization-defined system state information" + } + ], + "props": [ + { + "class": "name", + "value": "SC-24" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eFail to a \u003cinsert param-id=\"sc-24_a\"/\u003e for \u003cinsert param-id=\"sc-24_b\"/\u003e preserving \u003cinsert param-id=\"sc-24_c\"/\u003e in failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailure in a known state addresses security concerns in accordance with the mission and business needs of organizations. Failure in a known state helps to prevent the loss of confidentiality, integrity, or availability of information in the event of failures of organizational systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission and business processes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.4" + }, + { + "href": "#cp.10" + }, + { + "href": "#cp.12" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.22" + }, + { + "href": "#si.13" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.25", + "title": "THIN NODES", + "params": [ + { + "id": "sc-25_a", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-25" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sc-25_a\"/\u003e with minimal functionality and information storage.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe deployment of system components with minimal functionality reduces the need to secure every user endpoint, and may reduce the exposure of information, systems, and services to attacks. Examples of reduced or minimal functionality include, for example, diskless nodes and thin client technologies.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.30" + }, + { + "href": "#sc.44" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.26", + "title": "HONEYPOTS", + "props": [ + { + "class": "name", + "value": "SC-26" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInclude components within organizational systems specifically designed to be the target of malicious attacks for detecting, deflecting, and analyzing such attacks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA honeypot is established as a decoy to attract adversaries and to deflect their attacks away from the operational systems supporting organizational missions and business functions. Depending upon the specific usage of the honeypot, consultation with the Office of the General Counsel before deployment may be needed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.30" + }, + { + "href": "#sc.35" + }, + { + "href": "#sc.44" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.26.1", + "title": "DETECTION OF MALICIOUS CODE", + "props": [ + { + "class": "name", + "value": "SC-26 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-35\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.35" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.27", + "title": "PLATFORM-INDEPENDENT APPLICATIONS", + "params": [ + { + "id": "sc-27_a", + "desc": "organization-defined platform-independent applications", + "value": "organization-defined platform-independent applications" + } + ], + "props": [ + { + "class": "name", + "value": "SC-27" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInclude within organizational systems: \u003cinsert param-id=\"sc-27_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlatforms are combinations of hardware and software used to run software applications. Platforms include operating systems; the underlying computer architectures; or both. Platform-independent applications are those applications with the capability to execute on multiple platforms. Such applications promote portability and reconstitution on different platforms. This increases the availability of critical or essential functions within organizations in situations where systems with specific operating systems are under attack.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.29" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.28", + "title": "PROTECTION OF INFORMATION AT REST", + "params": [ + { + "id": "sc-28_a", + "desc": "organization-defined information", + "value": "organization-defined information" + } + ], + "props": [ + { + "class": "name", + "value": "SC-28" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect the [Selection (one or more): confidentiality; integrity] of \u003cinsert param-id=\"sc-28_a\"/\u003e at rest.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the confidentiality and integrity of information at rest and covers user information and system information. Information at rest refers to the state of information when it is not in process or in transit and is located on storage devices as specific components of systems. The focus of this control is not on the type of storage device or frequency of access but rather the state of the information. System-related information requiring protection includes, for example, configurations or rule sets for firewalls, gateways, intrusion detection and prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. When adequate protection of information at rest cannot otherwise be achieved, organizations may employ other security controls including, for example, frequent scanning to identify malicious code at rest and secure off-line storage in lieu of online storage.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.19" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cp.9" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#pe.3" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.34" + }, + { + "href": "#si.3" + }, + { + "href": "#si.7" + }, + { + "href": "#si.16" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.28.1", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-28 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement cryptographic mechanisms to prevent unauthorized disclosure and modification of \u003cinsert param-id=\"sc-28_b\"/\u003e when at rest on \u003cinsert param-id=\"sc-28_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to significant concentrations of digital media in organizational areas designated for media storage. It also applies to limited quantities of media generally associated with system components in operational environments including, for example, portable storage devices, notebook computers, and mobile devices. Selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category or classification of the information. Organizations have the flexibility to encrypt all information on storage devices or encrypt specific data structures including, for example, files, records, or fields. Organizations employing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#sc.12" + } + ] + } + ], + "params": [ + { + "id": "sc-28_b", + "desc": "organization-defined information", + "value": "organization-defined information" + }, + { + "id": "sc-28_c", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.28.2", + "title": "OFF-LINE STORAGE", + "props": [ + { + "class": "name", + "value": "SC-28 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRemove the following information from online storage and store off-line in a secure location: \u003cinsert param-id=\"sc-28_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRemoving organizational information from online system storage to off-line storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to off-line storage in lieu of protecting such information in online storage.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-28_d", + "desc": "organization-defined information", + "value": "organization-defined information" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-111", + "value": "NIST Special Publication 800-111" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-124", + "value": "NIST Special Publication 800-124" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.29", + "title": "HETEROGENEITY", + "params": [ + { + "id": "sc-29_a", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-29" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy a diverse set of information technologies for \u003cinsert param-id=\"sc-29_a\"/\u003e in the implementation of the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncreasing the diversity of information technologies within organizational systems reduces the impact of potential exploitations or compromises of specific technologies. Such diversity protects against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one system component will be equally effective against other system components, thus further increasing the adversary work factor to successfully complete planned attacks. An increase in diversity may add complexity and management overhead which could ultimately lead to mistakes and unauthorized configurations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.9" + }, + { + "href": "#pl.8" + }, + { + "href": "#sa.12" + }, + { + "href": "#sc.27" + }, + { + "href": "#sc.30" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.29.1", + "title": "VIRTUALIZATION TECHNIQUES", + "props": [ + { + "class": "name", + "value": "SC-29 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed \u003cinsert param-id=\"sc-29_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhile frequent changes to operating systems and applications pose configuration management challenges, the changes can result in an increased work factor for adversaries to conduct successful attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems or applications, provides virtual changes that impede attacker success while reducing configuration management efforts. Virtualization techniques can assist in isolating untrustworthy software or software of dubious provenance into confined execution environments.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-29_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.30", + "title": "CONCEALMENT AND MISDIRECTION", + "params": [ + { + "id": "sc-30_a", + "desc": "organization-defined concealment and misdirection techniques", + "value": "organization-defined concealment and misdirection techniques" + }, + { + "id": "sc-30_b", + "desc": "organization-defined systems", + "value": "organization-defined systems" + }, + { + "id": "sc-30_c", + "desc": "organization-defined time-periods", + "value": "organization-defined time-periods" + } + ], + "props": [ + { + "class": "name", + "value": "SC-30" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sc-30_a\"/\u003e for \u003cinsert param-id=\"sc-30_b\"/\u003e at \u003cinsert param-id=\"sc-30_c\"/\u003e to confuse and mislead adversaries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConcealment and misdirection techniques can significantly reduce the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. For example, virtualization techniques provide organizations with the ability to disguise systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. Increased use of concealment and misdirection techniques and methods including, for example, randomness, uncertainty, and virtualization, may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment and misdirection techniques may also provide organizations additional time to successfully perform core missions and business functions. Because of the time and effort required to support concealment and misdirection techniques, it is anticipated that such techniques would be used by organizations on a very limited basis.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.6" + }, + { + "href": "#sc.25" + }, + { + "href": "#sc.26" + }, + { + "href": "#sc.29" + }, + { + "href": "#sc.44" + }, + { + "href": "#si.14" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.30.1", + "title": "VIRTUALIZATION TECHNIQUES", + "props": [ + { + "class": "name", + "value": "SC-30 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-29(1)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SC-29(1)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.30.2", + "title": "RANDOMNESS", + "props": [ + { + "class": "name", + "value": "SC-30 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sc-30_d\"/\u003e to introduce randomness into organizational operations and assets.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRandomness introduces increased levels of uncertainty for adversaries regarding the actions organizations take in defending their systems against attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations supporting critical missions or business functions. Uncertainty may also cause adversaries to hesitate before initiating or continuing their attacks. Misdirection techniques involving randomness include, for example, performing certain routine actions at different times of day, employing different information technologies, using different suppliers, and rotating roles and responsibilities of organizational personnel.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-30_d", + "desc": "organization-defined techniques", + "value": "organization-defined techniques" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.30.3", + "title": "CHANGE PROCESSING AND STORAGE LOCATIONS", + "props": [ + { + "class": "name", + "value": "SC-30 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eChange the location of \u003cinsert param-id=\"sc-30_e\"/\u003e [Selection: \u003cinsert param-id=\"sc-30_f\"/\u003e; at random time intervals]].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAdversaries target critical missions and business functions and the systems supporting those missions and functions while at the same time, trying to minimize exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational systems targeted by adversaries, make such systems more susceptible to attacks with less adversary cost and effort to be successful. Changing processing and storage locations (sometimes referred to as moving target defense) addresses the advanced persistent threat (APT) using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the system components (i.e., processing and/or storage) supporting critical missions and business functions. Changing the locations of processing activities and/or storage sites introduces a degree of uncertainty into the targeting activities by adversaries. This uncertainty increases the work factor of adversaries making compromises or breaches to organizational systems much more difficult and time-consuming. It also increases the chances that adversaries may inadvertently disclose aspects of tradecraft while attempting to locate critical organizational resources.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-30_e", + "desc": "organization-defined processing and/or storage", + "value": "organization-defined processing and/or storage" + }, + { + "id": "sc-30_f", + "desc": "organization-defined time frequency", + "value": "organization-defined time frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.30.4", + "title": "MISLEADING INFORMATION", + "props": [ + { + "class": "name", + "value": "SC-30 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy realistic, but misleading information in \u003cinsert param-id=\"sc-30_g\"/\u003e about its security state or posture.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement misleads potential adversaries regarding the nature and extent of security safeguards deployed by organizations. Thus, adversaries may employ incorrect and ineffective, attack techniques. One way of misleading adversaries is for organizations to place misleading information regarding the specific controls deployed in external systems that are known to be targeted by adversaries. Another technique is the use of deception nets that mimic actual aspects of organizational systems but use, for example, out-of-date software configurations.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-30_g", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.30.5", + "title": "CONCEALMENT OF SYSTEM COMPONENTS", + "props": [ + { + "class": "name", + "value": "SC-30 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sc-30_h\"/\u003e to hide or conceal \u003cinsert param-id=\"sc-30_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBy hiding, disguising, or concealing critical system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means for organizations to hide, disguise, or conceal system components include, for example, configuration of routers or the use of honeynets or virtualization techniques.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-30_h", + "desc": "organization-defined techniques", + "value": "organization-defined techniques" + }, + { + "id": "sc-30_i", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.31", + "title": "COVERT CHANNEL ANALYSIS", + "props": [ + { + "class": "name", + "value": "SC-31" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.31a", + "prose": [ + "\u003cp class=\"description\"\u003ePerform a covert channel analysis to identify those aspects of communications within the system that are potential avenues for covert [Selection (one or more): storage; timing] channels; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31a." + } + ] + }, + { + "class": "item", + "id": "sc.31b", + "prose": [ + "\u003cp class=\"description\"\u003eEstimate the maximum bandwidth of those channels.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-31b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across handling caveats, discretionary policies, or security domains, for example, in the case of systems containing export-controlled information and having connections to external networks (i.e., networks that are not controlled by organizations). Covert channel analysis is also useful for multilevel secure systems, multiple security level systems, and cross-domain systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#si.11" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.31.1", + "title": "TEST COVERT CHANNELS FOR EXPLOITABILITY", + "props": [ + { + "class": "name", + "value": "SC-31 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTest a subset of the identified covert channels to determine which channels are exploitable.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.31.2", + "title": "MAXIMUM BANDWIDTH", + "props": [ + { + "class": "name", + "value": "SC-31 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eReduce the maximum bandwidth for identified covert [Selection (one or more); storage; timing] channels to \u003cinsert param-id=\"sc-31_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-31_a", + "desc": "organization-defined values", + "value": "organization-defined values" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.31.3", + "title": "MEASURE BANDWIDTH IN OPERATIONAL ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "SC-31 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMeasure the bandwidth of \u003cinsert param-id=\"sc-31_b\"/\u003e in the operational environment of the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses covert channel bandwidth in operational environments versus developmental environments. Measuring covert channel bandwidth in specified operational environments helps organizations to determine how much information can be covertly leaked before such leakage adversely affects missions or business functions. Covert channel bandwidth may be significantly different when measured in those settings that are independent of the specific environments of operation including, for example, laboratories or development environments.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-31_b", + "desc": "organization-defined subset of identified covert channels", + "value": "organization-defined subset of identified covert channels" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.32", + "title": "SYSTEM PARTITIONING", + "params": [ + { + "id": "sc-32_a", + "desc": "organization-defined system components", + "value": "organization-defined system components" + }, + { + "id": "sc-32_b", + "desc": "organization-defined circumstances for physical separation of components", + "value": "organization-defined circumstances for physical separation of components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-32" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePartition the system into \u003cinsert param-id=\"sc-32_a\"/\u003e residing in separate physical domains or environments based on \u003cinsert param-id=\"sc-32_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem partitioning is a part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components from physically distinct components in separate racks in the same room, to components in separate rooms for the more critical components, to significant geographical separation of the most critical components. Security categorization can guide the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned system components.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#ac.6" + }, + { + "href": "#sa.8" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.3" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.36" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#199", + "value": "FIPS Publication 199" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.33", + "title": "TRANSMISSION PREPARATION INTEGRITY", + "props": [ + { + "class": "name", + "value": "SC-33" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SC-8\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sc.8" + } + ] + }, + { + "class": "SP800-53", + "id": "sc.34", + "title": "NON-MODIFIABLE EXECUTABLE PROGRAMS", + "params": [ + { + "id": "sc-34_a", + "desc": "organization-defined system components", + "value": "organization-defined system components" + }, + { + "id": "sc-34_b", + "desc": "organization-defined applications", + "value": "organization-defined applications" + } + ], + "props": [ + { + "class": "name", + "value": "SC-34" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAt \u003cinsert param-id=\"sc-34_a\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "sc.34a", + "prose": [ + "\u003cp class=\"description\"\u003eLoad and execute the operating environment from hardware-enforced, read-only media; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34a." + } + ] + }, + { + "class": "item", + "id": "sc.34b", + "prose": [ + "\u003cp class=\"description\"\u003eLoad and execute \u003cinsert param-id=\"sc-34_b\"/\u003e from hardware-enforced, read-only media.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe operating environment for a system contains the specific code that hosts applications, for example, operating systems, executives, or monitors including virtual machine monitors (i.e., hypervisors). It can also include certain applications running directly on hardware platforms. Hardware-enforced, read-only media include, for example, Compact Disk-Recordable (CD-R) and Digital Video Disk-Recordable (DVD-R) disk drives and one-time programmable read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. The use of reprogrammable read-only memory can be accepted as read-only media provided integrity can be adequately protected from the point of initial writing to the insertion of the memory into the system; and there are reliable hardware protections against reprogramming the memory while installed in organizational systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#si.7" + }, + { + "href": "#si.14" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.34.1", + "title": "NO WRITABLE STORAGE", + "props": [ + { + "class": "name", + "value": "SC-34 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sc-34_c\"/\u003e with no writeable storage that is persistent across component restart or power on/off.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated system components. It applies to fixed and removable storage, with the latter being addressed either directly or as specific restrictions imposed through access controls for mobile devices.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.19" + }, + { + "href": "#mp.7" + } + ] + } + ], + "params": [ + { + "id": "sc-34_c", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.34.2", + "title": "INTEGRITY PROTECTION ON READ-ONLY MEDIA", + "props": [ + { + "class": "name", + "value": "SC-34 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect the integrity of information prior to storage on read-only media and control the media after such information has been recorded onto the media.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity safeguards prevent the substitution of media into systems or the reprogramming of programmable read-only media prior to installation into the systems. Such safeguards include, for example, a combination of prevention, detection, and response.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.9" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.5" + }, + { + "href": "#sc.28" + }, + { + "href": "#si.3" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.34.3", + "title": "HARDWARE-BASED PROTECTION", + "props": [ + { + "class": "name", + "value": "SC-34 (3)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.34.3.a", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy hardware-based, write-protect for \u003cinsert param-id=\"sc-34_d\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "sc.34.3.b", + "prose": [ + "\u003cp class=\"description\"\u003eImplement specific procedures for \u003cinsert param-id=\"sc-34_e\"/\u003e to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-34 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-34_d", + "desc": "organization-defined system firmware components", + "value": "organization-defined system firmware components" + }, + { + "id": "sc-34_e", + "desc": "organization-defined authorized individuals", + "value": "organization-defined authorized individuals" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.35", + "title": "HONEYCLIENTS", + "props": [ + { + "class": "name", + "value": "SC-35" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInclude system components that proactively seek to identify network-based malicious code, malicious websites, or web-based malicious code.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHoneyclients differ from honeypots in that the components actively probe networks including, the Internet, in search of malicious code contained on external websites. Like honeypots, honeyclients require some supporting isolation measures to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational systems. Virtualization is a common technique for achieving such isolation.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.26" + }, + { + "href": "#sc.44" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.36", + "title": "DISTRIBUTED PROCESSING AND STORAGE", + "params": [ + { + "id": "sc-36_a", + "desc": "organization-defined processing and storage components", + "value": "organization-defined processing and storage components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-36" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDistribute \u003cinsert param-id=\"sc-36_a\"/\u003e across multiple physical locations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDistributing processing and storage across multiple physical locations provides some degree of redundancy or overlap for organizations, and therefore increases the work factor of adversaries to adversely impact organizational operations, assets, and individuals. This control does not assume a single primary processing or storage location, and therefore, allows for parallel processing and storage.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + }, + { + "href": "#pl.8" + }, + { + "href": "#sc.32" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.36.1", + "title": "POLLING TECHNIQUES", + "props": [ + { + "class": "name", + "value": "SC-36 (1)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.36.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy polling techniques to identify potential faults, errors, or compromises to \u003cinsert param-id=\"sc-36_b\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-36 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "sc.36.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eTake \u003cinsert param-id=\"sc-36_c\"/\u003e in response to identified faults, errors, or compromises.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-36 (1)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDistributed processing and/or storage may be employed to reduce opportunities for adversaries to successfully compromise the confidentiality, integrity, or availability of information and systems. However, distribution of processing and/or storage components does not prevent adversaries from compromising one (or more) of the distributed components. Polling compares the processing results and/or storage content from the various distributed components and subsequently voting on the outcomes. Polling identifies potential faults, errors, or compromises in distributed processing and storage components. Polling techniques may also be applied to processing and storage components that are not physically distributed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.4" + } + ] + } + ], + "params": [ + { + "id": "sc-36_b", + "desc": "organization-defined distributed processing and storage components", + "value": "organization-defined distributed processing and storage components" + }, + { + "id": "sc-36_c", + "desc": "organization-defined action", + "value": "organization-defined action" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.37", + "title": "OUT-OF-BAND CHANNELS", + "params": [ + { + "id": "sc-37_a", + "desc": "organization-defined out-of-band channels", + "value": "organization-defined out-of-band channels" + }, + { + "id": "sc-37_b", + "desc": "organization-defined information, system components, or devices", + "value": "organization-defined information, system components, or devices" + }, + { + "id": "sc-37_c", + "desc": "organization-defined individuals or systems", + "value": "organization-defined individuals or systems" + } + ], + "props": [ + { + "class": "name", + "value": "SC-37" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sc-37_a\"/\u003e for the physical delivery or electronic transmission of \u003cinsert param-id=\"sc-37_b\"/\u003e to \u003cinsert param-id=\"sc-37_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOut-of-band channels include, for example, local nonnetwork accesses to systems; network paths physically separate from network paths used for operational traffic; or nonelectronic paths such as the US Postal Service. This is in contrast with using the same channels (i.e., in-band channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability or exposure as in-band channels, and therefore, the confidentiality, integrity, or availability compromises of in-band channels will not compromise or adversely affect the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of many organizational items including, for example, identifiers and authenticators; cryptographic key management information; configuration management changes for hardware, firmware, or software; security updates; system and data backups; maintenance information; and malicious code protection updates.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.7" + }, + { + "href": "#ia.2" + }, + { + "href": "#ia.4" + }, + { + "href": "#ia.5" + }, + { + "href": "#ma.4" + }, + { + "href": "#sc.12" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.37.1", + "title": "ENSURE DELIVERY AND TRANSMISSION", + "props": [ + { + "class": "name", + "value": "SC-37 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sc-37_d\"/\u003e to ensure that only \u003cinsert param-id=\"sc-37_e\"/\u003e receive the \u003cinsert param-id=\"sc-37_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTechniques employed by organizations to ensure that only designated systems or individuals receive certain information, system components, or devices include, for example, sending authenticators via an approved courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-37_d", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "sc-37_e", + "desc": "organization-defined individuals or systems", + "value": "organization-defined individuals or systems" + }, + { + "id": "sc-37_f", + "desc": "organization-defined information, system components, or devices", + "value": "organization-defined information, system components, or devices" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.38", + "title": "OPERATIONS SECURITY", + "params": [ + { + "id": "sc-38_a", + "desc": "organization-defined operations security safeguards", + "value": "organization-defined operations security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-38" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sc-38_a\"/\u003e to protect key organizational information throughout the system development life cycle.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOperations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: identification of critical information; analysis of threats; analysis of vulnerabilities; assessment of risks; and the application of appropriate countermeasures. OPSEC safeguards are applied to organizational systems and the environments in which those systems operate. OPSEC safeguards protect the confidentiality of key information including, for example, limiting the sharing of information with suppliers and potential suppliers of system components and services, and with other non-organizational elements and individuals. Information critical to organizational mission and business success includes, for example, user identities, element uses, suppliers, supply chain processes, functional and security requirements, system design specifications, testing and evaluation protocols, and security control implementation details.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#pl.1" + }, + { + "href": "#pm.9" + }, + { + "href": "#pm.12" + }, + { + "href": "#ra.2" + }, + { + "href": "#ra.3" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.12" + }, + { + "href": "#sc.7" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.39", + "title": "PROCESS ISOLATION", + "props": [ + { + "class": "name", + "value": "SC-39" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain a separate execution domain for each executing process with the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. This capability is readily available in most commercial operating systems that employ multi-state processor technologies.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.6" + }, + { + "href": "#ac.25" + }, + { + "href": "#sa.8" + }, + { + "href": "#sc.2" + }, + { + "href": "#sc.3" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.39.1", + "title": "HARDWARE SEPARATION", + "props": [ + { + "class": "name", + "value": "SC-39 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement hardware separation mechanisms to facilitate process separation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHardware-based separation of system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Hardware separation mechanisms include, for example, hardware memory management.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.39.2", + "title": "THREAD ISOLATION", + "props": [ + { + "class": "name", + "value": "SC-39 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMaintain a separate execution domain for each thread in \u003cinsert param-id=\"sc-39_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-39_a", + "desc": "organization-defined multi-threaded processing", + "value": "organization-defined multi-threaded processing" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.40", + "title": "WIRELESS LINK PROTECTION", + "params": [ + { + "id": "sc-40_a", + "desc": "organization-defined wireless links", + "value": "organization-defined wireless links" + }, + { + "id": "sc-40_b", + "desc": "organization-defined types of signal parameter attacks or references to sources for such attacks", + "value": "organization-defined types of signal parameter attacks or references to sources for such attacks" + } + ], + "props": [ + { + "class": "name", + "value": "SC-40" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProtect external and internal \u003cinsert param-id=\"sc-40_a\"/\u003e from \u003cinsert param-id=\"sc-40_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to internal and external wireless communication links that may be visible to individuals who are not authorized system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or spoof users of organizational systems. This control reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement this control.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#sc.5" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.40.1", + "title": "ELECTROMAGNETIC INTERFERENCE", + "props": [ + { + "class": "name", + "value": "SC-40 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement cryptographic mechanisms that achieve \u003cinsert param-id=\"sc-40_c\"/\u003e against the effects of intentional electromagnetic interference.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The control enhancement may also coincidentally help to mitigate the effects of unintentional jamming due to interference from legitimate transmitters sharing the same spectrum. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine levels of wireless link availability and performance/cryptography needed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + } + ], + "params": [ + { + "id": "sc-40_c", + "desc": "organization-defined level of protection", + "value": "organization-defined level of protection" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.40.2", + "title": "REDUCE DETECTION POTENTIAL", + "props": [ + { + "class": "name", + "value": "SC-40 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement cryptographic mechanisms to reduce the detection potential of wireless links to \u003cinsert param-id=\"sc-40_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is needed for covert communications and protecting wireless transmitters from being geo-located by their transmissions. The control enhancement ensures that spread spectrum waveforms used to achieve low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine the levels to which wireless links should be undetectable.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + } + ], + "params": [ + { + "id": "sc-40_d", + "desc": "organization-defined level of reduction", + "value": "organization-defined level of reduction" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.40.3", + "title": "IMITATIVE OR MANIPULATIVE COMMUNICATIONS DECEPTION", + "props": [ + { + "class": "name", + "value": "SC-40 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based upon signal parameters alone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + }, + { + "href": "#si.4" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.40.4", + "title": "SIGNAL PARAMETER IDENTIFICATION", + "props": [ + { + "class": "name", + "value": "SC-40 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement cryptographic mechanisms to prevent the identification of \u003cinsert param-id=\"sc-40_e\"/\u003e by using the transmitter signal parameters.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRadio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission/user identification. This control enhancement protects against the unique identification of wireless transmitters for purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. This control enhancement helps assure mission success when anonymity is required.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + } + ], + "params": [ + { + "id": "sc-40_e", + "desc": "organization-defined wireless transmitters", + "value": "organization-defined wireless transmitters" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.41", + "title": "PORT AND I/O DEVICE ACCESS", + "params": [ + { + "id": "sc-41_a", + "desc": "organization-defined connection ports or input/output devices", + "value": "organization-defined connection ports or input/output devices" + }, + { + "id": "sc-41_b", + "desc": "organization-defined systems or system components", + "value": "organization-defined systems or system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-41" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e[Selection: Physically or Logically] disable or remove \u003cinsert param-id=\"sc-41_a\"/\u003e on \u003cinsert param-id=\"sc-41_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConnection ports include, for example, Universal Serial Bus (USB) and Firewire (IEEE 1394). Input/output (I/O) devices include, for example, Compact Disk (CD) and Digital Video Disk (DVD) drives. Disabling or removing such connection ports and I/O devices helps prevent exfiltration of information from systems and the introduction of malicious code into systems from those ports or devices. Physically disabling or removing ports and/or devices is the stronger action.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.20" + }, + { + "href": "#mp.7" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "sc.42", + "title": "SENSOR CAPABILITY AND DATA", + "params": [ + { + "id": "sc-42_a", + "desc": "organization-defined exceptions where remote activation of sensors is allowed", + "value": "organization-defined exceptions where remote activation of sensors is allowed" + }, + { + "id": "sc-42_b", + "desc": "organization-defined class of users", + "value": "organization-defined class of users" + } + ], + "props": [ + { + "class": "name", + "value": "SC-42" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.42a", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit the remote activation of environmental sensing capabilities on organizational systems or system components with the following exceptions: \u003cinsert param-id=\"sc-42_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42a." + } + ] + }, + { + "class": "item", + "id": "sc.42b", + "prose": [ + "\u003cp class=\"description\"\u003eProvide an explicit indication of sensor use to \u003cinsert param-id=\"sc-42_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-42b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control often applies to types of systems or system components characterized as mobile devices, for example, smart phones, tablets, and E-readers. These systems often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include, for example, cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the specific movements of an individual.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "sc.42.1", + "title": "REPORTING TO AUTHORIZED INDIVIDUALS OR ROLES", + "props": [ + { + "class": "name", + "value": "SC-42 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that the system is configured so that data or information collected by the \u003cinsert param-id=\"sc-42_c\"/\u003e is only reported to authorized individuals or roles.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn situations where sensors are activated by authorized individuals, it is still possible that the data or information collected by the sensors will be sent to unauthorized entities.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-42_c", + "desc": "organization-defined sensors", + "value": "organization-defined sensors" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.42.2", + "title": "AUTHORIZED USE", + "props": [ + { + "class": "name", + "value": "SC-42 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sc-42_d\"/\u003e so that data or information collected by \u003cinsert param-id=\"sc-42_e\"/\u003e is only used for authorized purposes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation collected by sensors for a specific authorized purpose could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track movements of individuals. Measures to mitigate such activities include, for example, additional training to ensure that authorized individuals do not abuse their authority; and in the case where sensor data or information is maintained by external parties, contractual restrictions on the use of such data/information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pa.2" + } + ] + } + ], + "params": [ + { + "id": "sc-42_d", + "desc": "organization-defined measures", + "value": "organization-defined measures" + }, + { + "id": "sc-42_e", + "desc": "organization-defined sensors", + "value": "organization-defined sensors" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.42.3", + "title": "PROHIBIT USE OF DEVICES", + "props": [ + { + "class": "name", + "value": "SC-42 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit the use of devices possessing \u003cinsert param-id=\"sc-42_f\"/\u003e in \u003cinsert param-id=\"sc-42_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor example, organizations may prohibit individuals from bringing cell phones or digital cameras into certain designated facilities or controlled areas within facilities where classified information is stored or sensitive conversations are taking place.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-42_f", + "desc": "organization-defined environmental sensing capabilities", + "value": "organization-defined environmental sensing capabilities" + }, + { + "id": "sc-42_g", + "desc": "organization-defined facilities, areas, or systems", + "value": "organization-defined facilities, areas, or systems" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.42.4", + "title": "NOTICE OF COLLECTION", + "props": [ + { + "class": "name", + "value": "SC-42 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy the following measures to facilitate an individual\u0026#x92;s awareness that personally identifiable information is being collected by \u003cinsert param-id=\"sc-42_h\"/\u003e: \u003cinsert param-id=\"sc-42_i\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAwareness that organizational sensors are collecting data enable individuals to more effectively engage in managing their privacy. Measures can include, for example, conventional written notices and sensor configurations that make individuals aware directly or indirectly through other devices that the sensor is collecting information. Usability and efficacy of the notice are important considerations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ip.1" + }, + { + "href": "#ip.2" + }, + { + "href": "#ip.4" + } + ] + } + ], + "params": [ + { + "id": "sc-42_h", + "desc": "organization-defined sensors", + "value": "organization-defined sensors" + }, + { + "id": "sc-42_i", + "desc": "organization-defined measures", + "value": "organization-defined measures" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "sc.42.5", + "title": "COLLECTION MINIMIZATION", + "props": [ + { + "class": "name", + "value": "SC-42 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"sc-42_j\"/\u003e that are configured to minimize the collection of information about individuals that is not needed.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlthough policies to control for authorized use can be applied to information once it is collected, minimizing the collection of information that is not needed mitigates privacy-related risk at the system entry point and mitigates the risk of policy control failures. Sensor configurations include, for example, the obscuring of human features such as blurring or pixelating flesh tones.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "sc-42_j", + "desc": "organization-defined sensors", + "value": "organization-defined sensors" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-124", + "value": "NIST Special Publication 800-124" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.43", + "title": "USAGE RESTRICTIONS", + "params": [ + { + "id": "sc-43_a", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-43" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "sc.43a", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish usage restrictions and implementation guidelines for \u003cinsert param-id=\"sc-43_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43a." + } + ] + }, + { + "class": "item", + "id": "sc.43b", + "prose": [ + "\u003cp class=\"description\"\u003eAuthorize, monitor, and control the use of such components within the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SC-43b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to all system components including wired and wireless peripheral components, for example, copiers, printers, scanners, optical devices, and other similar technologies. Usage restrictions and implementation guidelines are based on the potential for the system components to cause damage to the system if used maliciously. Usage restrictions for other technologies such as VoIP, mobile code, mobile devices, and wireless are addressed in SC-19, SC-18, AC-19, and AC-18.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + }, + { + "href": "#cm.6" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.18" + }, + { + "href": "#sc.19" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-124", + "value": "NIST Special Publication 800-124" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "sc.44", + "title": "DETONATION CHAMBERS", + "params": [ + { + "id": "sc-44_a", + "desc": "organization-defined system, system component, or location", + "value": "organization-defined system, system component, or location" + } + ], + "props": [ + { + "class": "name", + "value": "SC-44" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy a detonation chamber capability within \u003cinsert param-id=\"sc-44_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator requests in the safety of an isolated environment or a virtualized sandbox. These protected and isolated execution environments provide a means of determining whether the associated attachments or applications contain malicious code. While related to the concept of deception nets, this control is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, it is intended to quickly identify malicious code and reduce the likelihood that the code is propagated to user environments of operation or prevent such propagation completely.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.7" + }, + { + "href": "#sc.25" + }, + { + "href": "#sc.26" + }, + { + "href": "#sc.30" + }, + { + "href": "#sc.35" + }, + { + "href": "#si.3" + }, + { + "href": "#si.7" + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "SYSTEM AND INFORMATION INTEGRITY", + "controls": [ + { + "class": "SP800-53", + "id": "si.1", + "title": "SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES", + "params": [ + { + "id": "si-1_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-1_b", + "desc": "organization-defined senior management official", + "value": "organization-defined senior management official" + }, + { + "id": "si-1_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "si-1_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-1" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.1a", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and disseminate to \u003cinsert param-id=\"si-1_a\"/\u003e:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1a." + } + ], + "parts": [ + { + "class": "item", + "id": "si.1a.1", + "prose": [ + "\u003cp class=\"description\"\u003eA system and information integrity policy that:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1a.1." + } + ], + "parts": [ + { + "class": "item", + "id": "si.1a.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eAddresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1a.1.(a)" + } + ] + }, + { + "class": "item", + "id": "si.1a.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eIs consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1a.1.(b)" + } + ] + } + ] + }, + { + "class": "item", + "id": "si.1a.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures to facilitate the implementation of the system and information integrity policy and the associated system and information integrity controls;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "si.1b", + "prose": [ + "\u003cp class=\"description\"\u003eDesignate an \u003cinsert param-id=\"si-1_b\"/\u003e to manage the system and information integrity policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1b." + } + ] + }, + { + "class": "item", + "id": "si.1c", + "prose": [ + "\u003cp class=\"description\"\u003eReview and update the current system and information integrity:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1c." + } + ], + "parts": [ + { + "class": "item", + "id": "si.1c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePolicy \u003cinsert param-id=\"si-1_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1c.1." + } + ] + }, + { + "class": "item", + "id": "si.1c.2", + "prose": [ + "\u003cp class=\"description\"\u003eProcedures \u003cinsert param-id=\"si-1_d\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "si.1d", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the system and information integrity procedures implement the system and information integrity policy and controls; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1d." + } + ] + }, + { + "class": "item", + "id": "si.1e", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop, document, and implement remediation actions for violations of the system and information integrity policy.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-1e." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the SI family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.9" + }, + { + "href": "#ps.8" + }, + { + "href": "#si.12" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-12", + "value": "NIST Special Publication 800-12" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-100", + "value": "NIST Special Publication 800-100" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.2", + "title": "FLAW REMEDIATION", + "params": [ + { + "id": "si-2_a", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ], + "props": [ + { + "class": "name", + "value": "SI-2" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.2a", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify, report, and correct system flaws;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2a." + } + ] + }, + { + "class": "item", + "id": "si.2b", + "prose": [ + "\u003cp class=\"description\"\u003eTest software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2b." + } + ] + }, + { + "class": "item", + "id": "si.2c", + "prose": [ + "\u003cp class=\"description\"\u003eInstall security-relevant software and firmware updates within \u003cinsert param-id=\"si-2_a\"/\u003e of the release of the updates; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2c." + } + ] + }, + { + "class": "item", + "id": "si.2d", + "prose": [ + "\u003cp class=\"description\"\u003eIncorporate flaw remediation into the organizational configuration management process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations identify systems affected by software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security and privacy responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during assessments, continuous monitoring, incident response activities, and system error handling. By incorporating flaw remediation into ongoing configuration management processes, required remediation actions can be tracked and verified. Organization-defined time-periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the type of testing needed for the specific type of flaw remediation activity under consideration and the types of changes that are to be configuration-managed. In some situations, organizations may determine that testing of software or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.4" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.6" + }, + { + "href": "#cm.8" + }, + { + "href": "#ma.2" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.10" + }, + { + "href": "#sa.11" + }, + { + "href": "#si.3" + }, + { + "href": "#si.5" + }, + { + "href": "#si.7" + }, + { + "href": "#si.11" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.2.1", + "title": "CENTRAL MANAGEMENT", + "props": [ + { + "class": "name", + "value": "SI-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCentrally manage the flaw remediation process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management is the organization-wide management and implementation of flaw remediation processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.9" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.2", + "title": "AUTOMATED FLAW REMEDIATION STATUS", + "props": [ + { + "class": "name", + "value": "SI-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms \u003cinsert param-id=\"si-2_b\"/\u003e to determine the state of system components with regard to flaw remediation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.4" + } + ] + } + ], + "params": [ + { + "id": "si-2_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.3", + "title": "TIME TO REMEDIATE FLAWS AND BENCHMARKS FOR CORRECTIVE ACTIONS", + "props": [ + { + "class": "name", + "value": "SI-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.2.3.a", + "prose": [ + "\u003cp class=\"description\"\u003eMeasure the time between flaw identification and flaw remediation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2 (3)(a)" + } + ] + }, + { + "class": "item", + "id": "si.2.3.b", + "prose": [ + "\u003cp class=\"description\"\u003eEstablish \u003cinsert param-id=\"si-2_c\"/\u003e for taking corrective actions.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2 (3)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires organizations to determine the time it takes on the average to correct system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by the type of flaw or the severity of the potential vulnerability if the flaw can be exploited.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-2_c", + "desc": "organization-defined benchmarks", + "value": "organization-defined benchmarks" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.4", + "title": "AUTOMATED PATCH MANAGEMENT TOOLS", + "props": [ + { + "class": "name", + "value": "SI-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-2\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.2" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.5", + "title": "AUTOMATIC SOFTWARE AND FIRMWARE UPDATES", + "props": [ + { + "class": "name", + "value": "SI-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eInstall \u003cinsert param-id=\"si-2_d\"/\u003e automatically to \u003cinsert param-id=\"si-2_e\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDue to system integrity and availability concerns, organizations consider the methodology used to carry out automatic updates. Organizations balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and control with any mission or operational impacts that automatic updates might impose.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-2_d", + "desc": "organization-defined security-relevant software and firmware updates", + "value": "organization-defined security-relevant software and firmware updates" + }, + { + "id": "si-2_e", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.6", + "title": "REMOVAL OF PREVIOUS VERSIONS OF SOFTWARE AND FIRMWARE", + "props": [ + { + "class": "name", + "value": "SI-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRemove previous versions of \u003cinsert param-id=\"si-2_f\"/\u003e after updated versions have been installed.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrevious versions of software or firmware components that are not removed from the system after updates have been installed may be exploited by adversaries. Some products may remove previous versions of software and firmware automatically from the system.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-2_f", + "desc": "organization-defined software and firmware components", + "value": "organization-defined software and firmware components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.2.7", + "title": "PERSONALLY IDENTIFIABLE INFORMATION", + "props": [ + { + "class": "name", + "value": "SI-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.2.7.a", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify and correct flaws related to the collection, usage, processing, or dissemination of personally identifiable information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2 (7)(a)" + } + ] + }, + { + "class": "item", + "id": "si.2.7.b", + "prose": [ + "\u003cp class=\"description\"\u003eReport flaws related to personally identifiable information to the Senior Agency Official for Privacy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2 (7)(b)" + } + ] + }, + { + "class": "item", + "id": "si.2.7.c", + "prose": [ + "\u003cp class=\"description\"\u003eReceive approval for correction of privacy-related flaws from the Senior Agency Official for Privacy;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2 (7)(c)" + } + ] + }, + { + "class": "item", + "id": "si.2.7.d", + "prose": [ + "\u003cp class=\"description\"\u003ePrior to installation, assess software and firmware updates related to flaw remediation for effectiveness and consistency with terms agreed upon in the privacy impact assessment;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2 (7)(d)" + } + ] + }, + { + "class": "item", + "id": "si.2.7.e", + "prose": [ + "\u003cp class=\"description\"\u003eInstall privacy-relevant software and firmware updates within \u003cinsert param-id=\"si-2_g\"/\u003e of the release of the updates; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2 (7)(e)" + } + ] + }, + { + "class": "item", + "id": "si.2.7.f", + "prose": [ + "\u003cp class=\"description\"\u003eIncorporate flaw remediation of personally identifiable information into the organizational configuration management process.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-2 (7)(f)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ir.4" + }, + { + "href": "#ir.5" + }, + { + "href": "#pm.23" + } + ] + } + ], + "params": [ + { + "id": "si-2_g", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-40", + "value": "NIST Special Publication 800-40" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-128", + "value": "NIST Special Publication 800-128" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.3", + "title": "MALICIOUS CODE PROTECTION", + "params": [ + { + "id": "si-3_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "si-3_b", + "desc": "organization-defined action", + "value": "organization-defined action" + } + ], + "props": [ + { + "class": "name", + "value": "SI-3" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.3a", + "prose": [ + "\u003cp class=\"description\"\u003eImplement [Selection (one or more): signature based; non-signature based] malicious code protection mechanisms at system entry and exit points to detect and eradicate malicious code;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3a." + } + ] + }, + { + "class": "item", + "id": "si.3b", + "prose": [ + "\u003cp class=\"description\"\u003eAutomatically update malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3b." + } + ] + }, + { + "class": "item", + "id": "si.3c", + "prose": [ + "\u003cp class=\"description\"\u003eConfigure malicious code protection mechanisms to:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3c." + } + ], + "parts": [ + { + "class": "item", + "id": "si.3c.1", + "prose": [ + "\u003cp class=\"description\"\u003ePerform periodic scans of the system \u003cinsert param-id=\"si-3_a\"/\u003e and real-time scans of files from external sources at [Selection (one or more); endpoint; network entry/exit points] as the files are downloaded, opened, or executed in accordance with organizational policy; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3c.1." + } + ] + }, + { + "class": "item", + "id": "si.3c.2", + "prose": [ + "\u003cp class=\"description\"\u003e[Selection (one or more): block malicious code; quarantine malicious code; send alert to administrator; \u003cinsert param-id=\"si-3_b\"/\u003e] in response to malicious code detection; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "si.3d", + "prose": [ + "\u003cp class=\"description\"\u003eAddress the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem entry and exit points include, for example, firewalls, remote-access servers, workstations, electronic mail servers, web servers, proxy servers, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats contained within compressed or hidden files, or hidden in files using techniques such as steganography. Malicious code can be inserted into systems in a variety of ways including, for example, by electronic mail, the world-wide web, and portable storage devices. Malicious code insertions occur through the exploitation of system vulnerabilities. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Malicious code protection mechanisms include, for example, signature- and nonsignature-based technologies. Nonsignature-based detection mechanisms include, for example, artificial intelligence techniques that use heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide safeguards against such code for which signatures do not yet exist or for which existing signatures may not be effective. This includes polymorphic malicious code (i.e., code that changes signatures when it replicates). Nonsignature-based mechanisms also include reputation-based technologies. In addition to the above technologies, pervasive configuration management, comprehensive software integrity controls, and anti-exploitation software may be effective in preventing execution of unauthorized code. Malicious code may be present in commercial off-the-shelf software and in custom-built software. This could include, for example, logic bombs, back doors, and other types of attacks that could affect organizational missions and business functions. In situations where malicious code cannot be detected by detection methods and technologies, organizations rely instead on other types of safeguards including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, or actions in response to detection of maliciousness when attempting to open or execute files. Due to system integrity and availability concerns, organizations consider the specific methodology used to carry out automatic updates.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#ac.19" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.8" + }, + { + "href": "#ir.4" + }, + { + "href": "#ma.3" + }, + { + "href": "#ma.4" + }, + { + "href": "#ra.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.26" + }, + { + "href": "#sc.28" + }, + { + "href": "#sc.23" + }, + { + "href": "#sc.44" + }, + { + "href": "#si.2" + }, + { + "href": "#si.4" + }, + { + "href": "#si.7" + }, + { + "href": "#si.8" + }, + { + "href": "#si.15" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.3.1", + "title": "CENTRAL MANAGEMENT", + "props": [ + { + "class": "name", + "value": "SI-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCentrally manage malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management is the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw and malicious code protection controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pl.9" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.2", + "title": "AUTOMATIC UPDATES", + "props": [ + { + "class": "name", + "value": "SI-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-3\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.3" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.3", + "title": "NON-PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-6(10)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "AC-6(10)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.4", + "title": "UPDATES ONLY BY PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUpdate malicious code protection mechanisms only when directed by a privileged user.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is employed in situations where for reasons of security or operational continuity, updates to malicious code protection mechanisms are only applied when approved by designated organizational personnel.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.5" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.5", + "title": "PORTABLE STORAGE DEVICES", + "props": [ + { + "class": "name", + "value": "SI-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into MP-7\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#mp.7" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.6", + "title": "TESTING AND VERIFICATION", + "props": [ + { + "class": "name", + "value": "SI-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.3.6.a", + "prose": [ + "\u003cp class=\"description\"\u003eTest malicious code protection mechanisms \u003cinsert param-id=\"si-3_c\"/\u003e by introducing a known benign, non-spreading test case into the system; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (6)(a)" + } + ] + }, + { + "class": "item", + "id": "si.3.6.b", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that the detection of the test case and the associated incident reporting occur.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (6)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.2" + }, + { + "href": "#ca.7" + }, + { + "href": "#ra.5" + } + ] + } + ], + "params": [ + { + "id": "si-3_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.7", + "title": "NONSIGNATURE-BASED DETECTION", + "props": [ + { + "class": "name", + "value": "SI-3 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-3\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.3" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.8", + "title": "DETECT UNAUTHORIZED COMMANDS", + "props": [ + { + "class": "name", + "value": "SI-3 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDetect \u003cinsert param-id=\"si-3_d\"/\u003e through the kernel application programming interface at \u003cinsert param-id=\"si-3_e\"/\u003e and [Selection (one or more): issue a warning; audit the command execution; prevent the execution of the command].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement can also be applied to critical interfaces other than kernel-based interfaces, including for example, interfaces with virtual machines and privileged applications. Unauthorized operating system commands include, for example, commands for kernel functions from system processes that are not trusted to initiate such commands, or commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can define hardware components by component type, component, component location in the network, or combination therein. Organizations may select different actions for different types, classes, or instances of malicious commands.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.12" + } + ] + } + ], + "params": [ + { + "id": "si-3_d", + "desc": "organization-defined unauthorized operating system commands", + "value": "organization-defined unauthorized operating system commands" + }, + { + "id": "si-3_e", + "desc": "organization-defined system hardware components", + "value": "organization-defined system hardware components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.9", + "title": "AUTHENTICATE REMOTE COMMANDS", + "props": [ + { + "class": "name", + "value": "SI-3 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"si-3_f\"/\u003e to authenticate \u003cinsert param-id=\"si-3_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects against unauthorized commands and replay of authorized commands. This capability is important for those remote systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or serious consequences, including, for example, injury or death, property damage, loss of high-value assets, compromise of classified or controlled unclassified information, or failure of missions or business functions. Authentication safeguards for remote commands ensure that systems accept and execute commands in the order intended, execute only authorized commands, and reject unauthorized commands. Cryptographic mechanisms can be employed, for example, to authenticate remote commands.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.23" + } + ] + } + ], + "params": [ + { + "id": "si-3_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "si-3_g", + "desc": "organization-defined remote commands", + "value": "organization-defined remote commands" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.3.10", + "title": "MALICIOUS CODE ANALYSIS", + "props": [ + { + "class": "name", + "value": "SI-3 (10)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.3.10.a", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy \u003cinsert param-id=\"si-3_h\"/\u003e to analyze the characteristics and behavior of malicious code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (10)(a)" + } + ] + }, + { + "class": "item", + "id": "si.3.10.b", + "prose": [ + "\u003cp class=\"description\"\u003eIncorporate the results from malicious code analysis into organizational incident response and flaw remediation processes.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-3 (10)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of malicious code analysis tools provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates more effective organizational responses to current and future threats. Organizations can also conduct malicious code analyses by using reverse engineering techniques or by monitoring the behavior of executing code.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-3_h", + "desc": "organization-defined tools and techniques", + "value": "organization-defined tools and techniques" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.4", + "title": "SYSTEM MONITORING", + "params": [ + { + "id": "si-4_a", + "desc": "organization-defined monitoring objectives", + "value": "organization-defined monitoring objectives" + }, + { + "id": "si-4_b", + "desc": "organization-defined techniques and methods", + "value": "organization-defined techniques and methods" + }, + { + "id": "si-4_c", + "desc": "organization-defined system monitoring information", + "value": "organization-defined system monitoring information" + }, + { + "id": "si-4_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-4_e", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.4a", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor the system to detect:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4a." + } + ], + "parts": [ + { + "class": "item", + "id": "si.4a.1", + "prose": [ + "\u003cp class=\"description\"\u003eAttacks and indicators of potential attacks in accordance with \u003cinsert param-id=\"si-4_a\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4a.1." + } + ] + }, + { + "class": "item", + "id": "si.4a.2", + "prose": [ + "\u003cp class=\"description\"\u003eUnauthorized local, network, and remote connections;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4a.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "si.4b", + "prose": [ + "\u003cp class=\"description\"\u003eIdentify unauthorized use of the system through \u003cinsert param-id=\"si-4_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4b." + } + ] + }, + { + "class": "item", + "id": "si.4c", + "prose": [ + "\u003cp class=\"description\"\u003eInvoke internal monitoring capabilities or deploy monitoring devices:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4c." + } + ], + "parts": [ + { + "class": "item", + "id": "si.4c.1", + "prose": [ + "\u003cp class=\"description\"\u003eStrategically within the system to collect organization-determined essential information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4c.1." + } + ] + }, + { + "class": "item", + "id": "si.4c.2", + "prose": [ + "\u003cp class=\"description\"\u003eAt ad hoc locations within the system to track specific types of transactions of interest to the organization;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4c.2." + } + ] + } + ] + }, + { + "class": "item", + "id": "si.4d", + "prose": [ + "\u003cp class=\"description\"\u003eProtect information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4d." + } + ] + }, + { + "class": "item", + "id": "si.4e", + "prose": [ + "\u003cp class=\"description\"\u003eAdjust the level of system monitoring activity when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4e." + } + ] + }, + { + "class": "item", + "id": "si.4f", + "prose": [ + "\u003cp class=\"description\"\u003eObtain legal opinion regarding system monitoring activities; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4f." + } + ] + }, + { + "class": "item", + "id": "si.4g", + "prose": [ + "\u003cp class=\"description\"\u003eProvide \u003cinsert param-id=\"si-4_c\"/\u003e to \u003cinsert param-id=\"si-4_d\"/\u003e [Selection (one or more): as needed; \u003cinsert param-id=\"si-4_e\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4g." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at system boundaries. Internal monitoring includes the observation of events occurring within the system. Organizations monitor systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives guide and inform the determination of the events. System monitoring capability is achieved through a variety of tools and techniques, including, for example, intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, and network monitoring software. The distribution and configuration of monitoring devices can impact throughput at key internal and external boundaries, and at other locations across a network due to the introduction of network throughput latency. Therefore, such devices are strategically located and deployed as part of an established organization-wide security architecture. Strategic locations for monitoring devices include, for example, selected perimeter locations and near key servers and server farms supporting critical applications. Monitoring devices are typically employed at the managed interfaces associated with controls SC-7 and AC-17. The information collected is a function of the organizational monitoring objectives and the capability of systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. System monitoring is an integral part of organizational continuous monitoring and incident response programs and output from system monitoring serves as input to those programs. Adjustments to levels of system monitoring are based on law enforcement information, intelligence information, or other credible sources of information. The legality of system monitoring activities is based on applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.4" + }, + { + "href": "#ac.8" + }, + { + "href": "#ac.17" + }, + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.7" + }, + { + "href": "#au.9" + }, + { + "href": "#au.12" + }, + { + "href": "#au.14" + }, + { + "href": "#ca.7" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.8" + }, + { + "href": "#cm.11" + }, + { + "href": "#ia.10" + }, + { + "href": "#ir.4" + }, + { + "href": "#pe.3" + }, + { + "href": "#pm.12" + }, + { + "href": "#pm.24" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.18" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.26" + }, + { + "href": "#sc.31" + }, + { + "href": "#sc.35" + }, + { + "href": "#sc.36" + }, + { + "href": "#sc.37" + }, + { + "href": "#si.3" + }, + { + "href": "#si.6" + }, + { + "href": "#si.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.4.1", + "title": "SYSTEM-WIDE INTRUSION DETECTION SYSTEM", + "props": [ + { + "class": "name", + "value": "SI-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eConnect and configure individual intrusion detection tools into a system-wide intrusion detection system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCM-6.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.2", + "title": "AUTOMATED TOOLS AND MECHANISMS FOR REAL-TIME ANALYSIS", + "props": [ + { + "class": "name", + "value": "SI-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated tools and mechanisms to support near real-time analysis of events.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated tools and mechanisms include, for example, host-based, network-based, transport-based, or storage-based event monitoring tools and mechanisms or Security Information and Event Management technologies that provide real time analysis of alerts and notifications generated by organizational systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.3", + "title": "AUTOMATED TOOL AND MECHANISM INTEGRATION", + "props": [ + { + "class": "name", + "value": "SI-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access control and flow control mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUsing automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access and flow control mechanisms facilitates a rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.4", + "title": "INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC", + "props": [ + { + "class": "name", + "value": "SI-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMonitor inbound and outbound communications traffic \u003cinsert param-id=\"si-4_f\"/\u003e for unusual or unauthorized activities or conditions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnusual or unauthorized activities or conditions related to system inbound and outbound communications traffic include, for example, internal traffic that indicates the presence of malicious code within organizational systems or propagating among system components; the unauthorized exporting of information; or signaling to external systems. Evidence of malicious code is used to identify potentially compromised systems or system components.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-4_f", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.5", + "title": "SYSTEM-GENERATED ALERTS", + "props": [ + { + "class": "name", + "value": "SI-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAlert \u003cinsert param-id=\"si-4_g\"/\u003e when the following system-generated indications of compromise or potential compromise occur: \u003cinsert param-id=\"si-4_h\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlerts may be generated from a variety of sources, including, for example, audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be automated or they may be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the alert notification list can include, for example, system administrators, mission or business owners, system owners, system security officers, or privacy officers. This control enhancement focuses on the security alerts generated by the system. Alternatively, alerts generated by organizations in SI-4(12) focus on information sources external to the system such as suspicious activity reports and reports on potential insider threats.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.4" + }, + { + "href": "#au.5" + }, + { + "href": "#pe.6" + } + ] + } + ], + "params": [ + { + "id": "si-4_g", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-4_h", + "desc": "organization-defined compromise indicators", + "value": "organization-defined compromise indicators" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.6", + "title": "RESTRICT NON-PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-6(10)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "AC-6(10)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.7", + "title": "AUTOMATED RESPONSE TO SUSPICIOUS EVENTS", + "props": [ + { + "class": "name", + "value": "SI-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eNotify \u003cinsert param-id=\"si-4_i\"/\u003e of detected suspicious events and take \u003cinsert param-id=\"si-4_j\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLeast-disruptive actions include, for example, initiating requests for human responses.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-4_i", + "desc": "organization-defined incident response personnel (identified by name and/or by role)", + "value": "organization-defined incident response personnel (identified by name and/or by role)" + }, + { + "id": "si-4_j", + "desc": "organization-defined least-disruptive actions to terminate suspicious events", + "value": "organization-defined least-disruptive actions to terminate suspicious events" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.8", + "title": "PROTECTION OF MONITORING INFORMATION", + "props": [ + { + "class": "name", + "value": "SI-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-4\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.4" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.9", + "title": "TESTING OF MONITORING TOOLS AND MECHANISMS", + "props": [ + { + "class": "name", + "value": "SI-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTest intrusion-monitoring tools and mechanisms \u003cinsert param-id=\"si-4_k\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTesting intrusion-monitoring tools and mechanism is necessary to ensure that the tools and mechanisms are operating correctly and continue to satisfy the monitoring objectives of organizations. The frequency of testing depends on the types of tools and mechanisms used by organizations and the methods of deployment.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.9" + } + ] + } + ], + "params": [ + { + "id": "si-4_k", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.10", + "title": "VISIBILITY OF ENCRYPTED COMMUNICATIONS", + "props": [ + { + "class": "name", + "value": "SI-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eMake provisions so that \u003cinsert param-id=\"si-4_l\"/\u003e is visible to \u003cinsert param-id=\"si-4_m\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations balance the potentially conflicting needs for encrypting communications traffic and having visibility into such traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of communications traffic is paramount; for other organizations, mission assurance is of greater concern. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-4_l", + "desc": "organization-defined encrypted communications traffic", + "value": "organization-defined encrypted communications traffic" + }, + { + "id": "si-4_m", + "desc": "organization-defined system monitoring tools and mechanisms", + "value": "organization-defined system monitoring tools and mechanisms" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.11", + "title": "ANALYZE COMMUNICATIONS TRAFFIC ANOMALIES", + "props": [ + { + "class": "name", + "value": "SI-4 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAnalyze outbound communications traffic at the external boundary of the system and selected \u003cinsert param-id=\"si-4_n\"/\u003e to discover anomalies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExamples of organization-defined interior points within the system include subnetworks and subsystems. Anomalies within organizational systems include, for example, large file transfers; long-time persistent connections; unusual protocols and ports in use; and attempted communications with suspected malicious external addresses.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-4_n", + "desc": "organization-defined interior points within the system", + "value": "organization-defined interior points within the system" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.12", + "title": "AUTOMATED ORGANIZATION-GENERATED ALERTS", + "props": [ + { + "class": "name", + "value": "SI-4 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to alert \u003cinsert param-id=\"si-4_o\"/\u003e when the following organization-generated indications of inappropriate or unusual activities with security or privacy implications occur: \u003cinsert param-id=\"si-4_p\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational personnel on the alert notification list can include, for example, system administrators, mission or business owners, system owners, system security officers, or privacy officers. This control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by systems in SI-4(5) that focus on information sources that are internal to the systems such as audit records, the sources of information for this enhancement focus on other entities such as suspicious activity reports and reports on potential insider threats.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-4_o", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-4_p", + "desc": "organization-defined activities that trigger alerts", + "value": "organization-defined activities that trigger alerts" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.13", + "title": "ANALYZE TRAFFIC AND EVENT PATTERNS", + "props": [ + { + "class": "name", + "value": "SI-4 (13)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.4.13.a", + "prose": [ + "\u003cp class=\"description\"\u003eAnalyze communications traffic and event patterns for the system;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4 (13)(a)" + } + ] + }, + { + "class": "item", + "id": "si.4.13.b", + "prose": [ + "\u003cp class=\"description\"\u003eDevelop profiles representing common traffic and event patterns; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4 (13)(b)" + } + ] + }, + { + "class": "item", + "id": "si.4.13.c", + "prose": [ + "\u003cp class=\"description\"\u003eUse the traffic and event profiles in tuning system-monitoring devices to reduce the number of false positives and false negatives.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4 (13)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.14", + "title": "WIRELESS INTRUSION DETECTION", + "props": [ + { + "class": "name", + "value": "SI-4 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises or breaches to the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWireless signals may radiate beyond organization-controlled facilities. Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. Scans are not limited to those areas within facilities containing systems, but also include areas outside of facilities to verify that unauthorized wireless access points are not connected to organizational systems.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#ia.3" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.15", + "title": "WIRELESS TO WIRELINE COMMUNICATIONS", + "props": [ + { + "class": "name", + "value": "SI-4 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.16", + "title": "CORRELATE MONITORING INFORMATION", + "props": [ + { + "class": "name", + "value": "SI-4 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCorrelate information from monitoring tools and mechanisms employed throughout the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrelating information from different system monitoring tools and mechanisms can provide a more comprehensive view of system activity. Correlating system monitoring tools and mechanisms that typically work in isolation including, for example, anti-virus software, host monitoring, and network monitoring, can provide an organization-wide monitoring view and may reveal otherwise unseen attack patterns. Understanding capabilities and limitations of diverse monitoring tools and mechanisms and how to maximize the utility of information generated by those tools and mechanisms can help organizations to develop, operate, and maintain effective monitoring programs.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.6" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.17", + "title": "INTEGRATED SITUATIONAL AWARENESS", + "props": [ + { + "class": "name", + "value": "SI-4 (17)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCorrelate information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement correlates monitoring information from a more diverse set of information sources to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4(16) which correlates the various cyber monitoring information, this control enhancement correlates monitoring beyond the cyber domain. Such monitoring may help reveal attacks on organizations that are operating across multiple attack vectors.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.16" + }, + { + "href": "#pe.6" + }, + { + "href": "#sa.12" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.18", + "title": "ANALYZE TRAFFIC AND COVERT EXFILTRATION", + "props": [ + { + "class": "name", + "value": "SI-4 (18)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAnalyze outbound communications traffic at the external boundary or perimeter of the system and at \u003cinsert param-id=\"si-4_q\"/\u003e to detect covert exfiltration of information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExamples of organization-defined interior points within the system include subnetworks and subsystems. Covert means that can be used for the exfiltration of information include, for example, steganography.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-4_q", + "desc": "organization-defined interior points within the system", + "value": "organization-defined interior points within the system" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.19", + "title": "INDIVIDUALS POSING GREATER RISK", + "props": [ + { + "class": "name", + "value": "SI-4 (19)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"si-4_r\"/\u003e of individuals who have been identified by \u003cinsert param-id=\"si-4_s\"/\u003e as posing an increased level of risk.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndications of increased risk from individuals can be obtained from a variety of sources including, for example, human resource records, intelligence agencies, law enforcement organizations, and other credible sources. The monitoring of specific individuals is closely coordinated with management, legal, security, privacy and human resource officials within organizations conducting such monitoring. Monitoring is conducted in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-4_r", + "desc": "organization-defined additional monitoring", + "value": "organization-defined additional monitoring" + }, + { + "id": "si-4_s", + "desc": "organization-defined sources", + "value": "organization-defined sources" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.20", + "title": "PRIVILEGED USERS", + "props": [ + { + "class": "name", + "value": "SI-4 (20)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"si-4_t\"/\u003e of privileged users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + } + ] + } + ], + "params": [ + { + "id": "si-4_t", + "desc": "organization-defined additional monitoring", + "value": "organization-defined additional monitoring" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.21", + "title": "PROBATIONARY PERIODS", + "props": [ + { + "class": "name", + "value": "SI-4 (21)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"si-4_u\"/\u003e of individuals during \u003cinsert param-id=\"si-4_v\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + } + ] + } + ], + "params": [ + { + "id": "si-4_u", + "desc": "organization-defined additional monitoring", + "value": "organization-defined additional monitoring" + }, + { + "id": "si-4_v", + "desc": "organization-defined probationary period", + "value": "organization-defined probationary period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.22", + "title": "UNAUTHORIZED NETWORK SERVICES", + "props": [ + { + "class": "name", + "value": "SI-4 (22)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDetect network services that have not been authorized or approved by \u003cinsert param-id=\"si-4_w\"/\u003e and [Selection (one or more): audit; alert \u003cinsert param-id=\"si-4_x\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnauthorized or unapproved network services include, for example, services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.7" + } + ] + } + ], + "params": [ + { + "id": "si-4_w", + "desc": "organization-defined authorization or approval processes", + "value": "organization-defined authorization or approval processes" + }, + { + "id": "si-4_x", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.23", + "title": "HOST-BASED DEVICES", + "props": [ + { + "class": "name", + "value": "SI-4 (23)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"si-4_y\"/\u003e at \u003cinsert param-id=\"si-4_z\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem components where host-based monitoring can be implemented include, for example, servers, notebook computers, and mobile devices. Organizations may consider employing host-based monitoring mechanisms from multiple product developers or vendors.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + }, + { + "href": "#ac.19" + } + ] + } + ], + "params": [ + { + "id": "si-4_y", + "desc": "organization-defined host-based monitoring mechanisms", + "value": "organization-defined host-based monitoring mechanisms" + }, + { + "id": "si-4_z", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.24", + "title": "INDICATORS OF COMPROMISE", + "props": [ + { + "class": "name", + "value": "SI-4 (24)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDiscover, collect, and distribute to \u003cinsert param-id=\"si-4_aa\"/\u003e, indicators of compromise.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational systems at the host or network level. IOCs provide valuable information on systems that have been compromised. IOCs for the discovery of compromised hosts can include, for example, the creation of registry key values. IOCs for network traffic include, for example, Universal Resource Locator or protocol elements that indicate malicious code command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that systems and organizations are vulnerable to the same exploit or attack.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.18" + } + ] + } + ], + "params": [ + { + "id": "si-4_aa", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.4.25", + "title": "PERSONALLY IDENTIFIABLE INFORMATION MONITORING", + "props": [ + { + "class": "name", + "value": "SI-4 (25)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to monitor:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "si.4.25.a", + "prose": [ + "\u003cp class=\"description\"\u003eFor unauthorized access or usage of personally identifiable information; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4 (25)(a)" + } + ] + }, + { + "class": "item", + "id": "si.4.25.b", + "prose": [ + "\u003cp class=\"description\"\u003eThe collection, creation, accuracy, relevance, timeliness, impact, and completeness of personally identifiable information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-4 (25)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMonitoring the collection, creation, accuracy, relevance, timeliness, impact, and completeness of personally identifiable information helps improve data quality. Automated monitoring techniques can create unintended privacy risks because automated controls may connect to external or otherwise unrelated systems. The matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.24" + }, + { + "href": "#pm.26" + }, + { + "href": "#si.19" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-61", + "value": "NIST Special Publication 800-61" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-83", + "value": "NIST Special Publication 800-83" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-92", + "value": "NIST Special Publication 800-92" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-94", + "value": "NIST Special Publication 800-94" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-137", + "value": "NIST Special Publication 800-137" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.5", + "title": "SECURITY ALERTS, ADVISORIES, AND DIRECTIVES", + "params": [ + { + "id": "si-5_a", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + }, + { + "id": "si-5_b", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-5_c", + "desc": "organization-defined elements within the organization", + "value": "organization-defined elements within the organization" + }, + { + "id": "si-5_d", + "desc": "organization-defined external organizations", + "value": "organization-defined external organizations" + } + ], + "props": [ + { + "class": "name", + "value": "SI-5" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.5a", + "prose": [ + "\u003cp class=\"description\"\u003eReceive system security alerts, advisories, and directives from \u003cinsert param-id=\"si-5_a\"/\u003e on an ongoing basis;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5a." + } + ] + }, + { + "class": "item", + "id": "si.5b", + "prose": [ + "\u003cp class=\"description\"\u003eGenerate internal security alerts, advisories, and directives as deemed necessary;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5b." + } + ] + }, + { + "class": "item", + "id": "si.5c", + "prose": [ + "\u003cp class=\"description\"\u003eDisseminate security alerts, advisories, and directives to: [Selection (one or more): \u003cinsert param-id=\"si-5_b\"/\u003e; \u003cinsert param-id=\"si-5_c\"/\u003e; \u003cinsert param-id=\"si-5_d\"/\u003e]; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5c." + } + ] + }, + { + "class": "item", + "id": "si.5d", + "prose": [ + "\u003cp class=\"description\"\u003eImplement security directives in accordance with established time frames, or notify the issuing organization of the degree of noncompliance.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-5d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe United States Computer Emergency Readiness Team (US-CERT) generates security alerts and advisories to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include, for example, external mission or business partners, supply chain partners, external service providers, and other peer or supporting organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.15" + }, + { + "href": "#ra.5" + }, + { + "href": "#si.2" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.5.1", + "title": "AUTOMATED ALERTS AND ADVISORIES", + "props": [ + { + "class": "name", + "value": "SI-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated mechanisms to make security alert and advisory information available throughout the organization.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe significant number of changes to organizational systems and the environments in which those systems operate requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational missions and business functions. Based on information provided by security alerts and advisories, changes may be required at one or more of the three tiers related to the management of information security and privacy risk including the governance level, mission and business process level, and the system level.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-40", + "value": "NIST Special Publication 800-40" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.6", + "title": "SECURITY AND PRIVACY FUNCTION VERIFICATION", + "params": [ + { + "id": "si-6_a", + "desc": "organization-defined security and privacy functions", + "value": "organization-defined security and privacy functions" + }, + { + "id": "si-6_b", + "desc": "organization-defined system transitional states", + "value": "organization-defined system transitional states" + }, + { + "id": "si-6_c", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + }, + { + "id": "si-6_d", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-6_e", + "desc": "organization-defined alternative action(s)", + "value": "organization-defined alternative action(s)" + } + ], + "props": [ + { + "class": "name", + "value": "SI-6" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.6a", + "prose": [ + "\u003cp class=\"description\"\u003eVerify the correct operation of \u003cinsert param-id=\"si-6_a\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6a." + } + ] + }, + { + "class": "item", + "id": "si.6b", + "prose": [ + "\u003cp class=\"description\"\u003ePerform this verification [Selection (one or more): \u003cinsert param-id=\"si-6_b\"/\u003e; upon command by user with appropriate privilege; \u003cinsert param-id=\"si-6_c\"/\u003e];\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6b." + } + ] + }, + { + "class": "item", + "id": "si.6c", + "prose": [ + "\u003cp class=\"description\"\u003eNotify \u003cinsert param-id=\"si-6_d\"/\u003e of failed security and privacy verification tests; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6c." + } + ] + }, + { + "class": "item", + "id": "si.6d", + "prose": [ + "\u003cp class=\"description\"\u003e[Selection (one or more): Shut the system down; Restart the system; \u003cinsert param-id=\"si-6_e\"/\u003e] when anomalies are discovered.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-6d." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTransitional states for systems include, for example, system startup, restart, shutdown, and abort. Notifications by the system include, for example, hardware indicator lights, electronic alerts to system administrators, and messages to local computer consoles. In contrast to security function verification, privacy function verification ensures that privacy functions operate as expected and are approved by the Senior Agency Official for Privacy, or that privacy attributes are applied or used as expected.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ca.7" + }, + { + "href": "#cm.4" + }, + { + "href": "#cm.6" + }, + { + "href": "#si.7" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.6.1", + "title": "NOTIFICATION OF FAILED SECURITY TESTS", + "props": [ + { + "class": "name", + "value": "SI-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#si.6" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.6.2", + "title": "AUTOMATION SUPPORT FOR DISTRIBUTED TESTING", + "props": [ + { + "class": "name", + "value": "SI-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement automated mechanisms to support the management of distributed security and privacy function testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.2" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.6.3", + "title": "REPORT VERIFICATION RESULTS", + "props": [ + { + "class": "name", + "value": "SI-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eReport the results of security and privacy function verification to \u003cinsert param-id=\"si-6_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational personnel with potential interest in the results of the verification of security and privacy function include, for example, system security managers, systems security officers, Senior Agency Information Security Officers, and Senior Agency Officials for Privacy.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.12" + }, + { + "href": "#si.4" + } + ] + } + ], + "params": [ + { + "id": "si-6_f", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.7", + "title": "SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY", + "params": [ + { + "id": "si-7_a", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy integrity verification tools to detect unauthorized changes to \u003cinsert param-id=\"si-7_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnauthorized changes to software, firmware, and information can occur due to errors or malicious activity. Software includes, for example, operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes, for example, the Basic Input Output System (BIOS). Information includes personally identifiable information and metadata containing security and privacy attributes associated with information. Integrity-checking mechanisms including, for example, parity checks, cyclical redundancy checks, cryptographic hashes, and associated tools can automatically monitor the integrity of systems and hosted applications.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.4" + }, + { + "href": "#cm.3" + }, + { + "href": "#cm.7" + }, + { + "href": "#cm.8" + }, + { + "href": "#ma.3" + }, + { + "href": "#ma.4" + }, + { + "href": "#ra.5" + }, + { + "href": "#sa.9" + }, + { + "href": "#sa.10" + }, + { + "href": "#sa.18" + }, + { + "href": "#sa.19" + }, + { + "href": "#cm.7" + }, + { + "href": "#sa.12" + }, + { + "href": "#sc.8" + }, + { + "href": "#sc.13" + }, + { + "href": "#sc.28" + }, + { + "href": "#sc.37" + }, + { + "href": "#si.3" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.7.1", + "title": "INTEGRITY CHECKS", + "props": [ + { + "class": "name", + "value": "SI-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePerform an integrity check of \u003cinsert param-id=\"si-7_b\"/\u003e [Selection (one or more): at startup; at \u003cinsert param-id=\"si-7_c\"/\u003e; \u003cinsert param-id=\"si-7_d\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity-relevant events include, for example, the identification of a new threat to which organizational systems are susceptible, and the installation of new hardware, software, or firmware. Transitional states include, for example, system startup, restart, shutdown, and abort.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-7_b", + "desc": "organization-defined software, firmware, and information", + "value": "organization-defined software, firmware, and information" + }, + { + "id": "si-7_c", + "desc": "organization-defined transitional states or security-relevant events", + "value": "organization-defined transitional states or security-relevant events" + }, + { + "id": "si-7_d", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.2", + "title": "AUTOMATED NOTIFICATIONS OF INTEGRITY VIOLATIONS", + "props": [ + { + "class": "name", + "value": "SI-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy automated tools that provide notification to \u003cinsert param-id=\"si-7_e\"/\u003e upon discovering discrepancies during integrity verification.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of automated tools to report integrity violations and to notify organizational personnel in a timely matter is an essential precursor to effective risk response. Personnel having an interest in integrity violations include, for example, mission and business owners, system owners, systems administrators, software developers, systems integrators, and information security officers, and privacy officers.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-7_e", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.3", + "title": "CENTRALLY-MANAGED INTEGRITY TOOLS", + "props": [ + { + "class": "name", + "value": "SI-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy centrally managed integrity verification tools.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.3" + }, + { + "href": "#si.2" + }, + { + "href": "#si.8" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.4", + "title": "TAMPER-EVIDENT PACKAGING", + "props": [ + { + "class": "name", + "value": "SI-7 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SA-12\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#sa.12" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.5", + "title": "AUTOMATED RESPONSE TO INTEGRITY VIOLATIONS", + "props": [ + { + "class": "name", + "value": "SI-7 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAutomatically [Selection (one or more): shut the system down; restart the system; implement \u003cinsert param-id=\"si-7_f\"/\u003e] when integrity violations are discovered.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may define different integrity checking responses by type of information, by specific information, or a combination of both. Examples of types of information include firmware, software, and user data. Examples of specific information include boot firmware for certain types of machines. The automatic implementation of safeguards within organizational systems includes, for example, reversing the changes, halting the system, or triggering audit alerts when unauthorized modifications to critical security files occur.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-7_f", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.6", + "title": "CRYPTOGRAPHIC PROTECTION", + "props": [ + { + "class": "name", + "value": "SI-7 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement cryptographic mechanisms to detect unauthorized changes to software, firmware, and information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic mechanisms used for the protection of integrity include, for example, digital signatures and the computation and application of signed hashes using asymmetric cryptography; protecting the confidentiality of the key used to generate the hash; and using the public key to verify the hash information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.12" + }, + { + "href": "#sc.13" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.7", + "title": "INTEGRATION OF DETECTION AND RESPONSE", + "props": [ + { + "class": "name", + "value": "SI-7 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIncorporate the detection of the following unauthorized changes into the organizational incident response capability: \u003cinsert param-id=\"si-7_g\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended time-period and for possible legal actions. Security-relevant changes include, for example, unauthorized changes to established configuration settings or unauthorized elevation of system privileges.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#ir.4" + }, + { + "href": "#ir.5" + }, + { + "href": "#si.4" + } + ] + } + ], + "params": [ + { + "id": "si-7_g", + "desc": "organization-defined security-relevant changes to the system", + "value": "organization-defined security-relevant changes to the system" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.8", + "title": "AUDITING CAPABILITY FOR SIGNIFICANT EVENTS", + "props": [ + { + "class": "name", + "value": "SI-7 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUpon detection of a potential integrity violation, provide the capability to audit the event and initiate the following actions: [Selection (one or more): generate an audit record; alert current user; alert \u003cinsert param-id=\"si-7_h\"/\u003e; \u003cinsert param-id=\"si-7_i\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations select response actions based on types of software, specific software, or information for which there are potential integrity violations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.6" + }, + { + "href": "#au.12" + } + ] + } + ], + "params": [ + { + "id": "si-7_h", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + }, + { + "id": "si-7_i", + "desc": "organization-defined other actions", + "value": "organization-defined other actions" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.9", + "title": "VERIFY BOOT PROCESS", + "props": [ + { + "class": "name", + "value": "SI-7 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify the integrity of the boot process of \u003cinsert param-id=\"si-7_j\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEnsuring the integrity of boot processes is critical to starting system components in known, trustworthy states. Integrity verification mechanisms provide a level of assurance that only trusted code is executed during boot processes.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.6" + } + ] + } + ], + "params": [ + { + "id": "si-7_j", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.10", + "title": "PROTECTION OF BOOT FIRMWARE", + "props": [ + { + "class": "name", + "value": "SI-7 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"si-7_k\"/\u003e to protect the integrity of boot firmware in \u003cinsert param-id=\"si-7_l\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnauthorized modifications to boot firmware may be indicative of a sophisticated, targeted attack. These types of targeted attacks can result in a permanent denial of service or a persistent malicious code presence. These situations can occur, for example, if the firmware is corrupted or if the malicious code is embedded within the firmware. System components can protect the integrity of boot firmware in organizational systems by verifying the integrity and authenticity of all updates to the firmware prior to applying changes to the system component; and preventing unauthorized processes from modifying the boot firmware.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.6" + } + ] + } + ], + "params": [ + { + "id": "si-7_k", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + }, + { + "id": "si-7_l", + "desc": "organization-defined system components", + "value": "organization-defined system components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.11", + "title": "CONFINED ENVIRONMENTS WITH LIMITED PRIVILEGES", + "props": [ + { + "class": "name", + "value": "SI-7 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that \u003cinsert param-id=\"si-7_m\"/\u003e execute in a confined physical or virtual machine environment with limited privileges.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations identify software that may be of concern regarding its origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.11" + }, + { + "href": "#sc.44" + } + ] + } + ], + "params": [ + { + "id": "si-7_m", + "desc": "organization-defined user-installed software", + "value": "organization-defined user-installed software" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.12", + "title": "INTEGRITY VERIFICATION", + "props": [ + { + "class": "name", + "value": "SI-7 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRequire that the integrity of \u003cinsert param-id=\"si-7_n\"/\u003e be verified prior to execution.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or code that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity including, for example, availability of checksums of adequate trustworthiness from software developers or vendors.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.11" + } + ] + } + ], + "params": [ + { + "id": "si-7_n", + "desc": "organization-defined user-installed software", + "value": "organization-defined user-installed software" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.13", + "title": "CODE EXECUTION IN PROTECTED ENVIRONMENTS", + "props": [ + { + "class": "name", + "value": "SI-7 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAllow execution of binary or machine-executable code only in confined physical or virtual machine environments and with the explicit approval of \u003cinsert param-id=\"si-7_o\"/\u003e when such code is:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "si.7.13.a", + "prose": [ + "\u003cp class=\"description\"\u003eObtained from sources with limited or no warranty; and/or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7 (13)(a)" + } + ] + }, + { + "class": "item", + "id": "si.7.13.b", + "prose": [ + "\u003cp class=\"description\"\u003eWithout the provision of source code.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7 (13)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software and firmware and open source software.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.10" + }, + { + "href": "#sc.44" + } + ] + } + ], + "params": [ + { + "id": "si-7_o", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.14", + "title": "BINARY OR MACHINE EXECUTABLE CODE", + "props": [ + { + "class": "name", + "value": "SI-7 (14)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.7.14.a", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit the use of binary or machine-executable code from sources with limited or no warranty and without the provision of source code; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7 (14)(a)" + } + ] + }, + { + "class": "item", + "id": "si.7.14.b", + "prose": [ + "\u003cp class=\"description\"\u003eProvide exceptions to the source code requirement only for compelling mission or operational requirements and with the approval of the authorizing official.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-7 (14)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software and firmware and open source software. Organizations assess software products without accompanying source code from sources with limited or no warranty for potential security impacts. The assessments address the fact that these types of software products may be difficult to review, repair, or extend, given that organizations, in most cases, do not have access to the original source code. In addition, there may be no owners who could make such repairs on behalf of organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sa.5" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.15", + "title": "CODE AUTHENTICATION", + "props": [ + { + "class": "name", + "value": "SI-7 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement cryptographic mechanisms to authenticate \u003cinsert param-id=\"si-7_p\"/\u003e prior to installation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic authentication includes, for example, verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cm.5" + } + ] + } + ], + "params": [ + { + "id": "si-7_p", + "desc": "organization-defined software or firmware components", + "value": "organization-defined software or firmware components" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.7.16", + "title": "TIME LIMIT ON PROCESS EXECUTION WITHOUT SUPERVISION", + "props": [ + { + "class": "name", + "value": "SI-7 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProhibit processes from executing without supervision for more than \u003cinsert param-id=\"si-7_q\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses processes for which typical or normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes, for example, timers on operating systems, automated responses, or manual oversight and response when system process anomalies occur.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-7_q", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsFIPS.html#140-2", + "value": "FIPS Publication 140-2" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-70", + "value": "NIST Special Publication 800-70" + } + ] + }, + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-147", + "value": "NIST Special Publication 800-147" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.8", + "title": "SPAM PROTECTION", + "props": [ + { + "class": "name", + "value": "SI-8" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.8a", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy spam protection mechanisms at system entry and exit points to detect and act on unsolicited messages; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8a." + } + ] + }, + { + "class": "item", + "id": "si.8b", + "prose": [ + "\u003cp class=\"description\"\u003eUpdate spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-8b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem entry and exit points include, for example, firewalls, remote-access servers, electronic mail servers, web servers, proxy servers, workstations, notebook computers, and mobile devices. Spam can be transported by different means including, for example, electronic mail, electronic mail attachments, and web accesses. Spam protection mechanisms include, for example, signature definitions.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.5" + }, + { + "href": "#sc.7" + }, + { + "href": "#sc.38" + }, + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.8.1", + "title": "CENTRAL MANAGEMENT", + "props": [ + { + "class": "name", + "value": "SI-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCentrally manage spam protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection controls.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.3" + }, + { + "href": "#cm.6" + }, + { + "href": "#si.2" + }, + { + "href": "#si.7" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.8.2", + "title": "AUTOMATIC UPDATES", + "props": [ + { + "class": "name", + "value": "SI-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAutomatically update spam protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.8.3", + "title": "CONTINUOUS LEARNING CAPABILITY", + "props": [ + { + "class": "name", + "value": "SI-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLearning mechanisms include, for example, Bayesian filters that respond to user inputs identifying specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ], + "references": { + "refs": [ + { + "citations": [ + { + "href": "http://csrc.nist.gov/publications/PubsSPs.html#800-45", + "value": "NIST Special Publication 800-45" + } + ] + } + ] + } + }, + { + "class": "SP800-53", + "id": "si.9", + "title": "INFORMATION INPUT RESTRICTIONS", + "props": [ + { + "class": "name", + "value": "SI-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into AC-2, AC-3, AC-5, AC-6\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "#ac.2" + }, + { + "href": "#ac.3" + }, + { + "href": "#ac.5" + }, + { + "href": "#ac.6" + } + ] + }, + { + "class": "SP800-53", + "id": "si.10", + "title": "INFORMATION INPUT VALIDATION", + "params": [ + { + "id": "si-10_a", + "desc": "organization-defined information inputs", + "value": "organization-defined information inputs" + } + ], + "props": [ + { + "class": "name", + "value": "SI-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCheck the validity of \u003cinsert param-id=\"si-10_a\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eChecking the valid syntax and semantics of system inputs including, for example, character set, length, numerical range, and acceptable values, verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the corrupted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation ensures accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.10.1", + "title": "MANUAL OVERRIDE CAPABILITY", + "props": [ + { + "class": "name", + "value": "SI-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.10.1.a", + "prose": [ + "\u003cp class=\"description\"\u003eProvide a manual override capability for input validation of \u003cinsert param-id=\"si-10_b\"/\u003e;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10 (1)(a)" + } + ] + }, + { + "class": "item", + "id": "si.10.1.b", + "prose": [ + "\u003cp class=\"description\"\u003eRestrict the use of the manual override capability to only \u003cinsert param-id=\"si-10_c\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10 (1)(b)" + } + ] + }, + { + "class": "item", + "id": "si.10.1.c", + "prose": [ + "\u003cp class=\"description\"\u003eAudit the use of the manual override capability.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-10 (1)(c)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, for example, during events that are defined in organizational contingency plans, a manual override capability for input validation may be needed. Such manual overrides are used only in limited circumstances and with the inputs defined by the organization.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#au.2" + }, + { + "href": "#au.12" + } + ] + } + ], + "params": [ + { + "id": "si-10_b", + "desc": "organization-defined inputs", + "value": "organization-defined inputs" + }, + { + "id": "si-10_c", + "desc": "organization-defined authorized individuals", + "value": "organization-defined authorized individuals" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.10.2", + "title": "REVIEW AND RESOLVE ERRORS", + "props": [ + { + "class": "name", + "value": "SI-10 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eReview and resolve input validation errors within \u003cinsert param-id=\"si-10_d\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eResolution of input validation errors includes, for example, correcting systemic causes of errors and resubmitting transactions with corrected input.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-10_d", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.10.3", + "title": "PREDICTABLE BEHAVIOR", + "props": [ + { + "class": "name", + "value": "SI-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eVerify that the system behaves in a predictable and documented manner when invalid inputs are received.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA common vulnerability in organizational systems is unpredictable behavior when invalid inputs are received. This control enhancement ensures that there is predictable behavior in the face of invalid inputs by specifying system responses that facilitate transitioning the system to known states without adverse, unintended side effects. The invalid inputs are those inputs related to the information inputs defined by the organization in the base control.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.10.4", + "title": "TIMING INTERACTIONS", + "props": [ + { + "class": "name", + "value": "SI-10 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eAccount for timing interactions among system components in determining appropriate responses for invalid inputs.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn addressing invalid system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols within the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to collisions or noise on the link. If TCP makes a congestion response, it takes the wrong action in response to a collision event. Adversaries may be able to use what appears to be acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.10.5", + "title": "RESTRICT INPUTS TO TRUSTED SOURCES AND APPROVED FORMATS", + "props": [ + { + "class": "name", + "value": "SI-10 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRestrict the use of information inputs to \u003cinsert param-id=\"si-10_e\"/\u003e and/or \u003cinsert param-id=\"si-10_f\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies the concept of whitelisting to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.3" + }, + { + "href": "#ac.6" + } + ] + } + ], + "params": [ + { + "id": "si-10_e", + "desc": "organization-defined trusted sources", + "value": "organization-defined trusted sources" + }, + { + "id": "si-10_f", + "desc": "organization-defined formats", + "value": "organization-defined formats" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.11", + "title": "ERROR HANDLING", + "params": [ + { + "id": "si-11_a", + "desc": "organization-defined personnel or roles", + "value": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SI-11" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.11a", + "prose": [ + "\u003cp class=\"description\"\u003eGenerate error messages that provide information necessary for corrective actions without revealing information that could be exploited; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-11a." + } + ] + }, + { + "class": "item", + "id": "si.11b", + "prose": [ + "\u003cp class=\"description\"\u003eReveal error messages only to \u003cinsert param-id=\"si-11_a\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-11b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider the structure and the content of error messages. The extent to which systems can handle error conditions is guided and informed by organizational policy and operational requirements. Exploitable information includes, for example, erroneous logon attempts with passwords entered by mistake as the username; mission/business information that can be derived from, if not stated explicitly by, the information recorded; and personally identifiable information such as account numbers, social security numbers, and credit card numbers. In addition, error messages may provide a covert channel for transmitting information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#au.2" + }, + { + "href": "#au.3" + }, + { + "href": "#sc.31" + }, + { + "href": "#si.2" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.12", + "title": "INFORMATION MANAGEMENT AND RETENTION", + "props": [ + { + "class": "name", + "value": "SI-12" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eManage and retain information within the system and information output from the system in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines and operational requirements.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation management and retention requirements cover the full life cycle of information, in some cases extending beyond system disposal. Information to be retained may also include policies, procedures, plans, and other types of administrative information. The National Archives and Records Administration provides guidance on records retention.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "All XX-1 Controls" + }, + { + "href": "#ac.16" + }, + { + "href": "#au.5" + }, + { + "href": "#au.11" + }, + { + "href": "#ca.2" + }, + { + "href": "#ca.3" + }, + { + "href": "#ca.5" + }, + { + "href": "#ca.6" + }, + { + "href": "#ca.7" + }, + { + "href": "#ca.9" + }, + { + "href": "#cm.5" + }, + { + "href": "#cm.9" + }, + { + "href": "#cp.2" + }, + { + "href": "#ir.8" + }, + { + "href": "#mp.2" + }, + { + "href": "#mp.3" + }, + { + "href": "#mp.4" + }, + { + "href": "#mp.6" + }, + { + "href": "#pa.1" + }, + { + "href": "#pa.2" + }, + { + "href": "#pa.3" + }, + { + "href": "#pl.2" + }, + { + "href": "#pl.4" + }, + { + "href": "#pm.4" + }, + { + "href": "#pm.8" + }, + { + "href": "#pm.9" + }, + { + "href": "#ps.2" + }, + { + "href": "#ps.6" + }, + { + "href": "#ra.2" + }, + { + "href": "#ra.3" + }, + { + "href": "#sa.5" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.12.1", + "title": "LIMIT PERSONALLY IDENTIFIABLE INFORMATION ELEMENTS", + "props": [ + { + "class": "name", + "value": "SI-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eLimit personally identifiable information being processed in the information life cycle to the \u003cinsert param-id=\"si-12_a\"/\u003e identified in the privacy risk assessment.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLimiting the use of personally identifiable information throughout the information life cycle when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system. The information life cycle includes information creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-12_a", + "desc": "organization-defined elements", + "value": "organization-defined elements" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.12.2", + "title": "MINIMIZE PERSONALLY IDENTIFIABLE INFORMATION IN TESTING, TRAINING, AND RESEARCH", + "props": [ + { + "class": "name", + "value": "SI-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUse \u003cinsert param-id=\"si-12_b\"/\u003e to minimize the use of personally identifiable information for research, testing, or training, in accordance with the privacy risk assessment.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can minimize the risk to an individual\u0026#x92;s privacy by using techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information throughout the information life cycle when such information is not needed for research, testing, or training helps reduce the level of privacy risk created by a system.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.23" + } + ] + } + ], + "params": [ + { + "id": "si-12_b", + "desc": "organization-defined techniques", + "value": "organization-defined techniques" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.13", + "title": "PREDICTABLE FAILURE PREVENTION", + "params": [ + { + "id": "si-13_a", + "desc": "organization-defined system components", + "value": "organization-defined system components" + }, + { + "id": "si-13_b", + "desc": "organization-defined MTTF substitution criteria", + "value": "organization-defined MTTF substitution criteria" + } + ], + "props": [ + { + "class": "name", + "value": "SI-13" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.13a", + "prose": [ + "\u003cp class=\"description\"\u003eDetermine mean time to failure (MTTF) for \u003cinsert param-id=\"si-13_a\"/\u003e in specific environments of operation; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13a." + } + ] + }, + { + "class": "item", + "id": "si.13b", + "prose": [ + "\u003cp class=\"description\"\u003eProvide substitute system components and a means to exchange active and standby components at \u003cinsert param-id=\"si-13_b\"/\u003e.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13b." + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhile MTTF is primarily a reliability issue, this control addresses potential failures of system components that provide security capability. Failure rates reflect installation-specific consideration, not industry-average. Organizations define the criteria for substitution of system components based on the MTTF value with consideration for resulting potential harm from component failures. Transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capability. This includes, for example, preservation of system state variables. Standby components remain available at all times except for maintenance issues or recovery failures in progress.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.2" + }, + { + "href": "#cp.10" + }, + { + "href": "#cp.13" + }, + { + "href": "#ma.2" + }, + { + "href": "#ma.6" + }, + { + "href": "#sc.6" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.13.1", + "title": "TRANSFERRING COMPONENT RESPONSIBILITIES", + "props": [ + { + "class": "name", + "value": "SI-13 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eTakes system components out of service by transferring component responsibilities to substitute components no later than \u003cinsert param-id=\"si-13_c\"/\u003e of mean time to failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNone.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-13_c", + "desc": "organization-defined fraction or percentage", + "value": "organization-defined fraction or percentage" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.13.2", + "title": "TIME LIMIT ON PROCESS EXECUTION WITHOUT SUPERVISION", + "props": [ + { + "class": "name", + "value": "SI-13 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003e \u003cwithdrawn\u003eIncorporated into SI-7(16)\u003c/withdrawn\u003e.\u003c/p\u003e" + ] + } + ], + "links": [ + { + "href": "", + "value": "SI-7(16)" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.13.3", + "title": "MANUAL TRANSFER BETWEEN COMPONENTS", + "props": [ + { + "class": "name", + "value": "SI-13 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eManually initiate transfers between active and standby system components when the use of the active component reaches \u003cinsert param-id=\"si-13_d\"/\u003e of the mean time to failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor example, if the MTTF for a system component is one hundred days and the organization-defined percentage is ninety percent, the manual transfer would occur after ninety days.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-13_d", + "desc": "organization-defined percentage", + "value": "organization-defined percentage" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.13.4", + "title": "STANDBY COMPONENT INSTALLATION AND NOTIFICATION", + "props": [ + { + "class": "name", + "value": "SI-13 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eIf system component failures are detected:\u003c/p\u003e" + ], + "parts": [ + { + "class": "item", + "id": "si.13.4.a", + "prose": [ + "\u003cp class=\"description\"\u003eEnsure that the standby components are successfully and transparently installed within \u003cinsert param-id=\"si-13_e\"/\u003e; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13 (4)(a)" + } + ] + }, + { + "class": "item", + "id": "si.13.4.b", + "prose": [ + "\u003cp class=\"description\"\u003e[Selection (one or more): Activate \u003cinsert param-id=\"si-13_f\"/\u003e; Automatically shut down the system; \u003cinsert param-id=\"si-13_g\"/\u003e].\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-13 (4)(b)" + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomatic or manual transfer of components from standby to active mode can occur, for example, upon detection of component failures.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-13_e", + "desc": "organization-defined time-period", + "value": "organization-defined time-period" + }, + { + "id": "si-13_f", + "desc": "organization-defined alarm", + "value": "organization-defined alarm" + }, + { + "id": "si-13_g", + "desc": "organization-defined action", + "value": "organization-defined action" + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.13.5", + "title": "FAILOVER CAPABILITY", + "props": [ + { + "class": "name", + "value": "SI-13 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eProvide [Selection: real-time; near real-time] \u003cinsert param-id=\"si-13_h\"/\u003e for the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailover refers to the automatic switchover to an alternate system upon the failure of the primary system. Failover capability includes, for example, incorporating mirrored system operations at alternate processing sites or periodic data mirroring at regular intervals defined by recovery time-periods of organizations.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.6" + }, + { + "href": "#cp.7" + }, + { + "href": "#cp.9" + } + ] + } + ], + "params": [ + { + "id": "si-13_h", + "desc": "organization-defined failover capability", + "value": "organization-defined failover capability" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.14", + "title": "NON-PERSISTENCE", + "params": [ + { + "id": "si-14_a", + "desc": "organization-defined system components and services", + "value": "organization-defined system components and services" + }, + { + "id": "si-14_b", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-14" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement non-persistent \u003cinsert param-id=\"si-14_a\"/\u003e that are initiated in a known state and terminated [Selection (one or more): upon end of session of use; periodically at \u003cinsert param-id=\"si-14_b\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control mitigates risk from advanced persistent threats (APTs) by significantly reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. By implementing the concept of non-persistence for selected system components, organizations can provide a known state computing resource for a specific time-period that does not give adversaries sufficient time on target to exploit vulnerabilities in organizational systems and the environments in which those systems operate. Since the APT is a high-end, sophisticated threat regarding capability, intent, and targeting, organizations assume that over an extended period, a percentage of attacks will be successful. Non-persistent system components and services are activated as required using protected information and terminated periodically or at the end of sessions. Non-persistence increases the work factor of adversaries in attempting to compromise or breach organizational systems. Non-persistence can be achieved by refreshing system components, for example, by periodically re-imaging components or by using a variety of common virtualization techniques. Non-persistent services can be implemented using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent). The benefit of periodic refreshes of system components and services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult to determine). The refresh of selected system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the system unstable. Refreshes of critical components and services may be done periodically to hinder the ability of adversaries to exploit optimum windows of vulnerabilities.\u003c/p\u003e" + ], + "links": [ + { + "href": "#sc.30" + }, + { + "href": "#sc.34" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.14.1", + "title": "REFRESH FROM TRUSTED SOURCES", + "props": [ + { + "class": "name", + "value": "SI-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eObtain software and data employed during system component and service refreshes from \u003cinsert param-id=\"si-14_c\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTrusted sources include, for example, software and data from write-once, read-only media or from selected off-line secure storage facilities.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ], + "params": [ + { + "id": "si-14_c", + "desc": "organization-defined trusted sources", + "value": "organization-defined trusted sources" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.15", + "title": "INFORMATION OUTPUT FILTERING", + "params": [ + { + "id": "si-15_a", + "desc": "organization-defined software programs and/or applications", + "value": "organization-defined software programs and/or applications" + } + ], + "props": [ + { + "class": "name", + "value": "SI-15" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eValidate information output from \u003cinsert param-id=\"si-15_a\"/\u003e to ensure that the information is consistent with the expected content.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCertain types of attacks, including for example, SQL injections, produce output results that are unexpected or inconsistent with the output results that would normally be expected from software programs or applications. This control enhancement focuses on detecting extraneous content, preventing such extraneous content from being displayed, and then alerting monitoring tools that anomalous behavior has been discovered.\u003c/p\u003e" + ], + "links": [ + { + "href": "#si.3" + }, + { + "href": "#si.4" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.15.1", + "title": "LIMIT PERSONALLY IDENTIFIABLE INFORMATION DISSEMINATION", + "props": [ + { + "class": "name", + "value": "SI-15 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eLimit the dissemination of personally identifiable information to \u003cinsert param-id=\"si-15_b\"/\u003e identified in the privacy risk assessment and consistent with authorized purposes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePreventing the sharing of personally identifiable information outside of explicitly determined elements helps mitigate privacy risks that may arise from using such information to detect anomalous system behavior. Organizations weigh the risks created by using personally identifiable information for information output filtering (as either signature or heuristic information) against the security risks they help mitigate and the established privacy posture in the privacy program plan.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pa.2" + }, + { + "href": "#pa.3" + }, + { + "href": "#pm.18" + } + ] + } + ], + "params": [ + { + "id": "si-15_b", + "desc": "organization-defined elements", + "value": "organization-defined elements" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.16", + "title": "MEMORY PROTECTION", + "params": [ + { + "id": "si-16_a", + "desc": "organization-defined security safeguards", + "value": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SI-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"si-16_a\"/\u003e to protect the system memory from unauthorized code execution.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSome adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Security safeguards employed to protect memory include, for example, data execution prevention and address space layout randomization. Data execution prevention safeguards can either be hardware-enforced or software-enforced with hardware enforcement providing the greater strength of mechanism.\u003c/p\u003e" + ], + "links": [ + { + "href": "#ac.25" + }, + { + "href": "#sc.3" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.17", + "title": "FAIL-SAFE PROCEDURES", + "params": [ + { + "id": "si-17_a", + "desc": "organization-defined fail-safe procedures", + "value": "organization-defined fail-safe procedures" + }, + { + "id": "si-17_b", + "desc": "organization-defined failure conditions occur", + "value": "organization-defined failure conditions occur" + } + ], + "props": [ + { + "class": "name", + "value": "SI-17" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eImplement \u003cinsert param-id=\"si-17_a\"/\u003e when \u003cinsert param-id=\"si-17_b\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailure conditions include, for example, loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include, for example, alerting operator personnel and providing specific instructions on subsequent steps to take. These steps include, for example, doing nothing, reestablishing system settings, shutting down processes, restarting the system, or contacting designated organizational personnel.\u003c/p\u003e" + ], + "links": [ + { + "href": "#cp.12" + }, + { + "href": "#cp.13" + }, + { + "href": "#sc.24" + }, + { + "href": "#si.13" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.18", + "title": "INFORMATION DISPOSAL", + "params": [ + { + "id": "si-18_a", + "desc": "organization-defined techniques or methods", + "value": "organization-defined techniques or methods" + } + ], + "props": [ + { + "class": "name", + "value": "SI-18" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eUse \u003cinsert param-id=\"si-18_a\"/\u003e to dispose of, destroy, or erase information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDisposal or destruction of information applies to originals as well as copies and archived records, including system logs that may contain personally identifiable information.\u003c/p\u003e" + ], + "links": [ + { + "href": "#mp.6" + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.19", + "title": "DATA QUALITY OPERATIONS", + "params": [ + { + "id": "si-19_a", + "desc": "organization-defined frequency", + "value": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-19" + } + ], + "parts": [ + { + "class": "statement", + "parts": [ + { + "class": "item", + "id": "si.19a", + "prose": [ + "\u003cp class=\"description\"\u003eUpon collection or creation of personally identifiable information, check for the accuracy, relevance, timeliness, impact, completeness, and de-identification of that information across the information life cycle; and\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-19a." + } + ] + }, + { + "class": "item", + "id": "si.19b", + "prose": [ + "\u003cp class=\"description\"\u003eCheck for and correct as necessary \u003cinsert param-id=\"si-19_a\"/\u003e and across the information life cycle:\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-19b." + } + ], + "parts": [ + { + "class": "item", + "id": "si.19b.1", + "prose": [ + "\u003cp class=\"description\"\u003eInaccurate or outdated personally identifiable information;\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-19b.1." + } + ] + }, + { + "class": "item", + "id": "si.19b.2", + "prose": [ + "\u003cp class=\"description\"\u003ePersonally identifiable information of incorrectly determined impact; or\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-19b.2." + } + ] + }, + { + "class": "item", + "id": "si.19b.3", + "prose": [ + "\u003cp class=\"description\"\u003eIncorrectly de-identified personally identifiable information.\u003c/p\u003e" + ], + "props": [ + { + "class": "name", + "value": "SI-19b.3." + } + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe information life cycle includes information creation, collection, use, processing, storage, maintenance, dissemination, disclosure, disposition.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.25" + }, + { + "href": "#si.4" + }, + { + "href": "#si.20" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.19.1", + "title": "UPDATING AND CORRECTING PERSONALLY IDENTIFIABLE INFORMATION", + "props": [ + { + "class": "name", + "value": "SI-19 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy technical controls to correct personally identifiable information used in organizational programs and systems that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUse of controls to improve data quality may inadvertently create privacy risks. Automated controls may connect to external or otherwise unrelated systems, and the matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.18" + }, + { + "href": "#ra.8" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.19.2", + "title": "DATA TAGS", + "props": [ + { + "class": "name", + "value": "SI-19 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eEmploy data tags to automate tracking of personally identifiable information across the information life cycle within organizational systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData tags that contain information about retention dates, usage or disclosure policies, or other information pertaining to the management of personally identifiable information can support the use of automation tools to enforce relevant data management policies.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.19.3", + "title": "PERSONALLY IDENTIFIABLE INFORMATION COLLECTION", + "props": [ + { + "class": "name", + "value": "SI-19 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eCollect personally identifiable information directly from the individual.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations take reasonable steps to confirm the accuracy and relevance of personally identifiable information. These steps may include, for example, editing and validating addresses as they are collected or entered into systems using automated address verification look-up application programming interfaces. The types of measures taken to protect data quality are based on the nature and context of the personally identifiable information, how it is to be used, and how it was obtained. Measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals under federal programs may be more comprehensive than those used to validate less sensitive personally identifiable information. Additional steps may be necessary to validate personally identifiable information that is obtained from sources other than individuals or the authorized representatives of individuals.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + }, + { + "class": "SP800-53", + "id": "si.20", + "title": "DE-IDENTIFICATION", + "props": [ + { + "class": "name", + "value": "SI-20" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRemove personally identifiable information from datasets.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMany datasets contain information about individuals that can be used to distinguish or trace an individual\u0026#x92;s identity, such as name, social security number, date and place of birth, mother\u0026#x92;s maiden name, or biometric records. Datasets may also contain other information that is linked or linkable to an individual, such as medical, educational, financial, and employment information. Personally identifiable information is removed from datasets by trained individuals when such information is not (or no longer) necessary to satisfy the requirements envisioned for the data. For example, if the dataset is only used to produce aggregate statistics, the identifiers that are not needed for producing those statistics are removed. Removing identifiers improves privacy protection, since information that is removed cannot be inadvertently disclosed or improperly used.\u003c/p\u003e" + ], + "links": [ + { + "href": "#pm.23" + }, + { + "href": "#pm.24" + }, + { + "href": "#pm.25" + }, + { + "href": "#si.18" + }, + { + "href": "#si.19" + } + ] + } + ], + "subcontrols": [ + { + "class": "SP800-53-enhancement", + "id": "si.20.1", + "title": "COLLECTION", + "props": [ + { + "class": "name", + "value": "SI-20 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eDe-identify the dataset upon collection by not collecting personally identifiable information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIf a data source contains personally identifiable information but the information will not be used, the dataset can be de-identified upon creation by simply not collecting the data elements containing the personally identifiable information. For example, if an organization does not intend to use the social security number of an applicant, then application forms do not ask for a social security number.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.20.2", + "title": "ARCHIVING", + "props": [ + { + "class": "name", + "value": "SI-20 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRefrain from archiving personally identifiable information elements if those elements in a dataset will not be needed after the dataset is archived.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDatasets can be archived for many reasons. The envisioned purposes for the archived dataset are specified and if personally identifiable information elements are not required, the elements are not archived. For example, social security numbers may have been collected for record linkage, but the archived dataset may include the required elements from the linked records. In this case, it is not necessary to archive the social security numbers.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.20.3", + "title": "RELEASE", + "props": [ + { + "class": "name", + "value": "SI-20 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRemove personally identifiable information elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrior to releasing a dataset, a data custodian considers the intended uses of the released dataset and determines if it is necessary to release personally identifiable information. If it is not necessary, the personally identifiable information can be removed using de-identification techniques.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.20.4", + "title": "REMOVAL, MASKING, ENCRYPTION, HASHING, OR REPLACEMENT OF DIRECT IDENTIFIERS", + "props": [ + { + "class": "name", + "value": "SI-20 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eRemove, mask, encrypt, hash, or replace direct identifiers in a dataset.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThere are many possible processes for removing direct identifiers from a dataset. Columns in a dataset that contain a direct identifier can be removed. In masking, the direct identifier is transformed into a repeating character, for example, XXXXXX or 999999. Identifiers can be encrypted or hashed, so that the linked records remain linked. In the case of encryption or hashing, algorithms are employed that require the use of a key, including, for example, the Advanced Encryption Standard or a Hash-based Message Authentication Code. Implementations may use the same key for all identifiers or a different key for each identifier. Using a different key for each identifier provides for a higher degree of security and privacy. Identifiers can alternatively be replaced with a keyword, including for example, transforming \u0026#x93;George Washington\u0026#x94; to \u0026#x93;PATIENT,\u0026#x94; or replaced with a realistic surrogate value, including for example, transforming \u0026#x93;George Washington\u0026#x94; to \u0026#x93;Abraham Polk.\u0026#x94;\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.20.5", + "title": "STATISTICAL DISCLOSURE CONTROL", + "props": [ + { + "class": "name", + "value": "SI-20 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003eManipulate numerical data, contingency tables, and statistical findings so that no person or organization is identifiable in the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMany types of statistical analyses can result in the disclosure of information about individuals even if only summary information is provided. For example, if a school publishes a monthly table with the number of minority students, and in January the school reports that it has 10-19 such students, but in March it reports that it has 20-29 such students, then it can be inferred that the student who enrolled in February was a minority.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.20.6", + "title": "DIFFERENTIAL PRIVACY", + "props": [ + { + "class": "name", + "value": "SI-20 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePrevent disclosure of personally identifiable information by adding non-deterministic noise to the results of mathematical operations before the results are reported.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe mathematical definition for differential privacy holds that the result of a dataset analysis should be approximately the same before and after the addition or removal of a single data record (which is assumed to be the data from a single individual). In its most basic form, differential privacy applies only to online query systems. However, it can also be used to produce machine-learning statistical classifiers and synthetic data. Differential privacy comes at the cost of decreased accuracy of results, forcing organizations to quantify the trade-off between privacy protection and the overall accuracy, usefulness, and utility of the de-identified dataset. Non-deterministic noise can include, for example, adding small random values to the results of mathematical operations in dataset analysis.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.20.7", + "title": "VALIDATED SOFTWARE", + "props": [ + { + "class": "name", + "value": "SI-20 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePerform de-identification using validated algorithms and software that is validated to implement the algorithms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlgorithms that appear to remove personally identifiable information from a dataset may in fact leave information that is personally identifiable or data that are re-identifiable. Software that is claimed to implement a validated algorithm may contain bugs or may implement a different algorithm. Software may de-identify one type of data, for example, integers, but not another type of data, for example, floating point numbers. For these reasons, de-identification is performed using algorithms and software that are validated.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + }, + { + "class": "SP800-53-enhancement", + "id": "si.20.8", + "title": "MOTIVATED INTRUDER", + "props": [ + { + "class": "name", + "value": "SI-20 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp class=\"description\"\u003ePerform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA motivated intruder test is a test in which a person or group takes a data release and specified resources and attempts to re-identify one or more individuals in the de-identified dataset. Such tests specify the amount of inside knowledge, financial resources, computational resources, data, and skills that intruders have at their disposal to conduct the tests. A motivated intruder test can identify if de-identification is insufficient. It can also be a useful diagnostic tool to assess if de-identification is likely to be sufficient; however, the test alone cannot prove that de-identification is sufficient.\u003c/p\u003e" + ], + "links": [ + { + "href": "", + "value": "None" + } + ] + } + ] + } + ] + } + ] + } + ] + } +} \ No newline at end of file From 39e40838986e0c09761ad84d76b073f41fe1e8e9 Mon Sep 17 00:00:00 2001 From: Andrew Weiss Date: Sat, 2 Dec 2017 13:49:22 -0500 Subject: [PATCH 2/3] refs for catalog, framework and worksheet --- schema/json/oscal-catalog.json | 5 +++++ schema/json/oscal-framework.json | 5 +++++ schema/json/oscal-worksheet.json | 5 +++++ 3 files changed, 15 insertions(+) create mode 100644 schema/json/oscal-catalog.json create mode 100644 schema/json/oscal-framework.json create mode 100644 schema/json/oscal-worksheet.json diff --git a/schema/json/oscal-catalog.json b/schema/json/oscal-catalog.json new file mode 100644 index 0000000000..1eb4b29e67 --- /dev/null +++ b/schema/json/oscal-catalog.json @@ -0,0 +1,5 @@ +{ + "$schema": "http://json-schema.org/draft-06/schema#", + "$id": "http://csrc.nist.gov/ns/oscal/1.0-catalog.json", + "$ref": "oscal-core.json#/definitions/catalog" +} \ No newline at end of file diff --git a/schema/json/oscal-framework.json b/schema/json/oscal-framework.json new file mode 100644 index 0000000000..dd7ade5b71 --- /dev/null +++ b/schema/json/oscal-framework.json @@ -0,0 +1,5 @@ +{ + "$schema": "http://json-schema.org/draft-06/schema#", + "$id": "http://csrc.nist.gov/ns/oscal/1.0-framework.json", + "$ref": "oscal-core.json#/definitions/framework" +} \ No newline at end of file diff --git a/schema/json/oscal-worksheet.json b/schema/json/oscal-worksheet.json new file mode 100644 index 0000000000..59ada2ea7b --- /dev/null +++ b/schema/json/oscal-worksheet.json @@ -0,0 +1,5 @@ +{ + "$schema": "http://json-schema.org/draft-06/schema#", + "$id": "http://csrc.nist.gov/ns/oscal/1.0-worksheet.json", + "$ref": "oscal-core.json#/definitions/worksheet" +} \ No newline at end of file From b9d2761379e58745e3ed948320b5f80395d96b47 Mon Sep 17 00:00:00 2001 From: Andrew Weiss Date: Sat, 2 Dec 2017 13:52:25 -0500 Subject: [PATCH 3/3] core type --- schema/json/oscal-core.json | 1 + 1 file changed, 1 insertion(+) diff --git a/schema/json/oscal-core.json b/schema/json/oscal-core.json index cc514d1712..613ed1a4bf 100644 --- a/schema/json/oscal-core.json +++ b/schema/json/oscal-core.json @@ -1206,6 +1206,7 @@ } } }, + "type": "object", "oneOf": [ { "properties": {